Stg18-4 Compilation of Written Reports of Steering and Advisory Group Members and Observer Countries on UNCAC Implementation An

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ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

www.oecd.org/corruption/asiapacific 18th Steering Group Meeting Dili, Timor-Leste, 23-24 July 2013 StG18-4 Compilation of Written Reports of Steering and Advisory Group Members and Observer Countries on UNCAC Implementation and Other Specific Topics in the Anti-Corruption Field

At each annual Steering Group Meeting, members of the ADB/OECD Anti-Corruption Initiative for Asia and the Pacific report their recent anti-corruption reforms and progress made since the previous Steering Group Meeting. Advisory Group members and observer countries are also invited to provide similar reports. This document consolidates all reports that were submitted to the Secretariat for the 18th Steering Group Meeting.

Bangladesh ...... 2 Bhutan ...... 7 Cambodia ...... 15 Cook Islands ...... 22 Hong Kong, China ...... 30 India ...... 43 Indonesia ...... 49 Japan ...... 57 Korea ...... 63 Macao, China ...... 71 Malaysia...... 79 Mongolia ...... 101 Pakistan ...... 106 Philippines ...... 111 Singapore ...... 120 Sri Lanka ...... 128 Thailand ...... 133 Vanuatu ...... 137 Vietnam...... 143

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bangladesh – 2 –

Bangladesh

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  A National Integrity Strategy (NIS) has been approved in the Cabinet;  Advisory Council headed by the Honurable Prime Minster and its Executive Committee have been formed;  Ethics Committees have been formed in every Ministries and related institutions to facilitate implementation of NIS;  Sensitization of the NIS and provided training to the ethics committee focal points;  Innovation teams have been formed in Government offices for improvement of service delivery system;  Minimum wage board has been formed for providing living wage to the garment workers.

2. Measures Being Planned to Implement UNCAC provisions  Regular submission of wealth-statement by the Government employees;  Creation of an office of the Ombudsmen; ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bangladesh – 3 –

 Arranging opinion sharing meeting at public offices with stakeholders on the issue of integrity and improvement of service delivery;  Proactive disclosure in the public offices;  Digitization of land management system for better land management and reduction of land related disputes;  Training for the innovation officers and the innovation team members.

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Implementation of the NIS recommendations and action-plans in the 16 state and non-state institutions;  Amendment of Anti-Corruption Act and strengthening of Anti-Corruption commission;  Adoption of a code of conduct for the Members of Parliament;  Specify qualification for appointment of the Supreme Code judges;  Accountability and Corporate responsibility of the private sector.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Sensitization of the NIS among media, family, NGOs, educational institution, private sector and political parties;  Capacity development of Anti-Corruption Commission officials and the officers working with the implementation of the National Integrity Strategy;  Experience sharing with other countries. B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bangladesh – 4 –

 Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Committee formed in the Bangladesh Bank for proper implementation of the Money Laundering Act;  Regulations for proper Multi Level Marketing business;  Initiative to improve police-citizen ratio; 2. Measures Being Planned to Implement UNCAC provisions  Minimum wage board for RMG workers;  Permanent appointment of Attorney service instead of ad-hoe appointment on political consideration;

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bangladesh – 5 –

 Separation of investigation and enforcement departments in the police;  Ensuring accountability of law-enforcement agencies;  Bringing law enforcement agencies under NIS coverage;  Timely disposal of cases in the courts; 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Special seminar may be arranged with the concerned departments on the issue of law enforcement agencies;  Seminar may be arranged with the concerned authority on the judicial system. C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV

D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bangladesh – 6 –

 Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 7 –

Bhutan

A. UNCAC Chapter II: Preventive Measures UNCAC Provisions:  Art. 5: Preventive anti-corruption policies and practices  Art. 6: Preventive anti-corruption body or bodies  Art. 7: Public sector  Art. 8: Codes of conduct for public officials  Art. 9: Public procurement and management of public finances  Art.10: Public reporting  Art 11: 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.  Art.12: Private sector  Art. 13: Participation of society  Art. 14 : Measures to prevent money-laundering 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Anti-Corruption Commission (ACC) is re-structured to create greater anti-corruption impact since January 2013. The new organizational structure is based on sectoral approach; synergized and a holistic approach to fighting corruption with the integration of the core functions of investigation, prevention and education.  The Bhutan Civil service Rules and Regulations (BCSR) 2012 has been adopted on December 17, 2012. The BCSR 2012 is a revised version of BCSR 2010; revised to strengthen the system of recruitment, hiring, retention, promotion and retirement of public service. It also has new additional Chapters on Civil Service Award and Human Resource Audit. It mandates all the civil servants to undergo the e-learning test on ethics and integrity management.  The Regulatory Impact Assessment (RIA) Rules and Regulations 2011 is being mainstreamed and a Central RIA Unit has been established in the Cabinet Secretariat.  ACC in collaboration with National Statistics Bureau (NSB) of Bhutan, conducted 2nd National Integrity Assessment covering 291 services of 97 different public agencies. The first assessment was carried out in 2009 that only covered 43 services provided by 27 public agencies. The 2nd NIA focused on both the service providers and service receivers. The findings indicate improvement in the national integrity score; it was 7.44 in 2009 and has improved to 8.36 in 2012. The survey also reveals that 62% of the respondents perceive ACC to be very effective and ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 8 –

34% as somewhat effective.  ACC also conducted a survey on “Integrity and value education in schools of Bhutan” in 91 schools across all 20 Dzongkhags/blocks involving 2000 student respondents, 400 teachers and 100 heads of schools. From the survey, it concludes that majority of the students will maintain integrity when in comfortable circumstances and religion does guide their daily actions to some extent. But, they will not hesitate to engage in unethical behavior for self benefit, if circumstances compel them. The survey results has been shared with the Ministry of Education.  Considering weak implementation of National Anti-Corruption Strategy (NACS) across the agencies since its adoption in 2009, a review supported by the Swiss Agency for Development and Cooperation (SDC) has been undertaken; the review focused on assessing the effectiveness of NACS implementation in various agencies and recommending areas for improvement (an implementation plan for NACS 2013-2018). Preliminary findings of the review illustrate that the weak implementation is mainly because of Lack of awareness on NACS; Weak ownership and accountability; Lack of effective monitoring mechanism and Perception of NACS as ACC’s mandate.  Another step towards ensuring robust mainstreaming of NACS in the 11th Five Year Plan (2013-2018) is the integration of the implementation and monitoring of NACS in the national policy. The “implementation of NACS by all agencies” will be one of the Key Performance Indicators (KPIs) of Sector Key Result Areas (SKRAs) “Enhance effectiveness and efficiency in delivery of Public Service” under Governance Sector.  Towards institutional building and strengthening, ACC with the expertise from the Partnership for Transparency Fund (PTF) of an ADB funded project have developed a Change Management Plan (as part of implementing the Institutional Development Plan). As part of the plan, Integrity Diagnostic Tool (IDT) customized for Bhutan has been developed. The tool’s focus is to strengthen integrity systems in organizations and improve their resistance to corruption by focusing on four main pillars; Compass, Character, Conscience and Control. Till date the tool has been administered in about 11 agencies including ACC.  The same consultancy team has developed a Communication and Media strategy for ACC. The strategy has been developed in cognizance of the importance of engagement with mass media, partnership building with stakeholders and educating the public.  The Ministry of Finance organized training programs in procurement compliance. This is to increase professionalism, skills and accountability of the individuals involved in public procurement.  An effort towards operationalizing the Civil Service Code and Conduct and Ethics is the e-learning course on “Ethics and Integrity Management” program. The course is being implemented in all the government agencies.  The Gift Rules 2009 was revised with the stakeholders endorsing the proposed amendments. The Rules has been finalized for adoption.  Some of the initiatives of ACC in building capacities of various agencies in implementing anti-corruption measures and practices within their agencies (as part of implementing NACS) in the reporting period are: ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 9 –

a) Conducted Corruption Risk Management (CRM) in Bhutan Power Corporation; Ministry of Labor & Human Resources (on human resource service); Bank of Bhutan and the second round of training the Internal Auditors on CRM. b) A proactive system study in Foreign Workers Recruitment and Administration System was conducted to examine the system considering the increasing demand for foreign workers and risk associated with it. c) ACC organized interactive session with Civil Society Organizations (CSOs) and private sectors during the visit by Transparency International (TI) Director (Asia-Pacific Region) to Bhutan.  In terms of engaging citizens, ACC conducted general advocacy and behavioral change programs as follows: a) Conducted sessions with three Ministries, Druk Holding and Investments and National Land Commission (in June) for enhanced understanding of corruption issues and anti-corruption measures; b) Pilot tested “infusion of human values into peer helpers training club” in a middle secondary school towards instilling human values into the minds of youth through extra-curricular activities; c) Observed the International Anti-Corruption Day (IACD) and National Anti-Corruption Week from 9 to 16 December, 2012 on the theme “ACT: Against Corruption Today”. It was commemorated with different programs- i) Poster completion and exhibition; ii) pledge against corruption campaign; iii) Commission observed the day in ADB Headquarters in Manila- sharing lessons learnt, policies and strategies.

2. Measures Being Planned to Implement UNCAC provisions  In order to sustain the ACC as an effective, strong and credible organization, a critical governance imperative, a proposal on delinking the ACC from the civil service is being prepared by the consultancy experts from the Basel Institute on Governance (BIG). The report will be tabled for discussion in the next parliamentary session.  ACC have not been able to do anything on building capacity of the CSOs; only awareness have been created on NACS. ACC have plans to build capacity of CSOs towards building a strong system of integrity in the governance system.

3.Issues, Challenges and Constraints in the Implementation of UNCAC provisions  There is a perception that fighting corruption is the sole responsibility of ACC. There is lesser participation of civil societies, general citizens and individuals in the anti-corruption activities.  Poor accountability culture.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 10 –

 Ethics and integrity management  Development of social accountability tools- sharing experiences of CSOs engaging in anticorruption initiatives  Capacity development/training in areas such as public procurement and financial management system, research and social accountability tools

B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 11 –

 Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Anti-Money Laundering and Combating Financing of Terrorism Regulation 2012 has been adopted and came into force since February, 2013  Memorandum of Understanding (MoU) signed with the Office of Attorney General (OAG)  ACC is working on eestablishing a national facility for surveillance and intelligence capacity. The challenges in investigating corruption offences are overwhelming in the absence special capabilities. and capacity.  After a consultative meeting, Debarment Rules have been adopted as required by ACA 2011. The Rules is yet to be printed and disseminated. Among others Ministry of Finance and Construction Board (CDB) will play a vital role in implementing the Rules  ACC is prosecuting a case after Office of Attorney General (OAG) claiming of not having any legal basis for prosecution. This power of prosecution is conferred by section 128(3) of ACA 2011. As a follow-up to this case, ACC will be revising the Prosecution Referral Guideline 2011.

2. Measures Being Planned to Implement UNCAC provisions  Memorandum of Understanding (MoU) to be signed with the Royal Audit Authority (RAA) has been prepared. ACC and RAA is yet to sign the MoU.  ACC will also have to strengthen its efforts to build better relationship with key national institutions like Financial Institutions, telecommunication service providers, Royal Bhutan Police, etc to sort out the difficulties faced in sharing information.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  OAG (prosecutes ACC’s cases) has to be strengthened;  Obtaining information from agencies;

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Need for specialized training in anti-money laundering, detection and freezing of proceeds of crime and effective prosecution C. UNCAC Chapter IV: International Cooperation UNCAC Provisions: ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 12 –

 Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Transparency International (TI) has formed a TI Local Chapter in Bhutan (a interim board). TI local chapter will supplement the work of ACC, supporting ACC in strengthening citizenry and community engagement. During TI team’s visit to Bhutan, they conducted session with public and private agencies to share the international experience on mainstreaming anti-corruption strategies in good governance highlighting the risks and costs of corruption.  In 2010, a memorandum of understanding (MoU) was signed between the National Anti-Corruption Commission (NACC), Thailand and the ACC. To strengthen the existing relationship, NACC officials visited Bhutan for 2nd signing of MoU. But the signing of MoU had to be postponed to a later date since the Government was dissolved for the Parliamentary elections. However, a 11 member delegation visited the country in May, 2013 and the visit was aimed at strengthening a long-term cooperation between the two agencies in capacity development and information sharing.  In March 2013, ACC participated in the 5th meeting of Bay of Bengal Initiatives for Multi-Sectoral Technical and Economic Cooperation (BIMSTEC) sub- group meeting on combating the financing of Terrorism held at Dhaka. The sub group meeting provided good platform for member countries to exchange information and share experience relating to combating transnational financial crimes including money laundering and financing of terrorism through wire transfers. The meeting resolved to cooperate effectively in joints efforts to combat such menace. 2. Measures Being Planned to Implement UNCAC provisions  The UNCAC-Self Assessment indicates the readiness of ratification/accession to the UNCAC. So ACC plans to again submit its proposal for ratification of the UNCAC to the government  To build strategic partnership (sign MOUs) to facilitate effective law enforcement cooperation at international level  To implement Financial Action Task Force (FATF) 40 Recommendations as their principle guidelines for the implementation of effective AML/CFT standards and measures ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 13 –

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Lack of special investigative techniques 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  Training/capacity building in execution of mutual legal assistance, extradition D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Enforcement of Asset Declaration (AD) system in Bhutan has been strengthened with the adoption of Asset Declaration Rules 2012. 2. Measures Being Planned to Implement UNCAC provisions  The on-line AD system is being re-developed to make it more user friendly and to ensure structural integrity 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  FIU lacks capacity (in its nascent stage) 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  Training/capacity development on financial investigation, anti-money laundering and asset recoveries  Asset tracing to deal with illicit enrichment ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Bhutan – 14 –

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Cambodia – 15 –

Cambodia

A. UNCAC Chapter II: Preventive Measures UNCAC Provisions:  Art. 5: Preventive anti-corruption policies and practices  Art. 6: Preventive anti-corruption body or bodies  Art. 7: Public sector  Art. 8: Codes of conduct for public officials  Art. 9: Public procurement and management of public finances  Art.10: Public reporting  Art 11: 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.  Art.12: Private sector  Art. 13: Participation of society 1.Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  On 9 December 2012, ACU with the collaboration from TI Cambodia, National Anti-Corruption Day was held at South East Asia TV station which attracted 2,800 participants and millions of audiences watching live from TV. In this event, there were models displaying anti-corruption related messages, songs performances, citing poems, comedy performance which attracted and conveyed a lot of messages to all participants and audiences, especially the efforts made in fighting against corruption under the great and wise leadership of H.E Senior Minister Om Yentieng, the president of ACU. Moreover, in line with this event held, all banners and posters appearing all educated messages to inspire people to fight against corruption have been displayed at governmental institutions from national to sub-national level, private sectors and at public places which made the event became even more remarkable.  From 1 January to 30 June 2013, ACU has disseminated the Anti-Corruption Law and Law on the Amendment of Anti-Corruption Law to: o 640 of Stung Treng province, 940 soldiers and officials from Brigade No.70 of Ministry of National Defense, 3, 485 students and academic staff from 07 universities, 1542 officials working at 15 border checkpoints in 21 provinces, 3470 Communes/Sangkat councilors and citizens from 27 communes/Sangkats out of the total 96 communes/Sangkats in Phnom Penh capital. o Join as guest speakers in a radio program called CLEAN STREET broadcasting on FM 106.5 MHZ under the theme “ The Role and Duties of Anti-Corruption Unit” ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Cambodia – 16 –

o The Teacher’s Manual and Student’s Text Book on Anti-Corruption and Moral Ethics for Grade 10, Grade 11, and Grade 12 are being developed and finalized. o 02 Karaoke Songs in the form of Edutainment called “ Fighting Against Corruption” and “ 03 meaningful phrases of Samdech Techo Prime Minister namely: 1. Do not wish to corrupt 2. Do not dare to corrupt 3. Are not able to corrupt ” have been broadcasted on National TV station. o The Spot contains the message conveyed to the citizens on the elimination of the demanding the unofficial public services fee at Commune/Sangkat has been broadcasted on TVK o 20, 000 Stickers and Posters and 5,000 of small booklets of the compiled Anti-Corruption Law and relevant regulation and standard documents were posted and distributed to the public, officials and citizens living in Phnom Penh capital.  In order to strengthen the implementation of international standard set out as well as to show the commitment to fight against all forms of money laundering and to ensure its effectiveness in term of law enforcement, 03 articles of the Law on Anti-Money Laundering and Combating the Financing of Terrorism was amended, signed and promulgated by His Majesty the King of Cambodia on 3rd June, 2013. The three articles amended include Article 3 (New) focusing on new definitions of technical terms, Article 29(New) focusing on Money- laundering offence, denial of providing information, negligence of providing transaction report, violation of disclosure of information and tipping off, violation of obligation to keep professional secrecy, additional penalties for legal entities, terrorism financing offence, and Article 30 (New) freezing and seizure of property, confiscation of property, mingled property, onus on person opposing order, freezing funds associated with financing terrorism.  The compilation of public services fee of the 19 Ministries have been officially launched and publicly display on ACU websites and concerned ministries/government agencies’ websites aiming to strengthen the transparency, effectiveness, and good governance in public service deliveries to citizens in Cambodia. The official fees listed have been updated to ensure that it is appropriate to the current situation of the market value of Cambodia. Moreover, the detailed information related to the services like the duration needed to have the service completed, the fee, the validity period etc have been precisely included.  Anti-Corruption Unit sets out the mechanism and regime for the Assets and Liabilities Declaration into 07 namely: 1. The declaration required for every 2 years 2. The declaration of newly appointed official 3. The resignation from current position or end of mandate 4. The dismissal from position 5. Retirement 6. As determined by Anti-Corruption Unit and 7. A need for an investigation. In the submission of assets and liabilities declaration form, the declarant can submit through the focal point existing in each respective concerned governmental agency/institution, the declarant comes to submit directly at Anti-Corruption Unit or he or she can send to ACU through post office. From 1st to 31st of January, 2013, Department of Assets and Liabilities Declaration of Anti-Corruption Unit received the filled in assets and liabilities declaration form in compliance with the two-year regime of the declaration required up to 99.4%. In addition to this, the Department also received 541 declaration forms from 541 newly appointed officials, 82 declaration forms from 82 officials who resigned or ended their ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Cambodia – 17 –

mandate, 01 declaration form from 01 official terminated from office, and 39 declaration forms from 39 retired officials.

2. Measures Being Planned to Implement UNCAC provisions

3 .Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Laws and other required regulations needs further revision and amendment in order to make it comply with the UNCAC convention and the development context of Cambodia today.  After the UNCAC Implementation Review process is made and the report has been finalized, the recommendations shall be given by the country reviewing Cambodia and the Royal Government of Cambodia shall take those recommendation for its consideration as well as for its work performance review.

4. Capacity Building Seminar and Training Needs to Strengthen Implementation of Chapter II

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 Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  In 2012, ACU studied and analyzed 761 complaints filed to ACU which is equivalent to 100% of the total complaints received. ACU also Invited all persons involved to clarify all relevant complaints lodged for 113 times, issued 142 letters replying to the complainants, issued 07 letters transferring action and authorities to other competent authorities, issued 110 letters to request concerned persons to come to ACU for their clarification, and referred 09 cases to the court.  In 2013, from January to June, ACU has received 432 complaints. Among those complaints filed to ACU, 188 were anonymous and 244 were opened. At the same time, ACU has also received 56 letters of clarification made by concerned ministries/government agencies and officials, sending 203 out-going letters to complainants and ministries/government agencies, among those 122 letters were the corresponding letters, 71 letters of clarification, and 08 letters transferring authority and actions to other competent authorities/agencies.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  The assistance needed for the establishment of integrity pact/pledge made between private sectors, Civil Societies Organizations and ACU  Set up mechanism in place in order to strengthen the cooperation between government agencies and private sectors ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Cambodia – 19 –

 Techniques, intervention, laws and regulation needed when dealing with corruption made by staff from private companies associated with public officials

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions  Decision No.37 of the Royal Government of Cambodia signed and approved by Samdech Akka Moha Sena Padei Techo Hun Sen the Prime Minister on 11 September, 2012 on the establishment of Steering Committee on UNCAC Implementation Review comprising of 16 members coming from the legislative body, ACU, governmental agencies, private sector, academia, Civil Society Organizations, and mass media representatives. The Steering Committee is set up in order to ensure close collaboration of the experts coming from all relevant institutions in sharing information from their respective institutions and role as focal point in facilitating the process of UNCAC Implementation Review in Cambodia.  Decision No.017 signed and approved on 13 November, 2012 by H.E Senior Minister Om Yentieng, the President of ACU on the establishment of Team of Technical Experts of UNCAC Implementation Review consists of 07 sub-groups consists of 91 members. This team is established in order to give forum for experts coming from different stakeholders to share information under their respective particular field to ensure that those information is accurate and reliable necessary for drafting the answers responding to the questions asked in the self- assessment checklist of the UNCAC Implementation Review Mechanism.  For Year 3 of cycle 1(2012-2013), Cambodia shall review Malta and for Year 4 of cycle 1(2013-2014) Cambodia shall review Palau and Saudi Arabia and in the meantime Cambodia shall be under the review of Myanmar and Togo. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  The Memorandum of Understanding and bilateral agreement as well as information sharing among the members and relevant partner agencies are yet limited.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  The skill of special investigation and investigation techniques like forensics, financial audit, bank record analysis, transnational crime, anti- money laundering, are badly in needs for the officials of ACU. These potential skills can enhance the effectiveness of work performance of the officials of ACU, especially in collecting evidences from potential suspects of corruption D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  Officials of ACU and officials in some concerned competent governmental agencies need the skill of assets stolen tracing, and all necessary mechanism in assets recovery, especially the experiences and best practice sharing workshop shared by law enforcement officials/agencies who have experienced dealing with the case in that field. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts)  Since March 2013, ACU has introduced a new mechanism/approach in dealing with all the complaints filed to its office in substitution to the previous mechanism. Every morning from 7:30 AM, Monday to Friday, the management of ACU ranging from the President, Vice Presidents, Assistants to ACU, Directors General, Director and Vice-Directors of Legal, Complaint, and International Affair Department, together with some supporting staff conducts an approach called ACU Morning Meeting. This new approach aims at speeding up the process in dealing with all the complaints filed to ACU. Through this, all complaints filed during the day have been studied, summarized, and present to the ACU Morning Meeting members in the morning the next day. All members of the meeting listen to the director of Department of Legal, Complaint, and International Affair presents the key content of all the complaints one by one while all members of the meeting listen to the case and give comments related to the actions need to be taken against the cases/complaint filed. The actions taken may range from taking further investigation into the case, issue the warning letter, ask the concerned person to come for clarification or write a letter of clarification to ACU, send the case to other competent authorities for further action taken in compliance with nature of the case, or take immediate operation in case it is an obvious and actual corruption case having strong and reliable evidence on the ground. This new approach is seen to be more effective and having rapid action taken in response to cases/complaints filed to ACU comparing with the previous mechanism where case handling teams are scheduled to handle the case on the day-to-day basis, through the studies , analysis, and summarizing the case before each case is further sent to the President of ACU for his final decision. This process normally takes longer and leads to the delay of action taken against each complaint/case filed to ACU.  The introduction of special Hotline 1282 where people can call to complaint to ACU related to any corruption cases during the office hour has been employed as another additional means in complaining to ACU in addition to its existing mechanism including the complainant comes directly to ACU, the complaints lodged their complaints at white boxes, by email, and the complaint sent through the post office free of charge. This hotline is receiving call from all network of mobile users free of charge. 2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

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Cook Islands

A. UNCAC Chapter II: Preventive Measures UNCAC Provisions:  Art. 5: Preventive anti-corruption policies and practices The Public Expenditure and Financial Assessment (PEFA) Review of the Cook Islands Public Procurement Systems recommended (Reco #11) that the Cook Islands Government Financial Policies & Procedure Manual (CIGFPPM) is overhauled, including the development of standard procurement documents.  Art. 6: Preventive anti-corruption body or bodies The Public Accounts Committee (PAC) whose main purpose is to provide closer scrutiny and accountability of Government financial and non- financial activities on behalf of Parliament was directed by Parliament to investigate the Colagate Central Agencies Committee (CAC) responsible for vetting Cabinet submissions Subsequent to the restructuring of Island Governments the Office of the Public Service Commissioner (OPSC) in conjunction with the Office of the Prime Minister (OPM) conducted an induction program for all Island Mayors and Executive Officers (former Island Secretaries) on their roles and responsibilities including corrupt practices in section 16 of the Island Government Act 2012/2013.  Art. 7: Public sector During the 2013/2014 Annual Budget process the Ministry of Health and Ministry of Education were identified as having personnel being paid below the minimum of their respective salary bands. Parliament therefore approved for each affected personnel to be paid up to the minimum following the job resizing exercise. OPSC administers the job sizing band which applies across the board as per the Public Service Act 2009 The Heads of Ministries (HoMs) recruitment policy has been in place together with the selection panel Terms of Reference and, confidentiality templates, declaration of conflict of interest forms  Art. 8: Codes of conduct for public officials A Parliamentary Standing Orders Select Committee was established in the 9th meeting of the 47th session in February / March 2013 whose function is to review existing standing orders and relevant guidelines including the Code of Conduct for Members of Parliament. Part 4 of the Island Government Act 2012/2013 provides a code of conduct for the office of the Mayor and all members of an Island ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Government, and includes any other office requiring the performance of public duties and to which a member is appointed by virtue of being a member of an Island Government OPSC is in the process of developing regulations to support the Public Service Act 2009 including the code of conduct of public servants. The passing of the Police Act 2012 (December) includes Section 30 which sets out the Code of Conduct for A Code of Conduct for the Cook Islands Police including members and employees of the force.  Art. 9: Public procurement and management of public finances The PEFA review recognized that the Cook Islands Government needed to Improve performance systems for competition, value for money and controls in procurement by reviewing the tender procedures in the Cook Islands Government Financial Policies and Procedures Manual (CIGFPPM) and releasing successful tender award contracts. The PEFA report recommended that the Office of the Ombudsman would manage Tender complaints. The Ministry of Finance & Economic Management (MFEM) has commenced recentralizing finance functions from Government Ministries and Crown Agencies to MFEM  Art.10: Public reporting  Art 11: 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. Covered under Part 7 of the Crimes Act which deals with crimes affecting the administration of law and justice. Article 54 of the Constitution also sets out the procedure for the removal of judges from office.  Art.12: Private sector  Art. 13: Participation of society  Art. 14 : Measures to prevent money-laundering

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  A draft policy for recruitment and selection following a transparent and contestable process has been circulated to stakeholders for consultation.  The Cook Islands Government is undergoing the procurement of HRMIS system to inform future workforce planning and succession planning framework. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 A draft retirement and long service allowance is 90% complete and ready for tabling to Cabinet  OPSC is issuing policies across the Public Service to govern Human Resources – Travel, leave, Political Neutrality, Hold Over Principles, Motor Vehicle

2. Measures Being Planned to Implement UNCAC provisions  The Anti Corruption Committee is still committed to undertaking a stock take of existing and new anti corruption bodies, their roles and responsibilities and how they plan to implement other articles yet to be implemented in Chapter 2 of UNCAC.  The Cook Islands Police in conjunction with NZ Police will be conducting a Code of Conduct training program for both members and employees of the force later this year.

3.Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Lack of a co-ordinating agency to effectively coordinate all the work of the ACC and monitor the implementation plan by the relevant agencies.  Limited capacity and resources to address UNCAC provisions  Limited understanding how to implement the UNCAC provisions  Due to the size of the prosecution service, the issue is competency rather than corruption. The major challenge is getting a workable system to ensure a prosecution service that has integrity, where knowledge and skills are applied on a day to day basis, which can only come from good management systems.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Self assessment exercise of what is implemented and what is captured by existing legislation  Understand each article and requirements of the UNCAC provisions  Development of an implementation plan across government  Development and implementation of education and awareness programs that is to be delivered across primarily anti corruption bodies, across government then to all sectors of the community  Policy Development and legislative drafting B. UNCAC Chapter III: Criminalization and Law Enforcement ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  The review of the Crimes Act is being conducted by the Australian Attorney General’s office. The Policy is currently being finalized and it will be updating the penalty provisions in respect to these offences ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Most of the articles in this chapter are covered under the Crimes Act and there are also offences covered under the Electoral Act 2004 for corrupt practices and bribery.  Articles 19,37 and 38 is covered by Section 30, Part 7 & 8 of the Police Act 2012 (respectively) 2. Measures Being Planned to Implement UNCAC provisions  There is no formal plan in place however, the ACC is still committed to undertaking a stock take of the work done on Chapter III which will better inform ACC on strategic areas of priority that require immediate attention.  The Public Accounts Committee plans to become a member of the Global Organisations for Parliamentarians against corruption and awaiting the next Parliamentary sitting for its approval.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  Anti corruption is not centralized to one government Ministry and therefore scattered across various government ministries and agencies  Whilst existing legislation address legislative requirements set out under chapter III of the convention, effective implementation remains a constraint given austerity measures across government with far reaching resource implications

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Self assessment exercise of what is implemented and what is captured by existing legislation  Understand each article and requirements of the UNCAC provisions  Development of an implementation plan across government  Development and implementation of education and awareness programs that is to be delivered across primarily anti corruption bodies, across government then to all sectors of the community  Policy Development and legislative drafting C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Article 43: International cooperation Sections 86-88 of the Police Act 2012 International Assistance  Article 46: Mutual Legal Assistance MLA is addressed under the Mutual Assistance in Criminal Matters Act 2004. Crown Law have in the past year been engaged in production orders and restraining orders under the ambit of the Mutual Assistance in Criminal Matters Act 2003 (“MCA”) and Proceeds of Crimes Act 2003. The MCA provides a legal mechanism for relevant authorities in foreign states to request the assistance of the relevant authorities in the Cook Islands to apply for a number of orders in relation to bank or trust accounts operated by financial institutions under Cook Islands law on their behalf. The granting of such orders are made by the Court pursuant to the Proceeds of Crime Act 2003 and they can only be granted in relation to offending that is considered an serious offence under that Act. These Acts ensure that the Cook Islands fulfils its obligations in assisting other jurisdictions in tracking and prosecuting those who benefit from criminal offending. The foreign state may request for the production of bank records and documents to allow them to review such documents for the purposes of identifying the movement of possible proceeds of crime and by whom, in which case a production order may be granted by the Court against relevant financial institutions. Once the Court grants a production order, the order is executed by a police officer and all relevant documentation as requested is collated, copied and collected by the relevant financial institution and produced to a police officer. The financial institution then must certify the copies as being true and correct and this are then sent by the Crown Law Office to the relevant authority overseas. A foreign state may also have evidence that the proceeds of crime are located in an account(s) operated by a financial institution based in the Cook Islands and requested that the proceeds be restrained until prosecutions in that jurisdiction are commenced and convictions result. The Courts may grant a restraining order if it is satisfied that that all legal requirements are met. Restraining orders granted by foreign courts may also be registered in the Cook Islands in limited circumstances. 2. Measures Being Planned to Implement UNCAC provisions  There is no formal plan in place however, the ACC is still committed to undertaking a stock take of the work done on Chapter IV which will ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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better inform ACC on strategic areas of priority that require immediate attention. 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Resource constraints remain an issue and further compounded by austerity measures across government. 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  Amendments to relevant legislation to meet requirements set out in Chapter IV D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  The Crown Law office (CLO) and the Cook Islands Police have enforced both production orders for information and documentation requested by foreign states and restraining orders for the proceeds of crime in the past year.  Article 53 A police officer previously charged with theft as a servant was convicted and ordered to pay reparation is again facing 2 charges of the same in a separate incident that is presently before the courts 2. Measures Being Planned to Implement UNCAC provisions  There is no formal plan in place however, the ACC is still committed to undertaking a stock take of the work done on Chapter V which will better inform ACC on strategic areas of priority that require immediate attention. 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Resource constraints remain an issue and further compounded by austerity measures across government. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  Special technical and legal training for people working for relevant personnel  Policy development and legislative drafting E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts)

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

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Hong Kong, China

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Art. 5-10: Between September 2012 and April 2013, the Corruption Prevention Department (CPD) of the Independent Commission Against Corruption (ICAC) of the Hong Kong Special Administrative Region, China (HKC) completed 44 reviews on public systems and procedures, covering public procurement, public works, and non-governmental organisations which received substantial public subvention. Over 90% of the advice given was accepted and effectively implemented. In addition, ICAC gave prompt corruption prevention advice on policies and procedures to government departments and public organisations on over 400 occasions. As an on-going initiative, ICAC provides corruption prevention services to major government construction projects. To ensure a level playing field in the tendering process of these major projects, ICAC has adopted an integrated approach whereby advice on the tender documents and tender assessment procedures are offered first, followed by ICAC’s representatives sitting as an observer on the tender assessment panels of the respective projects to further advise on the tender assessment procedures as and when appropriate.  Art. 7: Prior to the Legislative Council (LegCo) election held in September 2012, substantial legislative amendments were made including the use of ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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electronic platform in Election Advertisement. Input by ICAC from the corruption prevention angle was provided to the Registration and Electoral Office (REO) and the Constitutional and Mainland Affairs Bureau (CMAB) on the system changes. After the election, CPD met with REO and CMAB in October 2012 to review the voter registration system for Functional Constituencies (FC) of LegCo. CPD through REO has offered services to help the 357 Umbrella Organisations (UOs) under individual FC improve the integrity of their membership administration and voter registration systems. In addition to responding to individual UOs’ direct request for services, CPD plans to proactively approach UOs in phases. To uphold the integrity of public elections, ICAC launched dedicated “Support Clean Elections” campaigns from November 2012 to May 2013 for three District Council By-Elections and some other rural by-elections. These campaigns comprised a wide range of education and publicity programmes to alert relevant stakeholders to the anti-bribery election laws and to sustain a clean election culture in the community. ICAC continued to visit bureaux/departments (B/Ds) to promote the reference package on managing conflict of interest and discuss strategies for promoting civil service integrity. So far, 26 B/Ds were reached and over 50 thematic workshops were conducted. To step up the dissemination of integrity messages, comics and articles on managing conflict of interest were provided to B/Ds for them to publish in their newsletters or intranets.  Art. 8: As part of the on-going efforts under the Ethical Leadership Programme (ELP) to promote civil service integrity and to enhance civil servants’ knowledge on integrity management, the Civil Service Bureau (CSB) published in September 2012 a booklet on the common law offence of Misconduct in Public Office (MIPO) and uploaded some 30 new examples of acts of misconduct onto the Resource Centre on Civil Service Integrity Management (RCIM) which is a government intranet accessible to all civil servants. To enable Ethics Officers and officers responsible for staff management and integrity management of individual B/Ds better understand the provisions and implications of MIPO, two seminars were held in October 2012 and May 2013 with speakers from CSB, Department of Justice and ICAC. Under ELP, CSB and ICAC also conducted joint visits to government departments to exchange views with their senior management on the implementation of integrity management and areas of concern in conduct and discipline matters. In April 2013, a visit was made to the Agriculture, Fisheries and Conservation Department. Under ELP, ICAC undertakes to assist B/Ds to review their codes of conduct to ensure that they are in line with public expectation on the highest standard of integrity in the civil service. ICAC has reviewed the latest integrity requirements issued by CSB and those promulgated in individual B/Ds’ codes of conduct and updated the Sample Guide on Conduct and Discipline (the Sample Guide) which was issued jointly by ICAC and CSB some ten years ago. New features of the code include MIPO, supervisory accountability and post-service outside work. ICAC will introduce the Sample Guide and the action plan for B/Ds to review their codes of conduct in an ELP workshop for Ethics Officers to be held in June 2013. The revised Sample Guide is scheduled for issue jointly with CSB to all Ethics Officers of B/Ds in August 2013. Upon request from individual B/Ds, ICAC will provide tailor-made advice to update their codes having regard to their operations and the integrity ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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rules promulgated in the new Sample Guide. To facilitate the promotion of managing conflict of interest amongst civil servants, CSB and ICAC have jointly issued to government B/Ds cartoon strips sets with feature articles on management of conflict of interest so that B/Ds may disseminate the message in a lively manner. To further promote and entrench an ethical culture in the civil service, CSB introduced a Special Citation Award under the 2013 Civil Service Outstanding Service Award Scheme to recognise the best integrity management practice in B/Ds. For politically appointed officials (PAOs)1, the Independent Review Committee for the Prevention and Handling of Potential Conflicts of Interest (IRC) published its report on 31 May 2012 and made recommendations in respect of the system that regulates PAOs’ declaration of interests and investments and acceptance of advantages and entertainment. Correspondingly CMAB revised the “Code for Officials under the Political Appointment System” (the PAO Code) which took effect on 1 July 2012. To enable PAOs better understand the applicable laws and the provisions of the Code, an ICAC briefing session was arranged in late 2012.  Art. 7-10: In collaboration with 11 local tertiary education institutions (TEIs), CPD of ICAC compiled and promulgated in March 2012 a guide “Partner for Excellence – A Corruption Prevention Guide for TEIs” with five modules separately covering “Administration of Donations”, “Technology Transfer and Commercialization”, “Administration of Outside Practice”, “Procurement”, and “Financial Reporting”. Following the promulgation of the Guide, CPD proactively assisted TEIs to adopt the best practices, including organising a capacity building seminar on procurement in April 2012. Assistance in the form of detailed procedural reviews of individual TEIs in the areas of operations covered in the Guide were being carried out since mid-2012 and would straddle the whole of 2013.  Art. 12: ICAC also provides advice for private companies to assist them in promoting corporate governance and internal controls that safeguard against corruption and malpractice. Between September 2012 and April 2013, corruption prevention advice was given in response to a total of 217 requests.

1 Politically appointed officials include – (a) Secretaries of Department and Directors of Bureau; (b) Director of the Chief Executive’s Office; (c) under secretaries; and (d) political assistants. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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ICAC continued to offer corruption prevention services to newly listed companies within three months of their listing. So far, about 1,000 listed companies had been visited by ICAC. About 65% of them have accepted corruption prevention services. In October 2012, ICAC promulgated a legal guide in Chinese to Small and Medium Enterprises (SMEs) with operations in the Pearl River Delta region of China together with the Guangdong Provincial People’s Procuratorate, China and the Commission Against Corruption in Macao, China alerting SME operators to abide by the anti-corruption laws in the respective regions and provide them with practical information on corruption prevention. Workshops have been arranged for different chambers of commerce and trade associations to strengthen the capabilities of SMEs in preventing corruption. The English version was available in June 2013.  Art. 13: Following the issue of a Best Practice Reference (BPR) in December 2011 to all 75 National Sports Associations (NSAs) in Hong Kong with a view to enhancing their governance and internal administration and controls, CPD of ICAC proactively offered assistance to individual NSAs to help them adopt the recommended measures in BPR. Up to April 2013, CPD had approached all NSAs and met and provided services for over 60 of them. CPD, in conjunction with the Leisure and Cultural Services Department, conducts thematic talks for NSAs covering various topics such as selection of athletes and enhancement of internal controls. A thematic talk was held in January 2013 regarding the enhancement of internal controls. ICAC has been disseminating probity messages to the youth in different phases of their school life through teaching packages, educational projects or face-to-face talks/workshops. An Ambassador Programme has been organised since 2007/08 to mobilize university students taking ownership in organising on-campus and inter-institution activities to convey probity messages to their fellow students. The Programme was extended to 11 TEIs in Hong Kong in the 2012/13 academic year. An association was also formed in 2010 to enable ICAC maintaining contact with the Ambassadors, gauging the younger generations and engaging their support to anti-corruption work. As at May 2013, it has more than 500 members. ICAC developed a Personal Ethics Module for tertiary students in 2010/11 and delivered talks on that theme to students. The module was adopted by 10 TEIs in Hong Kong in the 2012/13 academic year

2. Measures Being Planned to Implement UNCAC provisions  Art. 5–10: ICAC will continue to review public sector procedures with a view to instituting corruption resistance procedures and practices. ICAC will continue to recommend government departments and public organisations to adopt probity clauses in their public procurement contracts for various goods and services, with a view to upholding high ethical standards of their contractors and suppliers and promoting ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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ethical practices.  Art. 7: ICAC will reach the management of all government B/Ds by various means to review their integrity promotion plans and the need to step up training on integrity management, especially managing conflict of interest.  Art. 8: CSB will also keep under constant review the service-wide rules and guidelines on conduct and discipline matters to ensure that they remain clear and adequate in present day circumstances, and endeavour to work on more sample cases for uploading onto RCIM. Under ELP, ICAC will assist government B/Ds in reviewing their codes of conduct to ensure that they are in line with public expectation on the highest standard of integrity in the civil service. CSB and ICAC will continue to work closely with B/Ds through a proven three-pronged strategy, viz, prevention, education and training, and sanction, to uphold a high standard of integrity and probity in the civil service. CSB and ICAC are jointly updating the sample Guide on Conduct and Discipline to facilitate B/Ds to update their in-house guidelines. CSB and ICAC will continue organising workshops and conducting visits to departments under ELP. Besides, CSB and ICAC will jointly organise MIPO seminars for civil servants at all levels on a regular basis to enable them to better understand this common law offence. CSB will keep under constant review the service-wide rules and guidelines on conduct and discipline matters to ensure that they remain clear and adequate in present-day circumstances  Art. 12: In 2013, ICAC will produce a training video for private sector companies to highlight common malpractices in procurement systems and practices, and promulgate corruption resistant procedures as well as best practices in this respect. ICAC will continue to share anti-corruption experience and promote good governance and best practices in workshops and seminars organised for various professional bodies and trades related to accounting, banking, securities, insurance, testing and certification, real estates and construction, etc., as well as other private sector organisations. ICAC will launch an e-learning package for banking practitioners to enhance their knowledge and skills in countering corruption, handling ethical dilemmas and overall integrity management. ICAC will continue to promote business ethics to publicly listed companies in Hong Kong. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 13: ICAC will continue organising the Ambassador Programme for tertiary students and will organise a Youth Integrity Project (YIP) in the 2013/14 academic year with a view to further equipping the tertiary students to be promoters of a probity culture. YIP also aims at enhancing capabilities of the tertiary students joining the ICAC Ambassador Programme of Hong Kong to conduct collaborative integrity promotion activities through their involvement in the planning, preparation and implementation of the activities; and providing a platform for exchanges on relevant topics such as personal ethics, fostering positive values and building a clean society among tertiary students from Hong Kong, Mainland China, Macao and overseas. The major component activities of YIP include a team competition, an exchange programme and a youth summit. ICAC will continue promoting the Personal Ethics Module to TEIs by incorporating it into their General Education and relevant programmes. It has been planned to extend the provision to all the 17 TEIs in Hong Kong in the 2013/14 academic year.

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Art. 12: The acceptance of ICAC’s services including anti-corruption talks, formulation / review of staff code of conduct, corruption prevention measures to plug corruption loopholes and strengthen internal controls in private organisations is entirely voluntary and subject to the policy and availability of resources of its clients.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Art. 5: In February / March 2013, the Centre of Anti-Corruption Studies of ICAC in collaboration with three tertiary education institutions of China organised a seminar in Hong Kong entitled “The Development and Management of Anti-Corruption Systems in Hong Kong and Mainland China”. The two-day seminar was attended by over 200 academics and experts from Hong Kong and Mainland China, local civil servants and professionals. The papers and presentations of the 20 speakers will be published in 2013.  Art. 8: From October 2012, the Civil Service Training and Development Institute of CSB has organised 11 workshops on integrity issues for managers at different levels within the civil service and 7 seminars for new recruits on integrity and core values. About 1,600 civil servants have attended the programmes.  Art. 12: ICAC assists private sector organisations in the implementation of corruption prevention measures, e.g. development of staff code of conduct, ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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organisation of anti-corruption talks / workshops for management staff and frontline employees, and promotion of an ethical business culture.  Art. 14: For our ongoing commitment to capacity building for the financial sectors, HKC has been organising anti-money laundering (AML) seminars for the financial sectors. Around 2,654 participants attended the annual series of AML seminars held in September/October 2012 and April 2013. In order to share the experience and skills in combating money laundering and financial crime, the Director of Public Prosecutions (DPP) and two counsel from the Prosecutions Division (PD), Department of Justice, had attended the Association of Certified Anti-Money Laundering Specialists (ACAMS) 5th AML and Financial Crime Conference on “Managing Financial Crime Risk in a Changing World” held from the 22-23 April 2013 in Bangkok, Thailand. More than 200 financial crime professionals from across the Asia-Pacific took part in the conference which covered a wide range of topics including emerging money laundering schemes, impending regulatory requirements, sanctions controls and international best practices.

B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organisations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  ICAC has continued with the measures previously undertaken to implement UNCAC provisions.  Art. 21 - “any act in relation to his principal’s affairs or business” In November 2012, the Court of Appeal (CA) of HKC had in the case of Secretary for Justice v. Chan Chi-wan, Stephen and Anor (CACC 103/2012) made clarifications as to the meaning of “any act in relation to his principal’s affairs or business” under section 9 of the Prevention of Bribery Ordinance (“POBO”) (Cap. 201). It has been confirmed that: (i) the comments made by the Privy Council in the case of Commissioner of ICAC v Ch’ng Poh [1997] HKLRD 652, that “for the section to apply, the person offering the bribe, must have intended the act or forbearance of the agent to influence or affect the principal’s affairs. …Thus it is an essential ingredient of the offence under s.9 that the action or forbearance of the agent should be aimed at the principal.” remain applicable; (ii) the capacity in which an agent does an act is irrelevant to the question of whether the act is one which is in relation to the principal’s affairs or business; (iii) for a charge of agent accepting an advantage, it needs not be proved that the agent doing the act intends it to influence or affect the principal’s affairs; and (iv) the agent’s act needs not be prejudicial to the principal’s affairs or business.  Art. 23: On 31 May 2013, CA handed down the judgment of HKSAR v Pang Hung-fai (CACC 34/2012) in relation to the offence of “dealing with property known or believed to represent the proceeds of an indictable offence” (“dealing with proceeds”). For “having reasonable grounds to believe”, two questions have to be asked and the Prosecution has to adduce evidence on: o all the facts known to the defendant that relate to the dealing with property that is the subject of the charge; and o process these facts through the mind of the common sense, right-thinking member of the community and determine whether this person, possessed of these facts, objectively would consider them sufficient to lead a person to believe that the property in question constitutes ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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the proceeds of an indictable offence. When this reasonable person considers these facts objectively it means he does so uninfluenced by the personal beliefs, perceptions or prejudices of the defendant. CA rejected the argument that the reasonable grounds must be such that they would inevitably cause all and any reasonable men to hold the required belief. CA held that the grounds should be such that a common sense, right-thinking member of the community “would consider sufficient” and not “would lead a person to believe”. The two are quite separate issues and should not be confused. CA also rejected the argument that the word “belief” involved a greater certitude of conviction and therefore there was no scope for the existence of competing beliefs. The belief is something more than suspicion and something less than knowledge. It is not even proof on the balance of probabilities and certainly not of the level of certitude or conviction as contended. CA rejected that the grounds were required to be so strong that they would satisfy the reasonable man that the property represented, beyond all reasonable doubt, the proceeds of an indictable offence. CA also held that the offence of dealing with proceeds was sufficiently precise and did not breach the principle of legal certainty. However, CA left open and did not decide on whether there exists a “halfway house” defence, i.e. whether it would be a defence that the defendant honestly and reasonably did not suspect the property to represent the proceeds of an indictable offence.

2. Measures Being Planned to Implement UNCAC provisions  Art. 31: By means of section 8 of the Organised and Serious Crimes Ordinance (“OSCO”) (Cap. 455) and section 12 of POBO, HKC continues to be in compliance with Article 31. Section 8 of OSCO deals with the confiscation of proceeds of ‘specified offences’ as set out in Schedule 1 and Schedule 2 of OSCO. Schedule 2 will be expanded by the inclusion of market misconduct and manipulation offences under the Securities and Future Ordinance (Cap. 571). The draft subsidiary legislation is being prepared and will be introduced to LegCo in due course. HKC will continue with the measures previously undertaken to implement UNCAC provisions.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Since October 2012, ICAC officers have continued to receive training through courses and workshops organised by ICAC and other institutions both in Hong Kong and overseas for strengthening their professional capabilities and knowledge in various aspects of enforcement work.  In order to share the experience and knowledge with local and overseas law enforcers and other professionals in combating money ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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laundering, counsel of the Proceeds of Crime Section of PD of the Department of Justice spoke at the following relating to the Implementation of Chapter III:  Asset Recovery - Issues and Challenges Financial Investigation Course for Corrupt Practices Investigation Bureau of Singapore on 22 February 2013; and  Asia/Pacific Group on Money Laundering Workshop on Revised Financial Action Task Force Standard in Colombo, Sri Lanka on 28 -29 May 2013.

C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  ICAC has continued to participate in international anti-corruption initiatives, conferences, symposia and work groups with a view to enhancing international cooperation in fighting corruption.  The Operations Department (“Ops Dept”) of ICAC also expanded and consolidated an international network to fight corruption through exchanges of information and participations in visits, meetings and trainings with overseas counterparts.  Ops Dept of ICAC has continued to publish the International Anti-Corruption Newsletter on the ICAC website, which contains contributions and articles from law enforcement agencies throughout the world. 2. Measures Being Planned to Implement UNCAC provisions  ICAC will continue to participate in international anti-corruption initiatives, conferences, symposia and work groups with a view to enhancing international cooperation in fighting corruption. 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

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4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  Art. 43: Between October and November 2012, Ops Dept of ICAC organised a Command Course attended by in-house Chief Investigators and senior officials from various law enforcement agencies in Hong Kong, Mainland China and overseas. The course provided the participants with a platform for experience sharing and networking with their counterparts from different jurisdictions around the world. In addition, ICAC attended the APEC Anti-Corruption and Transparency Working Group Meeting in January 2013 in Jakarta, Indonesia for experience and knowledge sharing in combating corruption. The Commissioner of ICAC attended the Executive Committee Meeting of the International Association of Anti-Corruption Authorities (IAACA) held in New Delhi, India between 8 and 10 April 2013. The agenda of the meeting covered the work plan of IAACA, the work of a taskforce on knowledge management system, training for its members and the content of a framework agreement for creating an exchange network of information by its members.

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

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4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts) (Please see http://www.oecd.org/dataoecd/55/16/48787217.pdf)  1(a) Conducting multi-jurisdictional corruption investigations and prosecutions. Including through the use of formal and informal channels; joint investigations, and encouraging international and regional police agencies to share information in multi-jurisdictional corruption cases. o ICAC will continue striving to expand and consolidate its international networking through continued cooperation and collaboration with overseas jurisdictions in investigation, as well as through visits and trainings with overseas anti-corruption and law enforcement agencies. ICAC will continue to establish liaison channels with overseas agencies directly or through their consulates in HKC, and will continue to participate in international anti-corruption initiatives and conferences, such as hosting ICAC Symposium and issuing ICAC International Anti-corruption Newsletter in order to exchange experiences and boost cooperation among its overseas counterparts.  1(b) Obtaining of information about corruption cases by receiving information from (i) non-criminal law enforcement agencies (such as tax agencies); (ii) multilateral development banks; and (iii) grassroots civil society watch dog organisations.  1(c )Strengthening anti-corruption efforts in public procurement, including the use of new technologies, comprehensive procurement laws, integrity pacts, and improving the capacity of procurement institutions. To strengthen anti-corruption efforts in public procurement, the "Standard Terms and Conditions for Tenders for Supply of Goods" for government contracts was revised in July 2012 to include, among other things, enhancements in the probity requirements for tenderers (e.g. a "Warranty Against Collusion" has been included in the document). In respect of the conclusion of the Regional Conference held in India in September 2011 that anti-corruption and fair competition agencies should work together closely to address the links between corruption and bid-rigging, the Government Logistics Department has, in consultation with ICAC and the Department of Justice, revamped the standard terms and conditions of tender for the supply for goods by incorporating anti-collusion and/or probity clauses to provide, among others, that by submitting a tender, a tenderer is regarded to have represented and warranted to the Government that – ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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(i) it has not communicated and will not communicate to any person other than the Government the amount of any price submitted in its tender; (ii) it has not fixed and will not fix the amount of any price submitted in its tender by arrangement with any person; (iii) it has not made and will not make any arrangements with any person as to whether it or that other person will or will not submit a tender; and (iv) it has not colluded and will not otherwise collude with any person in the tendering process. In the event that a tenderer breaches any of the representations and/or warranties, the Government shall be entitled to reject the tenderer’s tender, withdraw its acceptance of the tender or terminate the contract.  1(d) Involving the private sector in anti-corruption efforts, including the adoption and implementation of appropriate corporate compliance frameworks, whistle blowing mechanisms, and measures targeting small and medium size enterprises. o ICAC offers advice to private companies in improving their internal controls to safeguard against corruption and malpractices. The advice is free of charge, confidential, and tailor-made to meet the specific needs of the organisation. Between September 2012 and April 2013, ICAC provided advisory services to private sector companies/organisations on 217 occasions. o ICAC’s Hong Kong Ethics Development Centre (HKEDC), established with the support of six major commercial chambers in HKC, has co- organised seminars/workshops with different trade associations including those of small and medium size enterprises as well as with relevant professional organisations relating to accounting, securities, construction works, real estate, testing and certification, etc., and spoken at conferences on business and professional ethics. o HKEDC has established/maintained different networks with different trades and professions in the private sector (e.g. banks, commercial chambers and trade associations) to leverage their support for promotion of anti-corruption messages and corruption prevention services to their staff/member companies through workshops, sharing sessions and feature articles.  1(e) Enhancing the environment for civil society, including vigilant media, to assist in anti-corruption efforts, including improved access to information, and safe and reliable channels to report allegations of corruption to the law enforcement authorities.

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  HKEDC of ICAC shares knowledge and experience in the promotion of business and professional ethics with other countries through its website, e-newsletters and e-alerts; briefings for overseas visitors; visits to other countries and participation in international conferences.

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India

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  The General financial Rules in chapter 6 &8, a manual of policies and procedures for purchase of goods, instructions issued by CVC on issues relating to procurement and tender meet the requirements relating to public procurement envisaged under this Article. These guidelines and administrative measures are being given a legal backing through a legislation on Public Procurement (The Public Procurement Bill, 2012) which is presently under consideration of the Parliament.  The Prevention of Money Laundering (Amendment) Bill was introduced in the Indian Parliament on December 27, 2011. The bill was drafted to amend the Principal Act to update the provisions for combating money laundering and terror financing. These amendments are in line with the standards set by Financial Action Task Force (FATF). The Bill finally was passed and amended Act named The Prevention of Money Laundering Act, 2002 came into promulgation on 5th February, 2013.  With these amendments, it is believed that the Principal Act would largely conform to the global standards. The following are the key amendments to the Act: o Expanded the definition of offence of money laundering to include activities like concealment, acquisition, possession and use of proceeds of crime. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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o Removed the upper limit of fine of Rs. 5 Lakhs. o Expanded the scope and duration of Attachment of property to 180 days o Introduced the concept of Reporting Entity o Increased the powers of the Director to call for records and conduct inquiries o Provided that special courts can release property in case of decision by a foreign court o Clarified that prosecution extends not only to individuals but to Companies as well o Deleted the monetary threshold that applied to the offence of money-laundering  India has a vibrant Media and Civil Society and is empowered with the right of freedom of speech and expression and active involvement is encouraged. The recent developments in connection with the movement for a strong and effective ‘ombudsmen law’ is testimony of the Government’s continued resolve to recognize and encourage the voices outside the realm of three pillars of executive, Legislature and Judiciary. Recently in June 2013, National Food Security Bill, 2013 was passed by way of Ordinance. This will go a long way in streamlining Public Distribution System for Food Supplies and prevent scope of Corruption in the system. 2. Measures Being Planned to Implement UNCAC provisions  A number of recent initiatives to address the needs of more effective Governance, enhanced Transparency, greater public accountability and eradicating corruption over the last two years are being carried forward to ensure that the institutional structure/legal framework to combat corruption leads to stronger and effective measures in the immediate future. Some of the recent initiatives are :  The Decision to Ratify the United Nations Convention against Corruption on May 2011 and India will be reviewed during the year 2013-14, for which preparatory steps have been commenced.  Further progress has been made in the proposed legislations for Prevention of Bribery of Foreign Public Officials and Officials of Public international Organizations, Protection of whistle blowers, Ombudsmen law in Lokpal and Lokayukta Bill, and “Judicial Standards and Accountability Bill, 2010”.  A number of Instructions on the recommendations of the Group of Ministers constituted in January 2011 to consider all measures, including legislative and administrative, to tackle corruption and improve transparency have been issued  During the year guidelines were issued on mandatory publication of tender inquiries on the Central Public Procurement Portal and guidelines for comprehensive end to end e –procurement were issued. The details can be accessed through the links  http://www.finmin.nic.in/the_ministry/dept_expenditure/GFRS/Pub_tender_Enq_CPPPortal.pdf and ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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http://www.finmin.nic.in/the_ministry/dept_expenditure/ppcell/OM_Comp_endtoend_eprocure.pdf  Many state governments and ministries have implemented e-procurement and have standardized 3.Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Tackling corruption has very complex dimensions. The efforts to tackle and address the problem of corruption is a continuous one and the challenge is to sustain the momentum of continuous review of existing domestic laws, its implementation. Awareness creation and sensitizing the public against the evils of corruption is one big challenge for a vast country like India with 120 million people. 4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter II  Various state government and line Ministries and agencies like Central Bureau of Investigation, Central Vigilance Commission, and State Vigilance Commissions have organized many such Trainings and workshops. Consultation meetings are also held regularly.

B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22:Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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2. Measures Being Planned to Implement UNCAC provisions  Government continues to take all the steps to implement the existing laws in full measure and to ensure that everyone is equal before the eyes of the law.  As stated in response under Pillar I , a number of initiatives for strengthening the institutional infrastructure and legal mechanism have been carried forward.  The Ministry of Home Affairs set in motion a process of due diligence for amending the Indian Penal Code in order to cover private sector bribery and is presently at the stage of consultation with the State Government. It has also been considered desirable to look at the supply side of the bribery in terms of tackling it better through appropriate legal provisions in the domestic anti corruption legislation.  Proposal to bring in a strong and effective law on ‘Ombudsmen’ to tackle corruption is under consideration of the Legislature as stated under Pillar 1 is also making progress. The Existing Anti graft law is also being examined for review.  A Parliamentary Committee’s report on the Bill to protect the Whistle Blowers was stated to be under examination in the last year’s report. Further progress has been made and steps are in process for bringing official amendments to the Bill after considering the recommendations of the report. The Media and Civil Society continue to be vibrant and active in reporting corruption cases. The general criminal laws have adequate provision to extend protection to witnesses./reporters 3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  As indicated in Pillar 1 4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter III ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 As indicated in Pillar 1 C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV

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 Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

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Indonesia

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Art. 5: Preventive anti-corruption policies and practices o Establish “KPK Roadmap 2011-2023” as a guidance to its working plan toward the implementation of National Integrity System o Government organizations and institutions will be encouraged to implement Internal Oversight System, Government Internal Control System, to conduct Fraud Risk Assessment, create Fraud Control Plan and implement Fraud Control System o A comprehensive early warning system will be created by integrating wealth report and gratification report (e-gratification module) o KPK conducted assessment on: subsidized fertilizer management system, foreign-worker employment license service, policy of strategic commodity trade procedure, social assistance policy, corruption-risk mapping at the Indonesia Parliament body, non-taxable state revenue management policy, Fraud-Control System and Recruitment and facilitator management o The establishment of 5 MoU with Indonesian Ministries and other government agencies o The establishment of cooperation agreement with Indonesian Armed Forces, Directorate General of Immigration, Directorate General of ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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General-Law Administration and with 33 universities in Indonesia.  Art. 6: Preventive anti-corruption body or bodies o The implementation of Presidential Instruction No.1/2013 on National Action Plan on Prevention and Eradication of Corruption 2013. This is to ensure the adoption of “Strengthening Institutional Mechanisms” in law enforcement institutions. Each institution is obliged to follow mechanisms in their internal systems (recruitment, placement, mutation, and promotion based on assessment, fit and proper test, competence, and integrity)  Art. 8: Codes of conduct for public officials o Completing code of conduct for State Officials (clear sanctions and punishment systems, disciplinary, conflict of interest)  Art. 9: Public procurement and management of public finances o KPK has been conducted: KPK Integrity Survey, Anti-Corruption Initiative Assessment, Study on Social Cost of Corruption and Stage 1 of Family-Based Corruption Eradication Study Program  Art 11: 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. o KPK, in cooperation with Supreme Court, organize court recording at corruption courts throughout Indonesia. The recording can be accessed by public and other government institutions (with due regard for the protection of privacy and personal data)  Art. 13: Participation of society o Conducted campaign “Election with Integrity” for public o Organize Anti-Corruption Youth Camp o KPK conducted Public Perception Survey o Conducted public examination on 20 corruption case verdicts (cooperation with Indonesia Corruption Watch)  Art. 14 : Measures to prevent money-laundering o In cooperation with Bank of Indonesia and FIU, KPK provide workshop in provincial level every year in order to increase awareness on anti-money laundering and anti-corruption issues (KYC and due diligence program)

2. Measures Being Planned to Implement UNCAC provisions ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 5: Preventive anti-corruption policies and practices: To dissemination and adopt the National Integrity System throughout Indonesia. There will be a Convention to launch National Integrity System in October 2013  Art.10: Public reporting: Implement Law No 14 /2008 on Public Information promulgated on 30 April 2008. The Law, which consists of 64 chapters, is to ensure public agency to access public information such as Disclosure of Information In Case Handling (including corruption case), government’s planning and budgetary system, providing each applicant to obtain public information  Art. 14 : Measures to prevent money-laundering: Indonesia is developing Personal Exposed Persons (PEPs) system via the Indonesian FIU (PPATK)

3.Issues, Challenges and Constraints in the Implementation of UNCAC provisions  To increase engagement with CSOs and public participation in preventing and combating corruption  How to measure the effectiveness of corruption prevention strategies  To increase public private partnership in preventing and combating corrupt practices  How to prevent corrupt practices in government procurement

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Training and capacity building for government agencies to implement National Integrity System  Capacity building and best practices on Public-Private Partnership B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  The number of corruption cases handled by KPK has actually increased. By December 2012, 72 corruption cases have been investigated, compared to 39 the year before.  In 2012, KPK has handled more grand corruption and bribery cases. For instance, the Bank Century case, Hambalang sports facility and the driving license simulator case involving police officials at the central level. For the first time KPK has made an active general and an active minister as suspects. KPK also managed to apply the Money Laundering Law against perpetrators of corruption.  As part of the coordination and supervision mandates and pursuant to Presidential Instruction Number 17 of 2012 regarding Prevention and Eradication of Corruption, KPK initiated a program dubbed “Joint Training to Increase Capacity of Law Enforcement Personnel in Eradicating the Crime of Corruption for law enforcement personnel in Central Java, East Kalimantan, Jambi, and Bengkulu to attend the training. In all, there were 600 participants from the police, Attorney General’s Office, the Finance and Development Supervisory Agency (BPKP) and the Supreme Audit Board (BPK). ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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2. Measures Being Planned to Implement UNCAC provisions  To amend anti-corruption act, Criminal Code, Criminal Procedure Code, and MLA and Extradition Act to support international cooperation in the field of criminal law enforcement  Completion of the new Asset Forfeiture Bill  Indonesia will continue to implement all the measures to comply with the UNCAC  To develop a stronger law enforcement authorities cooperation at domestic and global levels 3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  No power to investigate private sector corruption  To speed up the enactment of new anti-corruption act (additional article on: foreign bribery)  How to prosecute and sanction legal person involved in corruption cases  Strengthening anti-corruption efforts in combating foreign bribery and bribery in the private sector  Lack of capacity of the investigator/prosecutor in dealing with corruption case related with foreign jurisdictions/entities

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Capacity building on foreign bribery, trading in influence, bribery in the private sector, concealment, liability of legal persons  Training and capacity building on protection of witnesses, expert and victims, whistleblower system and compensation for damage C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Trainings and capacity building for government officials in international cooperation and MLA (joint cooperation with Australian institutions) in 2013  Joint investigations with South Asian countries and Hong Kong  Signing two MoUs with Anti-Corruption authorities of Thailand and Vietnam  Trainings and capacity building in cooperation with FBI US on evidence collection and witnesses interview technique  Indonesia as the host of the South East Asia Parties Against Corruption (SEAPAC) Secretariat Meeting and APEC Anti-Corruption and Transparency Working Group in January and June 2013  The signing of bilateral treaties on mutual legal assistance and extradition with the government of Vietnam (28 June 2013) and extradition treaty with the government of Papua New Guinea (17 June 2013)  Indonesia hosted international workshop on “Strengthening Anti-Corruption Authorities in APEC member economies” 28 January 2013 in Jakarta and workshop on “Strengthening Integrity Through Public Private Partnership, Preventing Facilitation Payments and Managing Gratuities” 24 June 2013 in Medan 2. Measures Being Planned to Implement UNCAC provisions  To sign more MoU with other foreign agencies in the 2nd semester of 2013  Joint cooperation with OECD to organize training/seminar in the second semester of 2013  To establish more bilateral/multilateral treaties with other countries to support international cooperation in corruption crime enforcement 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Differences in the legal system (civil vs. common law, dual criminality requirement, refusal of in absentia trial, etc)  Limited international/bilateral treaty in extradition, transfer of sentenced person and other treaties to support international cooperation between law enforcement 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  Trainings on mutual legal assistance drafting, special investigation techniques for law enforcement agencies  Capacity building on money laundering and corruption investigation involving foreign jurisdiction ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  Training and capacity building on asset forfeiture and how to implement and practice the non-conviction based asset forfeiture effectively E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts)

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  KPK organized international conferences and workshops: ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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1. International Conference on Principles for Anti-Corruption Agencies in November 2012 (in cooperation with UNDP and UNODC) 2. APEC ACT workshop on “Challenge and Strategy to Strengthen Anti-Corruption Authorities to Combat Corruption in a Modern World” in January 2013 3. APEC ACT workshop on “Strengthening Integrity through Public-Private Partnership: Preventing Facilitation Payment and Managing Gratuities” in Medan (June 2013)

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

Japan – 57 –

Japan

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  (Art 7) In FY 2011, a total number of ca. 255,000 out of about 274,000 National Public Employees in the Regular Service under the National Personnel Authority (NPA) pay scheme attended some kind of ethics training organized by the National Public Service Ethics Board (NPSEB), the Cabinet Office or each Ministry (These training are organized also in FY 2012). In order to promote well-planned training to maintain ethics, NPSEB carries out leadership training on ethics and supports initiatives by the Cabinet Office or each Ministry to carry out effective training to maintain ethics by developing training materials such as presentations, case study DVDs and e-learning materials for executive officers and assistant directors.  (Art 8) NPA makes pamphlets (70,000 copies in total between 2012 and 2013) to ensure that discipline is thoroughly maintained, and distributes these pamphlets to each ministry.  (Art 8) In the first week of December 2012 NPSEB organized a "National Public Service Ethic Week", as has been done in the past, and made efforts for activities to raise the ethical level of National Public Employees. The Ethics Supervisory Officer of the Cabinet Office or Each Ministry held lecture and sends e-mails to all employees on the topic during the week.  (Art 8)To address the low utilization rate of the whistle-blowing system, NPSEB issued the notice to the Cabinet Office and each ministry in ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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December 2010 to ensure that whistle-blowers are protected thoroughly and that public employees are aware of the whistle-blowing contact points. NPSEB continues efforts to spread this information.  (Art.13 & 16) Regarding corporate behavior, the Ministry of Economy, Trade and Industry (METI) has annually encouraged companies to improve internal controls and to clarify basic policies for prevention of bribery of foreign public officials in orientation sessions regarding the offence for legal staff and other practical persons of companies. The orientation sessions have been held in 12 cities and involved the participation of about 2600 people in FY 2012. In addition, with the intent of increasing visibility of information on the foreign bribery, METI has enhanced the content of its website.  (Art 14) JAFIC, the Japanese Financial Intelligence Unit (FIU), has been communicating with FIUs of other countries to set frameworks for information exchange. JAFIC has set the frameworks for information exchange with 11 foreign FIUs since the 17th Steering Group Meeting in October 2012.(as of 31 May 2013)

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II

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1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  (Art. 30) The Ministry of Foreign Affairs (MOFA) excluded a company which had committed a fraud in an ODA project from the entry to subsequent ODA grant aid projects for six months. In the above mentioned ODA project, the company had leaked in an arbitrary manner confidential information including project’s cost estimates to a candidate bidder.  (Art. 34) MOFA barred three companies, due to their fraud acts, from the entry to ODA grant aid projects for a month or six months. In one ODA project, a constructor had disobeyed the project’s design and carried out the construction in a rough manner. Recognizing rude result of the construction, both the constructor and a consultant had not taken any action and just delivered it to a client. In another project, a company fraudulently charged the expenditure with falsified vouchers using as evidence lawless papers including the employment agreement with fictitious local employees.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

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4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  (Article 15&16&38) In September 2012 and April 2013, National Police Agency (NPA) of Japan held a special conference for the director in charge of the investigation of economic and financial crimes of the Prefectural Police and exchanged opinions and experiences regarding the investigation of bribery and corruption.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  Art.43,46,48～50）Prosecutors who were responsible for domestic and foreign bribery in district public prosecutors office and Police officers of National Police Agency(NPA) of Japan who were expert on domestic and foreign bribery cases participated the foreign bribery training conference in Washington D.C. hosted by DOJ and SEC of United States. Through lecture and discussion, they learned how to effectively cooperate and coordinate with foreign law enforcement officials and so on. And the Ministry of Justice (MOJ) will distribute such result to all prosecutors offices with publication.

D. UNCAC Chapter V: Asset Recovery UNCAC Provisions: ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  The United Nations Asia and Far East Institute for the Prevention of Crime and the Treatment of Offenders (UNAFEI), established by agreement between the United Nations and the Government of Japan, places high priority on anti-corruption measures, including prevention and awareness-raising in the planning and the delivery of its training programmes.  UNAFEI organises an annual programme entitled the “UNAFEI UNCAC Training Programme: Effective Legal and Practical Measures against Corruption”. Its 15th Programme was implemented in 2012 and discussed measures such as prevention (Art. 5), law enforcement, codes of ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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conduct, and reporting requirements (Arts. 8 and 10).  UNAFEI’s Ninth Seminar on Criminal Justice for Central Asia, held in 2013, addressed the topic of “Addressing Corruption which hinders Countermeasures for Drug Offences and Other Crimes: Especially, Ethics and Codes of Conduct for Judges, Prosecutors and Law Enforcement Officials” (Art. 8).  Starting in 2007, UNAFEI has held an annual “Good Governance (GG) Seminar” that aims to promote the rule of law and good governance in the Southeast Asian countries. In 2012, the sixth GG seminar, “International Cooperation: Mutual Legal Assistance and Extradition”, (Arts. 43, 44, and 46, etc.) was held in Tokyo, Japan.

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Korea

A. UNCAC Chapter II: Preventive Measures UNCAC Provisions:  Art. 5: Preventive anti-corruption policies and practices  Art. 6: Preventive anti-corruption body or bodies  Art. 7: Public sector  Art. 8: Codes of conduct for public officials  Art. 9: Public procurement and management of public finances  Art.10: Public reporting  Art 11: 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.  Art. 12: Private sector  Art. 13: Participation of society  Art. 14 : Measures to prevent money-laundering 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Art. 5: Preventive anti-corruption policies and practices Since 2002, the Korean government has conducted the Integrity Assessment every year to measure the integrity levels of public sector organizations. The results of the assessment is mainly based on a survey of those who directly experienced corruption-prone services of the public organizations subject to the assessment. The Integrity Assessment has won the 1st prize in the category of Preventing and Combating Corruption in the Public Service at the 2012 United Nations Public Service Awards (UNPSA). In 2012, the Anti-Corruption & Civil Rights Commission (ACRC) conducted the Integrity Assessment for a total of 662 public organizations. Additionally, it has introduced a specialized integrity assessment for national and public universities, totaling 35. The assessment methodology has also been improved by integrating a policy customer and expert evaluation with the results of the survey and statistical data on corrupt public officials. According to the results of the Integrity Assessment published in November 2012, the average integrity score of public organizations in Korea stood at 7.86 points on a scale of 0 to 10. 1.0% of the survey respondents said that they gave money, entertainment and favors to public officials, slightly higher than the 2011 figure (0.8%). In addition to the assessment of public organizations introduced in 2002, the ACRC has conducted the Integrity Assessment for high-level ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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officials since 2011. In 2012, 2,075 public officials in 84 public organizations including about 1,000 principals were subject to the Assessment. Since 2002, the Korean government has carried out the Anti-Corruption Competitiveness Evaluation (formerly named Anti-Corruption Initiatives Assessment) to measure the effectiveness of efforts made by public organizations to prevent corruption and increase transparency and integrity. The results of the Assessment are used to disseminate best practices and provide consulting service for the organizations which performed poorly in the assessment. In 2012, a total of 294 public organizations were subject to the Assessment.  Art. 9: Public procurement and management of public finances The Korean government is seeking to introduce a mandatory Integrity Pact system and disclose the entire process of contracting for local governments. In July 2012, the Ministry of Public Administration and Security announced the bill to amend the Act on Contracts to Which the Local Government is a Party. The bill passed the National Assembly on 27 June 2013. According to the bill, a company that intends to bid for or sign a contract with a local government will be required to sign an Integrity Pact to pledge that it will not offer gratuities, money, gifts, or entertainment to public officials and those that have breached the Pact will be debarred from local government bids for up to two years. Additionally, all local governments will be required to make public all stages of contracting from planning, bidding to payment.  Art.12: Private sector The Korean government amended on 1 April 2013 regulations on pharmaceutical affairs, medical devices and administrative measures against medical misconduct to strengthen sanctions against illegal rebates in the medical and pharmaceutical industry. According to the amended regulations, pharmacists, and pharmaceutical companies will face suspension of their license or service in proportion to the amount of the illegal rebates involved without the request for investigation or court ruling if only the act of giving or receiving illegal rebates has been confirmed. The ACRC and the Federation of Korean Industries signed an MOU on cooperation to promote business ethics on 17 July 2013. They agreed to share their expertise and collaborate to foster a culture of integrity in the private sector by launching “Business Ethics Academy” for private companies and publishing best practices in business ethics. The ACRC organizes ethical management training courses for ethics mangers of public corporations and private companies, and sends Business Ethics Brief, a monthly newsletter on latest domestic and global trends in ethical business management, to corporate managers, civil society groups, and university students by e-mail.  Art. 13: Participation of society The ACRC conducts a program designed to nurture university students as anti-corruption experts (ACE) and a train-the-trainer program for university students and graduates. In May 2013, it selected 59 students who will join the ACE program to produce training and promotional contents on integrity issues, and 20 participants who will attend the train-the trainer program to learn how to develop anti- ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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corruption training programs for young people and build their capacity as future anti-corruption instructors. The ACRC signed an MOU on 5 June 2013 with 6 universities in Cheongju City, where its Anti-Corruption Training Institute is located, to collaborate with each other in providing anti-corruption training for university students, citizens and school personnel. The ACRC provides financial support for anti-corruption campaigns led by civil society groups to promote voluntary and creative efforts for raising public awareness of transparency and integrity issues. In 2012, the ACRC provided a 340 million won (about 300,000 dollars) fund for 23 projects, including “promoting public interest whistleblowing,” “anti-corruption manifesto campaign,” “integrity puppet show” and “promoting involvement of citizens in drawing up the government budget.”  Art. 14 : Measures to prevent money-laundering The Act on Reporting and Use of Certain Financial Transaction Information (2001) was amended as of 21 March 2012 to strengthen punishment against financial institutions that violate the obligation to report financial transactions suspected of money-laundering. According to the amended Act which took effect on 22 March 2013, the Commissioner of the Financial Services Commission (FSC) may take measures including caution and warning against such violation in addition to order of correction. Under the Act, the Commissioner of the FSC may request the head of the financial institution concerned to punish executives or employees involved in such violation. The Act specifies the levels of punishment as recommendation of dismissal, six months’ suspension from duty, and disciplinary warning. On 14 June 2012, the FSC announced the bill to amend the Act on Reporting and Use of Certain Financial Transaction Information in line with the international standards for anti-money laundering. The bill passed the National Assembly on 2 July 2013. The purpose of the amendment is to mandate financial institutions to report all suspicious financial transactions regardless of the amount of the transactions, and in the case of wire transfers, to make it obligatory for financial institutions to share information about the remitter and the remittee.

2. Measures Being Planned to Implement UNCAC provisions  Art. 13: Participation of society In 2013, the Anti-Corruption Training Institute under the ACRC plans to provide training for 4,000 participants, including 360 public officials for Train-the-Trainer Course, 1,000 public officials for integrity training tailored to every public career stage, 1,440 public officials for training on major corruption-prone areas, 60 compliance officers in private companies for Business Ethics Course, and 160 principals and vice principals of elementary and secondary schools for School Ethics Leaders Course. In 2013, the ACRC will provide a 340 million won (about 300,000 dollars) fund for 23 anti-corruption projects conducted by civil society groups, including “promoting public interest whistleblowing,” “enhancing transparency in local councils,” and “raising awareness of corruption.” ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter II

B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22:Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Art. 33: Protection of reporting persons In 2012, the ACRC handled 27 cases of requests for protection of whistleblowers from disadvantageous treatments by taking steps to guarantee their employment, provide them with physical protection, or protect their confidentiality. Over the same period, it provided about USD 1.2 million to whistleblowers as compensation in 40 cases, which resulted in increasing or recovering government revenues. The Act on the Protection of Public Interest Whistleblowers came into force on 30 September 2011. The Act has introduced safeguards against action detrimental to those who made public interest disclosures, including the guarantee of employment and confidentiality, physical protection, and mitigation of culpability. Under the new Act, the ACRC can take protective steps and provide compensation for those who reported an act that infringes on the health and safety of the public, the environment, consumer interests and fair competition. Those who disclosed bribery of foreign public officials are also protected under this Act. In 2012, the ACRC received a total of 1,142 public interest whistleblowing reports. It took measures to protect the whistleblower's employment status including reinstatement, while providing public interest whistleblowers with financial rewards in 32 cases, totaling about USD 25,000.  Art. 38: Cooperation between national authorities The ACRC singed an MOU with the Supreme Prosecutors’ Office on 25 July 2013 to step up cooperation for fighting against corruption. Under the MOU, the two organizations will share information related to corruption and misconduct of public officials, exchange investigators, and organize a bilateral meeting on a regular basis to discuss the implementation of the MOU.

2. Measures Being Planned to Implement UNCAC provisions  Art. 15: Bribery of national public officials The ACRC announced the Bill on the Prohibition of Illegal Solicitations and the Prevention of Conflicts of Interest of Public Officials on 22 August 2012. Under the Bill, a public official who receives money or other item of value from anyone will face criminal punishment or an administrative fine regardless of the intention of the bribe payment. The ACRC plans to submit the bill to the National Assembly by the end of July 2013.  Art. 18: Trading in influence According to the conflict of interest bill announced by the ACRC in August 2012, a person who made an illegal solicitation to a public official ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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will be punished with an administrative fine, and the public official who performed his or her duties in an illegal and improper manner in response to illegal solicitation will face criminal punishment. The Bill contains various mechanisms for preventing conflicts of interest, including the prohibition of public officials from performing duties involving their private interest, restriction on their outside activities, restriction on financial transactions with businesses, and prohibition of the use of undisclosed information. The ACRC plans to submit the bill to the National Assembly by the end of July 2013.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter III

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Art. 57: Return and disposal of assets: The Korean government extended the statute of limitations for the forfeiture and collection of the illicit assets of public officials from 3 to 10 years by amending the Act on Special Cases Concerning Forfeiture for Offenses of Public Officials on 12 July 2013. The amended Act also provides for the forfeiture of assets illegally gained by family members or acquaintances, and has strengthened the measures to trace concealed assets.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

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intranet and the governmental website on overseas mission reports (bits.mopas.go.kr).

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  Ten participants from the National Anti-Corruption Commission of Thailand and the University of the Thai Chamber of Commerce participated in the training workshop on the “Anti-Corruption Competitiveness Evaluation” hosted by the ACRC in March 2013.  The ACRC organized the Training Course for International Anti-Corruption Practitioners in June 2013. Thirteen participants from thirteen Asian and African countries attended the two-week training program.

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Macao, China

A. UNCAC Chapter II: Preventive Measures UNCAC Provisions:  Art. 5: Preventive anti-corruption policies and practices  Art. 6: Preventive anti-corruption body or bodies  Art. 7: Public sector  Art. 8: Codes of conduct for public officials  Art. 9: Public procurement and management of public finances  Art.10: Public reporting  Art 11: 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.  Art.12: Private sector  Art. 13: Participation of society  Art. 14 : Measures to prevent money-laundering 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  A total of 42 sessions of seminars were organized for nearly 2,100 civil servants in the public sector, themes included integrity, code of conduct for civil servants and public procurement.  29 seminars were organized for over 1,500 staff members and CEO of private enterprises.  Over 315 sessions of seminars and activities were organized for over 17,000 primary and secondary schools students to instill positive values like honesty and integrity.  Co-organized the activity of “integrity week” with 2 secondary schools.  A corruption-prevention guideline for small and medium enterprises has been published by the anti-corruption agencies in Macao, Guangdong and Hong Kong. In order to enable the SMEs in Macao to clearly understand the guide and deepen their understanding of the legislation against corruption in the private sector of Macao, the CCAC and the Macao Chamber of Commerce co-organized the launching ceremony of the guideline and a seminar entitled “Integrity, Law Observance and Clean Business Environment” in November 2012. The event has gathered around 150 representatives from various sectors, including tourism, service, MICE, banking, logistics and catering. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 A new TV ad to promote the channels of reporting corruption and launching administrative complaints has been launched in January 2013.  A variety show co-organized with 5 civil associations was hold in December 2012. Open to all public, the aim is to boost integrity awareness for all walks of life in Macao.  In order to convey the message of honesty and law-observance to teenagers, the CCAC compiled a book entitled Collection about Integrity, which gathers articles written by 31 local writers, figures in educational and cultural sectors and outstanding students. The CCAC held the New Book Collection about Integrity Sharing Session in December 2012, which served as the launching ceremony of the book. Four of the authors were invited to share their views and own experiences and stories about integrity.  to strengthen the effectiveness of the promotion of the law “prevention and suppression of bribery in the private sector”, the CCAC compiled a book entitled Love for Integrity 3 of 31 selection articles, dedicated to the promotion of corruption prevention in the private sector. The content of the book includes professional ethics, receiving commission, handling of gifts, conflict of interest and the formulation of code of conduct, etc. The book is in form of vivid story to illustrate the relevant provisions of the law Prevention and Suppression of Bribery in the Private Sector and issues that require special attention.  Recruitment of the Integrity Volunteer Team was launched in March. An activity of orientation was hold in May to enhance communication among members and collect opinions about integrity building from members.  To celebrate Children’s Day and entrench positive values like honesty and integrity to primary students , the CCAC organized an event called “Celebrate Children’s Day with William, the Integrity Bear”, for primary students. CCAC has also set booth games at the Children’s Day Bazaar organized by a civil association and the government to further promote the concept of integrity to the public.  2013 marks the election of the member of the Legislative Assembly. To promote clean election, a variety show has been conducted jointly with the departments responsible for voter registrations in late October 2012.  In order to promote clean election, the CCAC has published a series of new pamphlets, poster and printed advertisement to call for support of clean election and report electoral bribery.  New TV and radio advertisements are launched to promote clean election.  Launch a new webpage about clean election to educate and remind the voters and potential candidates to uphold integrity in election. A mobile APPS is in the pipeline.  Organize a slogan design competition about clean election.  “Act on Integrity” touring drama program this year focuses on the topic of “clean election”. Over 1,700 students from 10 schools have ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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participated.  A touring exhibition on “Clean election” was conduced in over 90 venues all over Macao. The aim is to increase public awareness.  Law no. 1/2013, amending Law no. 11/2003 Declaration of Incomes and Properties was passed by the Legislative Assembly in January 2013 and is now in force. Major revisions include public disclosure of assets of the principal officials and positions held in non-profit organizations by them.  Administrative Bylaw no. 3/2013, amending Administrative Bylaw no. 3/2009“Organization and Operation of the Service of the Commission against Corruption”, has become effective. The amendments have rationalized the internal structure and operation of Commission against Corruption, especially the set up of the Declaration of Assets and Interests Division to handle “Declaration of Incomes and Properties”.

2. Measures Being Planned to Implement UNCAC provisions  The working Group for the review of UNCAC implementation is studying the possibility to report the need for legislative reviews and measures in certain matters through the proper channels.

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  The legislative process in the Macao SAR usually takes longer than desirable.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  The members of the working group for the review of UNCAC implementation have attended a series of international seminars and workshops related with this subject promoted by different institutions  Internal training of the public procurement course held in CCAC February to May, 2013..  Attendance of Anti-Money Laundering and Anti-Terrorism Financing seminar in Gaming industry, held in Macau on 30th November, 2012. B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  During October and November 2012 CCAC together with several other departments of Macau government (AMCM, DICJ, DSE, GIF, GSS, SPU and PJ) had sent staff to attend the “Financial Investigation Courses” held in Hong Kong by the HKJFIU.  In November 2012, delegates from CCAC together with several other departments of Macau Government (AMCM, DICJ, DSE, GIF, GSS, SPU and PJ) attended the “APG Typologies Workshop”, held in Hanoi, Vietnam.  CCAC has been recruiting new staff to cope with the increasing workload related with this area of work namely increasing the number of inspectors with adequate qualification and experience to cope with the increasing needs to investigate corruption and corruption related crimes and also allocating significant resources in terms of IT systems to enhance their capacity of analysis in this area. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Under the umbrella of the FIU the inter-departmental working group is still working towards the revision of Law no. 2/2006 and Administrative Regulation 7/2006 concerning money laundering with the initiation of several projects: o Revision of Law no. 2/2006 and Administrative Regulation 7/2006 with the main objective to incorporate necessary Customer Due Diligence requirements o To extend the scope of predicate offence to go in line with the FATF standards (adopted in February 2012) o To establish a freezing mechanism o Studies had also been initiated to discuss the implementation of cross-border control measures and drafting of necessary supplementary regulations.  Administrative Bylaw no. 3/2013, amending Administrative Bylaw no. 3/2009“Organization and Operation of the Service of the Commission against Corruption”, has become effective. The amendments have rationalized the internal structure and operation of Commission against Corruption. Investigation Department III has been set up for investigation of corruption in private sector.  The draft bill for a new Law, criminalizing the active bribery of foreign public officials and officials of international organizations has entered the first phase of the legislative process and tabled for review by the Executive Council.

2. Measures Being Planned to Implement UNCAC provisions  The Government had planned training initiatives for the year 2013 / 2014 concerning money laundering and financial investigation techniques, and enhancement of professional training in financial investigation techniques, analysis skills, intelligence analysis regarding bribery offences in the private sector for Commission Against Corruption (CCAC).  The working Group for the review of UNCAC implementation is studying the possibility to report the need for legislative reviews and measures in certain matters.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  The legislative process in the Macao SAR usually takes longer than desirable,  Lack of expert and knowledgeable instructors who are familiar with both the Macao SAR legal system and its practical problems.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  The members of the working group for the review of UNCAC implementation will keep attending a series of international seminars and workshop related with this subject promoted by different institutions. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Attendance of the Independent Commission Against Corruption of Hong Kong (ICAC) Chief Investigators' Command Course No. 32. The course is designed to meet the professional needs of middle managers in a law enforcement environment, who have potential to advance to senior positions within their respective agencies. It also provides a valuable opportunity for participants from across the world to exchange their experiences and ideas.  Attendance of Forensic Accounting access E-Learning Gateway in 2012.  Attendance of Firearms and Close Protection Course in order to enhance CCAC staff’s understanding of Laws and Rules of Witness Protection, held in Hong Kong, 2012.  Attendance of Protection of witnesses, experts and victims course, held in Bangkok on 10-14th December, 2012  Attendance of "National Risk Assessment" Seminar, held in Macau on 17th April, 2013.  Attendance of “EnCase Computer Forensic” course which is introducing the EnCase Forensic Version 7 and examination methodology. Attendees can get the knowledge of how to use the basic features of the EnCase V7, the basic concept of the computer forensics and how to acquire and analyse data from the digital evidences, held in Macau on 7th-28th October, 2012  The Commission Against Corruption of Macao and People's Public Security University of China co-hosted the training course during 9th-16th of December, 2012 in Beijing. The Information and case studies on the issue of the judicial system of China, the Basic Law of Macau, the latest established Code of Criminal Procedure in China as well as important investigative techniques, shared by professors and legal experts from the People's Public Security University of China.

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012 ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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2. Measures Being Planned to Implement UNCAC provisions  Cooperate with Macao FIU and other law enforcement organizations  Convene Inter-departmental meeting with Procuretorate and Secretary for Administration and Justice about the International cooperation 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  The legislative and judicial process in the Macao SAR usually takes longer than desirable,  Members of the public and some government agencies still think that prevention and combat of corruption lies only on CCAC 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  In-house training based of specific cases. D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Continuing attending the UNCAC conference and IAACA conference. 2. Measures Being Planned to Implement UNCAC provisions  The working Group for the review of UNCAC implementation is studying the possibility to report the need for legislative reviews and measures in certain matters.  Convene Inter-departmental meeting with Procuratorate and Secretary for Administration and Justice about the International cooperation ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Cooperate with Macao FIU and other law enforcement organizations  Visit the congener institutions to learn the relevant experiences  Increase the information exchange 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  The legislative process in the Macao SAR usually takes longer than desirable,  Lack of resource and competence 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  The members of the working group for the review of UNCAC implementation will keep attending a series of international seminars and workshop related with this subject promoted by different institutions

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  In order to implement the Framework Agreement on Cooperation Between Guangdong and Macao and strengthen the exchange and cooperation in integrity building between the two places, the CCAC of Macao and the Guangdong Provincial Department of Supervision entered into the Letter of Intent on Integrity Building between Guangdong and Macao in January 2013, with an aim to establish a mechanism of cooperation to promote steady development of integrity building.  The CCAC cooperates with anti-corruption departments from Hong Kong and China under a mutual case assistance mechanism. In order to enhance the case investigation.

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Malaysia

A. UNCAC CHAPTER II: PREVENTIVE MEASURES 1. Measures Undertaken to Implement UNCAC provisions since the 16th Steering Group Meeting in September 2011  Preventive measures under Chapter II of UNCAC are carried out by the following institutions/authorities: A. The Community Education Division of the Malaysian Anti-Corruption Commission (MACC) B. The NKRA (or National Key Result Area) Fighting Corruption Division of the MACC C. The Institute of Integrity Malaysia (IIM) D. The Malaysia Institute of Corporate Governance (MICG) E. The Committee on Integrity and Governance of Federal & State Government Departments and agencies and District /Municipal Councils F. The EAIC (Enforcement Agencies Integrity Commission) G. PEMANDU (Performance Management & Delivery Unit) H. Other Non-Governmental Organizations e.g. Transparency International –Malaysia

Below are highlights of achievements of the preventive measures under taken by the above mentioned institutions/authorities in 2011/2012 Achievements/Activates UNCAC Article  Developing a reward & recognition scheme for civil servants who report corruption  (Article 8 paragraph 4)  Launching of Anti-Corruption Campaign Hotline (1-800-88-6000) with new mascot “Agent Lang” with the support of five law enforcement agencies to facilitate public to report corruption  Launching of Public Service Reform booklet which collated the details of all  (Article 10) bureaucratic process and service-related reforms

 Integrity vetting for candidates of political parties  (Article 7 paragraph 2) ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 The MACC Chief Commissioner’s access to information of declaration of assets by  (Article 6 paragraph 2) Cabinet Ministers and their family members  Setting up of Compliance Unit in the following departments: MACC, Royal  .(Article8) Malaysia Police, Immigration Department, Road Transport Department, Tenaga Nasional Board, Amanah Raya Berhad

 Business Integrity program (TI-Malaysia): This programme is translated into  (Article 12) Integrity Pacts mechanism (IP). As of 2012 a total of 142,268 Integrity Pacts have been signed between the private sector and the Government in regards to public procurement contracts  Anti-corruption Principles for Corporations in Malaysia 2011 : This effort is  (Article12) translated into Corporate Integrity Pledge (CIP) from the combined input of above mentioned institutions/authorities of MACC, IIM, NKRA-fighting Corruption, , PEMANDU, TI-M, and others like Companies Commission Malaysia, Securities Commission, Malaysia Bourses. To date 154 Companies have taken the challenge to make public their Integrity Pledges.  Establishing parameters of support letters  (Article 9)

 On-going education programmes of the Community Education Division of  (Article 5, Article 6 and Article 13) Malaysian Anti-Corruption Commission:- please see table below titled :  (Please see Table “Prevention Activities of MACC” attached)  Preventive Activities of MACC in 2011  Preventive Activities of MACC in 2012  On- going programmes of Vetting, Monitoring and Integrity Committee of Football  (Article13) Association of Malaysia  Setting up of EAIC (Enforcement Agencies Integrity Commission) in 2011 through  (Articles 6 & 8) EAIC Act 2009 ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 The announcement made by the Chief Justice in January 2012 that superior court  (Article 8 paragraph 5) & Article 11 judges will be required to declare their assets

Preventive Activities of MACC-2011

No. Programme Remarks UNCAC Article 1 Public Talks A total of 2.105 talks were delivered involving Articles 5, 6, 13 162,512 audience 2 Musical Presentation A total of 17 musical presentations with anti- Articles 5, 6, 13 corruption messages/theme were delivered 3 Public Exhibition A total of 261 exhibitions were sponsored Articles 5, 6, 13 throughout the country 4 Seminar A Total of 28 seminar were carried out targeting Articles 5, 6, 13 key communicators in corruption-prone Government Departments 5 A total of 113 activities were implemented 6 Convention of Institute of Higher Learning 1 activity Article 5,6,13 Secretariat 7 Public Engagement Programme A total of 52 programmes were carried out Article 5, 13 8 Media Promotion  LED advertisement display at public places Article 5, 6, 13 at 8 premises of Local Authorities/ Restaurants/Ports of entry.  Video capsule at Government Health clinics  Cinemas 9 Telemovie/Drama on main-stream TV 4 drama series based on true investigation cases Article 5, 6, 13 network were broadcasted

Preventive Activities of MACC in 2012

No. Programme Remarks UNCAC Article ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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1 Public Talks A total of 1171 talks were delivered involving 82,101 Articles 5, 6, 13 audiences 2 Information Sessions/Forums/Seminars 63 information sessions were organised involving Articles 5, 6,13 approximately 20,502 participants with the aim of providing clear and accurate information on the the efforts of the government and the MACC’ in fighting corruption 3 Public Engagement Programmes A total of 107 interactive public engagement Articles 5, 6,12,13 programmes were organised in collaboration with government agencies, the private sector and NGO’s, purported to foster greater support towards anti-corruption efforts and the realisation of a corruption-free community 4 MACC Exhibitions And ‘Jom Heboh’ (Let’s A total of 178 exhibitions themed on corruption Articles 5, 6,12,13 Fuss) Carnivals prevention were featured nationwide, 4 of which were held at the Media Prime Group sponsored Jom Heboh Carnivals 5 Corruption Prevention Secretariat Of A total of 20 SPR of Institutes of Higher Learning Article 5, 6, 13 Public Institutes Of Higher Education (SPR were formed at local universities nationwide IPTA) And Institute Of Teacher Education throughout 2012. A total of 120 programmes on (SPR IPG) character building and anti-corruption awareness were organised respectively at these institutions 6 Media promotion Video advertisement at 120 Health clinics and 300 Article 5, 6, 13 branches of CIMB Bank 7 Telemovie/Drama on main-stream TV A total of 6 drama series were broadcasted Article 5,6,13 network

2. Measures Being Planned to Implement UNCAC provisions  Political funding Act/Regulations ( Article 7 paragraph 3)  Hot job rotation (Article 8) ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 League table for performance of all local authorities  Increase accountability of all local authorities officers and councillors(Article 8)  Enable transfer of local authorities officers (Article 8)  Demarcation between procurement and privatization/public private partnership (Article 9)  Review of procurement price negotiation (Article 9)  Enhance technical capability by setting up standard and costs committee at every ministry and agencies (Article 7)  Segregation of duty between Ministers and Secretary General ( Article 8)  Increase creditability and integrity of the media (Article13)  Strengthen independence of key institutions (Article 6) 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Business community support and receptiveness  Financial constraints and logistics

4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter II  Capacity building and training needs to strengthen Chap.II UNCAC in are provided by the Malaysia Anti-Corruption Academy’s School of Corruption Prevention and Management as well as the Corporate Integrity Centre.  (Please see Table “Training Courses by Malaysia Anti-Corruption Academy 2011” and “Training Courses by Malaysia Anti-Corruption Academy 2012”)  Between 7-10 October, 2012 Malaysia hosted and participated at the 6th IAACA Annual Conference and General Meeting 2012 on Technical Assistance and Information Exchange which covered a wide range of provisions under Chapters II, III, VI and V of UNCAC. This annual conference and general meeting cajoles and further raises the momentum in the global fight against corruption via international cooperation in matters related to investigation, prevention measures as well as concerning asset recovery and denial of safe haven. A total of 920 delegates representing 100 anti-corruption agencies worldwide attended the conference  Malaysia also participated in the following seminars/conferences/workshops in 2011 and 2012:.

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Table 1A- Capacity Building Seminars to Strengthen the Implementation of Chapter II in 2011 No Capacity Building Topic Forum/Event No. of Programme Participants 1 Working Paper Fighting corruption in Malaysia United Kingdom and Eire Council for 1 presentation Malaysian Student 2 Conference/Working Community Education in Combating 4th Corruption Prevention Workshop 1 Paper presentation Corruption: Strategies and Approaches among Developing Countries 3 Seminar/Working Paper Procurement Reforms 7th ADB/OECD Meeting and Seminar 3 presentation 4 Conference/Sharing of Building a National Integrity System: the National Conference on Integrity 1 experience Malaysian Experience 5 Conference/Paper Procurement Challenges-Development from 3rd Australian Public Sector Anti-Corruption 2 Presentation around the world anti-corruption initiatives: Conference The MACC experience 6 Workshop/ paper Effective use of Integrated Media in enlisting IAACA Public Service Announcement 1 presentation public support to anti-corruption work Video competition and Workshop 7 Seminar War against perception: the role of social UNAFEI Regional Seminar on Good 1 media in gaining public support Governance for South East Asian Countries 8 Seminar/Working paper MACC Innovative Partnership With Civil OECD Working Group on Bribery 2 presentation Society Organizations to work with private sector in Enhancing Corporate Compliance 9 Meeting Anti-corruption principles and practices on: APEC Expert Group Meeting 1 Compare Fairly; Act Honestly, Execute with Integrity, Transparency and Accountability, Bribery and Undue Influence, Health and Safety, Environment, Treatment of Workers and Community Engagement.

Table 1B- Capacity Building Seminars to Strengthen the Implementation of Chapter II in 2012

No Capacity Building Topic Forum/Event No. of ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Programme Participants 1 Workshop Experiences in corruption prevention The 5th Corruption Prevention 2 efforts in their respective countries. Workshop among Developing Countries Beijing, China from August 14-20,2012 2 Workshop Anti-Corruption of Conduct for Business Workshop on the Implementation of the 2 APEC Anti-Corruption of Conduct for Business 3 Forum APEC Principles for Voluntary Codes of Americas Competitiveness Forum 1 Business Ethics in the Medical Device (ACF) in Cali, Colombia held from October Sector’ in a forum held 22 to 29, 2012

B. UNCAC CHAPTER III: CRIMINALIZATION AND LAW ENFORCEMENT 1. Measures Undertaken to Implement UNCAC provisions since the 16th Steering Group Meeting in September 2011 No Descriptions of Measures UNCAC Article 1 In 2011, under auspices of the Government Transformation Programme (GTP), the following (Article 30). Government Fighting -Corruption National Key Result Areas initiatives were undertaken: Setting up of Corruption Courts – to try corruption cases within one year. To date there are 14 Corruption Courts in each state (3 of which are in the capital city of Kuala Lumpur) To date (as of 2012), 404 cases have been processed.

Establishing a whistleblower frame work (guidelines) based on the Whistleblower Protection Act 2010. (Article 33). To date (as of 2012) 96 individuals have been given protection under this Act.

Develop a database of convicted offenders. As of 2012, a total of 1172 offenders have been listed in (Article 41) the database. Developing a centralized database on declaration of asset by public officials at the MACC (Article 20) ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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2 In June 2012 Malaysia was selected to be reviewed by Governmental Experts from the Republic of the COSP resolution 3/1 Philippines and Kenya for Chapter III and Chapter IV in the 3rd year of the first review cycle of the UNCAC Review Mechanism. Malaysia completed the Self-Assessment Check List for Chapter III and Chapter IV in October 2012. This was followed by a desk review and subsequently a country visit was made by the UNODC Secretariat and the Governmental Experts of the Philippines and Kenya from 4-8 February 2013 as part of the final leg of the review. We are now awaiting the Executive Summary from UNODC. 3 Between 2011 and 2012, the Government also expanded the list of serious offences under the 2nd (Article 23 )paragraph Schedule of the Anti-Money laundering and Anti-Terrorism Financing Act 2001. Please see Table “ (a) Additional Offences under AMLATFA 2001” below

Additional Offences under AMLATFA 2001 since 2011-present

No. Anti-Trafficking in Persons and Anti-Smuggling of Migrants Act 2007 [Act 670] 1 Section 15A Offence in relation to trafficked person in transit 2 Section 26A Offence of smuggling of migrants 3 Section 26B Aggravated offence of smuggling of migrants 4 Section 26C Offence in relation to smuggled migrants in transit 5 Section 26D Offence of profiting from the offence of smuggling of migrants 6 Section 26E Fraudulent travel or identity documents 7 Section 26F Providing facilities in support of smuggling of migrants 8 Section 26G Providing services for purposes of smuggling of migrants 9 Section 26H Concealing or harboring smuggled migrants and migrants smugglers 10 Section 26I Supporting offence of smuggling of migrants 11 Section 26J Offence of conveyance of smuggled migrants 12 Section 26K Obligation of owner, etc. of conveyance Companies Act 1965 [Act 125] 1 Section 91 No issue without approved deed 2 Section 131 Disclosure of interests in contracts, property, offices, etc. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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3 Section 132C Approval of company required for disposal by directors of company’s undertaking or property 4 Section 132E Substantial property transaction by director or substantial shareholder 5 Section 363 Restriction on offering shares, debentures, etc. for subscription or purchase 6 Section 364 False and misleading statements 7 Section 364A False reports 8 Section 368 Frauds by officers Control of Supplies Act 1961 [Act 122]

1 Section 21 Unlawful possession of controlled articles Control of Supplies Regulations 1974 [PU(A) 103/1974]

1 Regulation 3 Licence required for dealing in scheduled articles, and for manufacturing 2 Regulation 13 Maintenance of books Direct Sales and Anti-Pyramid Scheme Act 1993 [Act 500]

1 Section 4 Direct sales business to be carried on only under licence 2 Section 27B Unlawful to promote or conduct pyramid scheme Kootu Funds (Prohibition) Act 1971 [Act 28] 1 Section 3 Unlawful to carry on business of promoting kootu funds

Strategic Trade Act 2010 [Act 708] 1 Section 9 Export, transhipment and transit of strategic items and unlisted items 2 Section 10 Provision of technical assistance 3 Section 11 Brokering of strategic items 4 Section 12 Transactions involving unlisted items and restricted activities 5 Section 18 Unauthorized use of permit 6 Section 21 Suspension of permit or registration upon disqualification 7 Section 23 Endorsement on permit 8 Section 24 Maintenance of documents and register 9 Section 33 Power to search conveyances 10 Section 40 Offences with respect to information 11 Section 46 Obstruction of authorized officer ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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12 Section 51 Notice for disclosure of information Strategic Trade (United Security Council Resolutions) Regulations 2010 [PU(A) 481/2010] 1 Regulation 3 Implementation of United Nations Security Council non-proliferation of weapons of mass destruction resolutions

4. Enactment of the Money Services Business Act 2011 (Act 731) to to provide for the licensing, regulation and supervision of money services business and to provide for related matters which include curbing money –laundering in the money changing business. (Article 23) 2. Measures Being Planned to Implement UNCAC provisions  To introduce liability of legal persons clauses in the MACCA 2009 (Article 26)  To establish a central authority to manage and dispose confiscated assets (Article 31 paragraph 3)

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Amendments to the MACCA 2009 will be only enacted by Parliament.  Public awareness on amendments may take time.  No precedence in court cases to secure conviction on newly amended provisions. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter III  Capacity building and training needs to strengthen Chap.III UNCAC in are provided by the Malaysia Anti-Corruption Academy’s School of Investigation, School of Intelligence, School of Law and Prosecution as well Basic Training Centre as well as the Corporate Integrity Centre.(Please see Table “Training Courses by Malaysia Anti-Corruption Academy 2011” and “Training Courses by Malaysia Anti-Corruption Academy 2012”)  Between 7-10 October, 2012 Malaysia hosted and participated at the 6th IAACA Annual Conference and General Meeting 2012 on Technical Assistance and Information Exchange which covered a wide range of provisions under Chapters II, III, VI and V of UNCAC. This annual conference and general meeting cajoles and further raises the momentum in the global fight against corruption via international cooperation in matters related to investigation, prevention measures as well as concerning asset recovery and denial of safe haven. A total of 920 delegates representing 100 anti-corruption agencies worldwide attended the conference.  During the 6th IAACA Conference and General Meeting in 2012 an MoU was signed between the MACC and IACA (International Anti- Corruption Academy) to pave the way in formulating a framework of cooperation in establishing the first Master of International Anti- Corruption programme whereby to be conducted at the Malaysia Anti-Corruption Academy (MACA).  Other capacity building efforts of Malaysia to strengthen implementation of Chapter III UNCAC are as below:

Table 2 A- Capacity Building Seminars to Strengthen the Implementation of Chapter III in 2011

No. Capacity Building Topic Forum/Event No. of Programme Participants 1 Conference/ Working Paper Combating Foreign Bribery in KPK-OECD Conference on combating 2 Presentation International Business Transaction foreign bribery in International Business Transactions 2 Meeting/Sharing of Fighting translational bribery and recent OECD Working Group on Bribery in 2 Experience experience or practical application of International Business Transaction foreign bribery offences 3 Seminar/ Working Paper Effective investigation techniques 3rd IAAC Seminar 3 presentation 4 Seminar/Working paper The use of joint-investigation teams in 7th ADB/OECD Meeting and Seminar 3 presentation corruption investigations 5 Forum Enhancing Integrity 6th ACA Forum 3 ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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6 Conference Updating Malaysia’s efforts to combat 4th Session of The Conference of State 13 corruption with the enactment of the Parties (CoSP) to The UNCAC Witness Protection 2009 and the Act Whistleblower Protection Act 2010

Table 2 B- Capacity Building Seminars to Strengthen the Implementation of Chapter III in 2012

1 Meeting 'Coordinating Among Public and Private Third Inter-Sessional Meeting of the 2 Stake Holders in Fighting Corruption: Open-Ended Inter-Governmental Another Important Role of the Anti- Working Group on Prevention, Vienna, Corruption Agency 27-29 Ogos 2012

2 Training Course Improving skills in investigations of ICAC Chief Investigation Command 1 corruption offences Course (October 29 to November 23,2012)

C. UNCAC CHAPTER IV: INTERNATIONAL COOPERATION 1.Measures Undertaken to Implement UNCAC provisions since the 16th Steering Group Meeting in September 2011

NO. Descriptions of Measures UNCAC Article 1 In June 2012 Malaysia was reviewed by Governmental Experts from the Republic of COSP Resolution 3/1 the Philippines and Kenya for Chapter III and Chapter IV in the 3rd year of the first review cycle of the UNCAC Review Mechanism. Malaysia completed the Self- Assessment Check List for Chapter III and Chapter IV in October 2012. This was followed by a desk review and subsequently a country visit was made by the UNODC Secretariat and the Governmental Experts of the Philippines and Kenya from 4-8 February 2013 as part of the final leg of the review.We are now awaiting the Executive ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Summary from UNODC.

2 The Royal Malaysia Police (RMP), has nine MoUs in place with ASEAN counterparts Article 48 (paragraph 1) (Singapore, Indonesia, Thailand, Philipines, Brunei, Cambodia, Vietnam, Laos and Myanmar), and with China, USA, Australia, U.K, Iran and Bangladesh. The MoU with Korea Police is still under negotiation while that with India Police is in the process of ratification 3 The RMP also receives and posts liaison officers with embassies and missions in Article 48 (paragraph 1) other countries such as Australia, Canada, New Zealand, Indonesia and Taiwan 4 The Central Bank of Malaysia (Bank Negara) has 32 MoUs with 32 countries before Article 48 (paragraph 1) 2010 and as of May 2012 it has increased 3 more MoUs with Macao (2011), Papua New Guinea (2011), and Turkey (2012). Number of STRs exchanged with Bank or competent authorities of foreign States and timeframe: 2,324(2011) and 991(Jan-April 2012) 5 The MACC has an attaché with the INTERPOL, Lyons, France for a period of two Article 48 (paragraph 1) years from 2012-2013. He has been tasked to assist the INTERPOL in matters relating to capacity development among Asian countries as well as to develop close collaboration in anti-corruption efforts among European Union nations.

5 In 2012, two Memorandum of Understanding (MoU) were signed by the MACC with Article 48 (paragraph 1) the following agencies: - I. National Anti-Corruption Commission (NACC) of Thailand, and II. International Anti-Corruption Academy (IACA).

7 A new legislation titled “The International Transfer of Prisoners Act 2012 [Act 754]”, Article 45 which governs the transfer of prisoners from foreign States to Malaysia or vice versa, was drafted by the Ministry of Home Affairs together with the Attorney General’s Chambers and given Royal Assent on 20 December 2012.

8 Extradition Treaty was signed between the Government of Malaysia and the Article 44 Government of the Republic of India 2012.

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9 The MACC and the Anti-Corruption Bureau (ACB) of Brunei set up an "Operational Article 49 Working Group" which meets annually on policy issues, as well as a sub-working group on operational or case-related issues. The OWG comprises officers from the investigation and intelligence divisions of MACC and ACB Brunei.

2. Measures Being Planned to Implement UNCAC provisions  Extradition Treaty is pending between the Government of Malaysia and the Government of Korea 2013.(Article 44)

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Common thresholds requirements;  Guarantee of reciprocity;  Evidence of actual involvement of suspect ;  Incriminating supporting documents/copies;  Elements of the offence needs to be established;  Translation of the request in the language of the requested country;  Economic benefit to the accused.

4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter IV  Between 7-10 October, 2012 Malaysia hosted and participated at the 6th IAACA Annual Conference and General Meeting 2012 on Technical Assistance and Information Exchange which covered a wide range of provisions under Chapters II, III, VI and V of UNCAC. This annual conference and general meeting cajoles and further raises the momentum in the global fight against corruption via international cooperation in matters related to investigation, prevention measures as well as concerning asset recovery and denial of safe haven. A total of 920 delegates representing 100 anti-corruption agencies worldwide attended the conference.  Other capacity building efforts of Malaysia:

Table 3A-Capacity Building Seminars to Strengthen the Implementation of Chapter IV in 2011

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No Capacity Building Topic Forum/Event No of Measures Participants 1 Advanced Analysis Role of FIU and Operation of Anti-Money 2 Workshop Laundering and Anti-Terrorism Financing Act 2001 2 Meeting The Importance of International Cooperation in A SEA-PAC 4 Fight Against Corruption 3 Workshop Transnational Crime Investigation Workshop on Transnational Crime Investigation 4 Work Camp Regional Cooperation Law Enforcement Agency work 4 camp

Table 3B-Capacity Building Seminar to Strengthen the Implementation of Chapter IV in 2012

1 Transparency Chapter of the Trans-Pacific Partnership (TPP) Agreement discussion on March 7, 2012 in Dallas, and from July 1-6 in California United States of America

2 8th Secretariat Meeting of the South East Parties Against Corruption (SEAPAC) discussion on efforts in strengthening the partnership and collaboration in fighting corruption at the international level, especially in Southeast Asia. The meeting was held in Bangkok, Thailand from April 1-4. 3 ICAC Symposium ‘Old Challenge, New Approach: Fighting Corruption in a Changing World’. Dato’ Sri Abu Kassim Mohamed, Chief Commissioner of the MACC led a delegation of senior officials to the ICAC Symposium held in Hong Kong from May 9-11. At the symposium, Dato' Sri Abu Kassim presented a paper on ‘Enhancing International Cooperation Against Corruption: Malaysia Experience'

D. UNCAC CHAPTER V: ASSET RECOVERY 1. Measures Undertaken to Implement UNCAC provisions since the 16th Steering Group Meeting in September 2011

2. Measures Being Planned to Implement UNCAC provisions

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar and Training Needs to Strengthen the Implementation of Chapter V  Capacity building and training needs to strengthen Chap.V UNCAC in are provided by the Malaysia Anti-Corruption Academy’s School of School of Investigation, School of Law and Prosecution and School of Intelligence, (Please see Table “Training Courses by Malaysia Anti-Corruption Academy 2011” and “Training Courses by Malaysia Anti-Corruption Academy 2012”)  Between 7-10 October, 2012 Malaysia hosted and participated at the 6th IAACA Annual Conference and General Meeting 2012 on Technical Assistance and Information Exchange which covered a wide range of provisions under Chapters II, III, VI and V of UNCAC. This annual conference and general meeting cajoles and further raises the momentum in the global fight against corruption via international cooperation in matters related to investigation, prevention measures as well as concerning asset recovery and denial of safe haven. A total of 920 delegates representing 100 anti-corruption agencies worldwide attended the conference.  Other capacity building efforts of Malaysia to strengthen implementation of Chapter V includes as follows:

Table 4A-Capacity Building Seminars to Strengthen the Implementation of Chapter V in 2011 and 2012

No Capacity Building Topic Forum/Event No of Measures Participants 1 Conference Asset Recovery: Malaysian Experience International conference on asset 2 recovery, Almaty, Kazakhstan 2 Meeting Aasset tracking issues (asset recovery) and Sixth Inter-Sessional Meeting of the Open- 2 its compliance to the chapter V UNCAC Ended Inter-Governmental Working Group on Asset Recovery, Vienna August 30 & 31,2012 3 Workshop Asset recovery mechanisms to recover APEC Capacity Building Workshop on 2 assets, international cooperation in asset Asset Recovery July 9-12,2012 in Phuket, recovery, assets forfeiture, sales and return Thailand on assets as well as a close bilateral and multilateral cooperation in recovering ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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assets 4 Conference Effective ways to prevent, monitor and 3rd Global Focal Point Conference on 1 investigate the transfer of assets across Asset countries as well as knowledge sharing on Recovery, Amman, Jordan from July 14- asset freezing, confiscation, seizure, 17, 2012. recover and return of assets. 5 Seminar Asset Recovery and Asset Disclosure Asian Development Bank (ADB)/OECD 1 Regional Seminar on Asset Recovery and Asset Disclosure (October 23 and 24, 2012 in Hanoi, Vietnam)

E. Additional Developments 1. Members’ Report on measures taken to implement the conclusions of the Regional Conference held in India in September 2011  (Please see http://www.oecd.org/dataoecd/55/16/48787217.pdf)  1(a) The conduct multi-jurisdictional corruption investigations and prosecutions. Including through the use of formal and informal channels; joint investigations, and encouraging international and regional police agencies to share information in multi-jurisdictional corruption cases. o The Malaysian Anti-Corruption Commission has its own Mutual Legal Assistant unit that handles MLA requests on matters pertaining to corruption offences committed overseas. It deploys both formal and informal approaches to obtain information through foreign anti- corruption agencies. o The Malaysian Anti-Corruption Commission’s attaché to INTERPOL in Lyon, France also plays the role of gathering of intelligence on corruption offences committed by Malaysian citizen/Permanent Residence.  Operation Working Group (OWG) of the Malaysian Anti-Corruption Commission (MACC) and the Bruneian Anti-Corruption Bureau (ACB) has conducted several cross-border operations between the two States e.g.Ops Cobra – 2010 – 2011,Ops Sewa – 2011,Ops 2K – 2011  1(b) Obtaining of information about corruption cases by receiving information from (i) foreign non-criminal law enforcement agencies (such as tax agencies), (ii) multilateral development banks, and (iv) grass-roots civil society, watch dog organisations.  (Arrangement between Malaysia and foreign non-law enforcement agencies esp tax agencies, multilateral development banks and grass root civil society or watch- dog organizations to obtain information on corruption cases or evidence is done formally through Mutual Legal Assistance Request by the Attorney General Chambers to the relevant foreign MLA Authorities). More often than not watch-dog organizations ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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usually make their findings known through social media ( both print and electronic) e.g. the London based NGO Global Watch (GW) produced a video that captures the conversation between GW’s undercover investigator and the Chief Minister of Sarawak State first cousins, which stunningly revealed the truth of how the Chief Minister and his family make illicit fortunes from illegal disposal of Sarawak’s vast timber land. The video was posted on YouTube, and featured in global TV network Aljazeera on March 18  1(c) Strengthening anti-corruption efforts in public procurement, including the use of new technologies, comprehensive procurement laws, integrity pacts, and improving the capacity of procurement institutions. In respect of this requirement, Malaysia’s anti-corruption efforts include the following measures: o Continued implementation of Integrity Pacts mechanism in accordance to the Ministry of Finance (Government of Malaysia) Circular No.10 of 2010: Guidelines on the Implementation of Integrity Pact (IP) Government Procurement. o Continued implementation of the Malaysian Government Circular on Disciplinary Action against Companies and Consultants No.6/2010 which enables the Government to black list an errant company registered with the Ministry of Finance up to 5 years. o Implementation of the Malaysian Government Transformation Programme under Fighting Corruption National Key Result Areas initiatives on Government procurement which includes: 1. MyProcurment portal and MyPartnership portal 2. Defining parameter of support letters 3. Training for procurement officers 4. Demarcation between procurement and privatization/Public and Private partnership 5. review of the procurement price negotiation 6. enhance technical capability by setting up standard and costs committee at every ministry and agencies  1(d) Involving the private sector in anti-corruption efforts, including the adoption and implementation of appropriate corporate compliance frameworks, whistle blowing mechanisms, and measures targeting small- and medium-sized enterprises. Malaysia adopts a corruption prevention approach by engaging private companies and government –linked/owned companies to be committed in fighting corruption through Corporate Integrity Pledge:- o To refrain from all forms of corrupt activities o To work toward creating a business environment that is free from corruption ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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To uphold the Anti-Corruption Principles for Corporations in the conduct of its business and in its interactions with its business partners and the Government  1(e) Enhancing the environment for civil society, including vigilant media, to assist in anti-corruption efforts, including improved access to information, and safe and reliable channels to report allegations of corruption to the law enforcement authorities. The Malaysian Anti-Corruption Commission practices the principles of accessibility and strictest confidentiality in enhancing the environment for civil society, including vigilant media to assist anti-corruption efforts through the following measures: o The MACC offices and branches are opened 24/7 (Section 9 MACCA 2009). o The MACCA 2009 (Act 694) also ensures that identity of persons reporting allegations of corruption are protected by virtue of Section 29 (4) and for persons laying information, Section 65 of Act 694. o Reports on alleged corruption could also be made electronically via MACC web mail or 24 hr. hot-line facility via 1-800-88-6000 o A post office box (P.O. Box 6000) facility is available to members of the public and no postage stamps are required. Constant and direct engagement by the MACC with civil society organizations and media in co-sponsoring anti-corruption forums, community education and dialogues.

2. Members’ Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  In respect of the above requirement, Malaysia has undertaken the following measures: o Participating in the 3rd Meeting of the Open-Ended IWG on the Prevention of Corruption between 27 -29 August 2012 o Participating in the Expert Group Meeting on Legal Incentive for Corporate Integrity and Cooperation- UNODC, Vienna on 23-24 May 2013 o Participating in SEA-PAC forums 2011/2012/2013 o Conducting capacity and capability building programmes/ training through the MACA -Malaysian Technical Cooperation Programme (MTCP)* such as :- 1. Corruption Prevention and Risk Management in Public Sector Organizations 2. Senior Executive Certificate for strategic management of Anti-corruption Programme ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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3. Executive Certificate Course for Strategic Management of Anti-Corruption Programme (*NOTE- Training courses are provided for overseas participants from developing countries of South-East/Central Asia and Africa, Middle East and Pacific Islands by the INTERNATIONAL STUDIES CENTRE of the MALAYSIA ANTI-CORRUPTION ACADEMY (MACA). Please see column under “INTERNATIONAL STUDIES CENTRE” in Tables titled “Training Courses Conducted by Malaysia Anti- Corruption Academy in 2011 and 2012” attached.) o Training for focal points and governmental experts participating in the Review Mechanism for UNCAC (26-28 July 2011) in MACA (17 overseas participants) o In 2011 the Malaysian Anti-Corruption Academy also conducted the Bhutan Anti-Corruption Commission-MACA basic training course ( for a total of 14 BACC officers) o As part of Malaysia’s commitment to the term of reference (i.e. to use MACA as the main training provider) in the MACA-UNDP ANTI- CORRUPTION CAPACITY BUILDING PROGRAMMES FOR OIC MEMBER COUNTRIES the following two training programmes were carried out in 2011 : o Critical element of Corruption detection, investigation skills, corruption prevention and community education, o Training of Trainers programme- Development of national training plans  The MACC also shared its expertise and experiences in the following international forum: 1. 1st INTERPOL Global Anti-Corruption Programme and Asset Recovery Workshop (13-18 Feb 2012 India) Anti-Corruption’, ‘Fraud’, and ‘Asset Recovery’ and encourage the use of asset tracking investigation in investigation procedures. 2. 1st Senior Officials’ Meeting (SOM I) Asia-Pacific Economic Cooperation (APEC) Anti-Corruption and Transparency Experts' Task Force (ACT) Working Group (1-2 February 2012, Russia). A paper on ‘Malaysia’s Initiative In Fighting Corruption’ particularly in the private sector was presented by Malaysia. 3. APEC Anti-Corruption Code of Conduct for Business / APEC ACT Working Group - SOM II (May 26-28, Kazan). A paper on ‘Preventing and Detecting Code of Conduct for Business (Malaysian Experience)’ was presented by Malaysia. 4. Singapore Commonwealth Third Country Training Programme: Better Governance Managing Corruption Programme for Heads of Investigation (Feb 20-March 2, Singapore) 5. 2nd Session of the International Anti-Corruption Academy (IACA) Provincial Commission .A discussion on IACA’s direction and formulation of training modules and research on corruption prevention at the international level was, held on March 7 in Vienna, Austria. The discussion ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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deliberated on the consideration of the Master Programme on Corruption Studies (MACS), which involves international participants. 6. OECD Working Group on Bribery in International Business Transaction (WGB) March 12-16 in Paris, France, presenting papers on issues related to overseas related corruption offences practiced in Malaysia in accordance to provisions in the Malaysian Anti-Corruption Commission Act 2009 (Act 694). 7. Expert Group Meeting between the United Nations Development Programme (UNDP) / MACC – The Arab Anti-Corruption and Integrity Network (ACINET) 8. World Bank 2nd Regional Conference on Financial Disclosure. A paper on ‘Public Access, Communication and Complaints Mechanisms’ which highlighted several mechanisms implemented by the MACC in obtaining information on corruption from the public was presented by Malaysia at the conference held from March 28-29 in Bangkok, Thailand 9. The 3rd Regional Convention on Student Development Indonesia from April 9-11 April which highlighted Malaysia's experience in the establishment of the Corruption Prevention Secretariat at public institutes of higher learning. 10. Business Ethics Workshop for Small & Medium Enterprises (SME’s) April 22-24, Brunei.The MACC presented papers on ‘Code of Conduct and Business Ethic among SME’s, which highlighted the initiative in introducing the Corporate Integrity Pledge and the Integrity Pact to the public and private sector. 11. OECD Working Group on Bribery Programme: Training Seminar on Phase 3 ReviewThe workshop was held in Paris, France from June 11-15 12. The Joint Meeting Between Governmental Experts from Malaysia, Jordan dan Iraq in Vienna, Austria held from September 3-4. The meeting evaluated the report on Iraqi and Jordan’s compliance of Chapters II and IV of the UNCAC 13. Workshop on Regional High Level on National Justice Authorities June 18-26 in Amman, Jordan. At the workshop session, Malaysia presented a paper on 'National Anti-Corruption Strategies: Concept Best Practices & Lessons Learned Presentation' as well as shared information on the latest initiatives by the MACC in fighting corruption in Malaysia as well as in other nations. 14. 4th IAACA Seminar in Dalian, China from June 27-30, Malaysia presented a paper on ‘Asset Recovery - Malaysia's Experience’ 15. APEC: Workshop to Align Voluntary Codes of Business Ethics for the Biopharmaceutical Sector July 10 and 11 Taipei, Taiwan. Malaysia presented a working paper on ‘Review of the Legal and Business Case for Biopharmaceutical Sector Code of Ethics' at the workshop The two-day workshop, held on, was an opportunity for Malaysia to share experiences on code of ethics in bio-medical with the participants. 16. Workshop on the Implementation of the APEC Anti-Corruption of Conduct for Business September 20 and 21, Philippines. A paper on ‘Corporate Integrity Pledge: Public Private Partnership Anti-Corruption Initiative’ was presented by Malaysia. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Mongolia

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Law on Conflict of Interest has been enacted in January 19, 2012 and came into effect in May 1, 2012. In the Article 7 of this law, preventive actions against conflict of interest, which could be basic reason of corruption, are been clearly, defined. In addition, according to the law nominees to the public office should submit preliminary declaration of their conflict of interest and checked by the IAAC.  Law on Information Transparency and Right to get Information enacted in June 16, 2012.  Certain amendments made to the law on Public procurement.  Law on Budget renewed and it will be came into effect January 1, 2013  Integrity Assessment which conducts once in two year has been conducted in 2012  Law on combating Money laundering and Terrorism financing enabled in June 2013.

2. Measures Being Planned to Implement UNCAC provisions ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Development and approval of National Anti-Corruption Program

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II

B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  In January 1 of 2012, the amendment has been made to the Criminal Law and came into effect May 1 of 2012. As result of the amendment, ‘illicit enrichment’ is been defined as a crime. According to the law, this kind of crime will be investigated under Independent Authority Against Corruption.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

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 IAAC has a close cooperation with ACRC of South Korea. IAAC is learning lessons on their experience in Integrity Assessment and Anti- Corruption Competitiveness Evaluation.

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Pakistan

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  As per new prevention framework, the methodology on section 33-B of National Accountability Ordinance 1999 was also approved. Different Federal as well as Provincial departments were asked to provide the bidding documents to scrutinize under Prevention regime. During 2012, 49 Regulators/Departments were called by A&P Division at NAB HQ Islamabad to give briefing on the observations noted by NAB regarding procurement procedures.  Under the mandate of Section 33 C a total of 14 Committees were notified. Section 33-C allows to look into the rules and regulations of Provincial and Federal institutions/department/ministries so as to suggest doable recommendations in coordination with the institution concern.  Focus on the Private Sector is not the best starting point because this is the sector that is engine of growth. It is the function of businessman to make maximum profits. It is the functions of the state’s Regulatory mechanism to control the level of profit. NAB is making its efforts to activate the said mechanism.  In the subject NAB has taken following measures for participation of Society. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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o Character Building of future generation through creation of Character Building Societies in Universities, Colleges and Schools across each Province including Gilgit-Baltistan. o Character Building Societies of Notables at District, Tehsil and UC level. o Building of Political Will to support Awareness and prevention Regime Activities. o Use of Print and Electronic Media and all other available means in creating awareness against corruption.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II

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 Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Enforcement functions of the NAB are performed primarily by the Regional Bureaus and monitored by the Headquarters. The NAB has produced significant results in curbing the menace of corruption through enforcement over the years. Despite the acute shortage of expertise and working strength, the performance of the Bureau remained satisfactory due to the strength of internal permanent core staff, outsourced experts / advisors and supportive leadership.  A total of 232 fresh inquiries were authorized during the year 2012, raising pendency to 978 including the backlog of 746 inquiries. A total of 392 inquiries were finalized whereas, 586 inquiries remained under completion. Similarly during the year 2012, the Bureau authorized 86 new investigations, thus reaching to a total of 379 including the backlog of 293. Out of this number, 147 investigations were finalized, while the remaining 232 are under process.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III

C. UNCAC Chapter IV: International Cooperation UNCAC Provisions: ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV

2. Measures Being Planned to Implement UNCAC provisions

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

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Philippines

A. UNCAC Chapter II: Preventive Measures UNCAC Provisions:  Art. 5: Preventive anti-corruption policies and practices  Art. 6: Preventive anti-corruption body or bodies  Art. 7: Public sector  Art. 8: Codes of conduct for public officials  Art. 9: Public procurement and management of public finances  Art.10: Public reporting  Art 11: 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.  Art.12: Private sector  Art. 13: Participation of society  Art. 14 : Measures to prevent money-laundering 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Memorandum of Agreement (MOA) signing between OMB and Office of the President- Office of the Deputy Executive Secretary for Legal Affairs (OP-ODESLA) re: Integrity Management Program (IMP) and UNCAC Implementation and Review Mechanisms on 14 June 2013  Creation of Integrity Management Committee in all government agencies pursuant to IMP  Enactment of Republic Act (RA) No. 10365 dated 15 February 2013 entitled An Act Further Strengthening The Anti-Money Laundering Law, which amends the Anti-Money Laundering Act (http://www.gov.ph/2013/02/15/republic-act-no-10365/)  Civil Service Commission (CSC) Resolution No. 1300173 dated 24 January 2013 re Adoption of New Statement of Assets, Liabilities and Net Worth (SALN) Form and Guidelines in the Filling of the SALN Form by 2012  Promulgation of the Anti-Money Laundering Council (AMLC) Resolution Nos. 10-A and 10-C dated 24 January 2013 (http://www.amlc.gov.ph/archive/AMLC%20RESO%2010_NO%20LOW%20RISK.pdf; http://www.amlc.gov.ph/archive/AMLC%20RESO%2010A_LIFT%20RESO%20292.pdf)  Approval by the President of GRP of the Good Governance and Anti-Corruption Cluster (GGAC) on January 2013 ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Terrorism Financing Prevention and Suppression Act of 2012 (http://www.amlc.gov.ph/archive/Implementing%20Rules%20TF%20Suppression%20Act.pdf)  Department of Finance’s (DOF) Pera ng Bayan Initiative on Procurement Transparency  Department of Budget and Management’s (DBM) Budget ng Bayan Initiative on Procurement Transparency (Citizen’s Feedback Mechanisms) 2. Measures Being Planned to Implement UNCAC provisions  House Bill (HB) 5060 on Proposed Amendment to Witness Protection, Security and Benefit Act of 2011 dated 6 January 2013  Proposed Substitute Bill on Freedom of Information of 2012

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Legislative inaction

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II

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 Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Republic Act No. 10365 (An Act Further Strengthening the Anti-Money Laundering Law, Amending for the Purpose Republic Act No. 9160, otherwise known as the "Anti-Money Laundering Act of 2001", as amended) was approved on 15 February 2013 and took effect on 07 March 2013. Among other significant amendments, the new law increased the number of predicate crimes / offenses. It now includes, among others, acts punishable under the Revised Penal Code, as amended, such as Bribery under Articles 210, 211 and 211-A and Corruption of Public Officers under Article 212; Frauds and Illegal Exactions and Transactions under Articles 213, 214, 215 and 216; and Malversation of Public Funds and Property under Articles 217 and 222. The passage of this law effectively implemented various provisions of the UNCAC, particularly Article 23 on Laundering of proceeds of crime.  The Criminal Code Committee led by the Department of Justice has begun holding multi-sectoral consultations in key cities on the draft Book 1 of the proposed Criminal Code. The same Committee has also proposed for the approval by Congress of the revision of Book I of the Revised Penal Code to bring within the jurisdiction of Philippine courts any offence committed overseas against Philippine nationals or what is referred to as the passive personality principle. This is but one of the proposed amendments to the old law.  One of the challenges the Philippines has identified in fully implementing Article 20 of the UNCAC on Illicit Enrichment is the lack of a mandatory review of Statements of Assets, Liabilities and Networth. These declarations which are annually submitted are only reviewed once a complaint is received.  This is sought to be remedied by the improvement of the “effectiveness of the system of filing and analyzing Statements of Assets, Liabilities ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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and Net Worth (SALNs), by transforming the manual-based system into an electronic or IT-based system, streamlining business processes and procedures, enhancing the monitoring and enforcement of the SALN requirements, and improving transparency and access to the SALNs.” To this end, “Ombudsman Conchita Carpio Morales and World Bank (WB) Country Director Motoo Konishi signed on 31 May 2013 a $230,000 Grant Agreement on “Enhancing the Income and Asset Declaration System Project.”  The Commission on Audit (COA) issued on January 10, 2013 COA Circular No. 2013-001 which prescribes as an additional documentary requirement to secure Retirement Benefits the Certificate from the Office of the Ombudsman indicating whether or not a retiree has a pending criminal or administrative case. This ensures that sanctions for corrupt offenses are implemented, consistent with Article 30 on Prosecution, adjudication and sanctions of the UNCAC.

Sources: United Nations Convention Against Corruption (UNCAC); Republic Act No. 10365 http://www.gov.ph/2013/02/15/republic-act-no-10365/; Department of Justice, www.doj.gov.ph; Office of the Ombudsman, http://www.ombudsman.gov.ph/index.php?home=1&pressId=MzU4; COA Circular 2013-001 dated January 10, 2013

2. Measures Being Planned to Implement UNCAC provisions  A Multi-Sectoral National Dialogue and Action-Planning on the UNCAC was conducted on December 10-11, 2012 at the Diamond Hotel, Roxas Blvd., Manila, which was attended by more or less 200 participants from the Executive, Legislative, Judiciary Branches and CSOs/Media/Academe/Business Sectors. The main purpose of the National Dialogue is to validate Philippine Country Report and craft a five- year National Anti-Corruption Action Plan to address the identified gaps and challenges. To ensure the implementation of the Action Plan, the Government Sector together with the CSOs and private sector committed to the following 21-Point Action Agenda: o Support the accomplishment of the Action Plan by extending full institutional cooperation to carry out and consider the following recommendations: o Enactment of a law or the amendment of existing law/s defining “public officer” to conform to the UNCAC definition; o Criminalizing through legislation active and passive bribery of foreign public officials and officials of public international organizations; o Imposition of stiffer and higher penalties and fines to an offending corporation whose directors, officers, employees or other officials or persons adjudged criminally liable of an offense committed in relation to their duties, responsibilities and functions, and incorporation of corruption-related offenses as a ground for dissolution of a corporation; o Passage of a law or amendment of any existing law/s to establish as a criminal offense active and passive trading in influence; o Amendment of RA 6713 known as “An Act Establishing A Code Of Conduct And Ethical Standards For Public Officials And Employees” to ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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uphold the time-honored principle of public office being a public trust and to include the following items: granting incentives and rewards for exemplary service, enumerating prohibited acts and transactions and providing penalties for violations thereof and for other purposes”; o Amendment of Act No. 3815, otherwise known as the “Act Revising the Penal Code and other Penal Laws” in order to harmonize the definition of “person” found in Arts. 315 (Swindling/Estafa), 316 (Other forms of swindling) thereof and Presidential Decree No. 1689, otherwise known as the Decree “Increasing the Penalty for Certain Forms of Swindling or Estafa” to conform with Art. 22 of the UNCAC; o Amendment of PD 1069, otherwise known as the Decree “Prescribing the Procedure for the Extradition of Persons Who Have Committed Crimes in a Foreign Country” to grant extradition on the basis of reciprocity; o Amendment of Section 9 (a) and Section 11 of Republic Act No. 3019, otherwise known as the “Anti-Graft And Corrupt Practices Act” to increase the period of prescription for graft and corrupt practices to thirty (30) years; o Passage of a law on Freedom of Information; o Passage of a law requiring public officials and employees to submit a written permission or waiver in favor of the Ombudsman to look into all deposits of whatever nature with banks or banking institutions both within and outside the Philippines, including investment bonds issued by the government of the Philippines, its political subdivisions and instrumentalities, and providing penalties for failure to comply herewith; o Passage of amendment to Republic Act No. 3019, otherwise known as the “Anti-Graft and Corrupt Practices Act”, to criminalize graft and corrupt practices in the private sector; o Passage of further amendments to Republic Act No. 9160, otherwise known as the “An Act Defining the Crime of Money Laundering, Providing Penalties Therefor and for Other Purposes” to include the following: . concealment or disguise as an unlawful activity . expand the definition of money laundering and inclusion of designated non-financial businesses and profession among the list of covered institutions; o Passage of the Whistleblowers Protection Act; o Passage of amendment to Republic Act No. 6770, otherwise known as “An Act Providing for the Functional and Structural Organization of the Office of the Ombudsman, and for Other Purposes, to expand the authority of the Ombudsman to inquire into bank deposits even during the investigation stage; o Promulgation of Rules of Procedure governing extradition cases; ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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o Submission to the United Nations of a revised declaration allowing the Philippines to extradite persons with the UNCAC as basis; o Creation of a fora among concerned agencies, as well as Dialogues among legislators, the Department of Foreign Affairs and their foreign counterparts, to identify countries where extradition treaties may be needed; o Enactment of a law on mutual legal assistance in criminal matters, as well as a law on transfer of detained persons from the requested State to the requesting State; o Definition of terms of the Mutual Legal Assistance Treaties (MLATs); o Conduct of regular inter-agency consultations and increase in participation of the House of Representatives in the ratification of treaties and the negotiation of effective Transfer of Sentenced Persons Agreement (TSPAs); and o • Conduct massive information and localization campaign on the UNCAC and to ensure the integration of the UNCAC framework and objectives in the Bangsamoro organic law drafting. Majority of these items in the Action Plan is geared towards the implementation of provisions under Chapter III of the UNCAC.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  The Philippines has identified that the common challenges and issues in the implementation of UNCAc provisions remain to be lack or insufficient inter-agency coordination, the specificities of our legal system and limited resources for implementation.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  The Philippines has indicated that the following forms of technical assistance, if available, would assist it in better implementing the UNCAC: 1. Summary of good practices/lessons learned; 2. Legislative drafting; 3. Legal advice; 4. On-site assistance by an anti-corruption expert; and 5. Development of an action plan for implementation. C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions  Please refer to entry to Item B.2 (UNCAC Chapter III: Criminalization and Law Enforcement) 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  The Philippine Senate has not ratified Extradition Treaties with India, Spain and UK, nor the MLA with China and UK.  Controlled delivery has not yet been utilized in anti-corruption cases at the international level because intelligence information sharing in corruption cases has yet to be explored.  There is a need to criminalize under domestic law certain extraditable offenses established under the UNCAC. 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  Capacity building programs for authorities especially for international cooperation in criminal matters.  Multi-disciplinary training of those involved in extradition process.  Technical assistance and training in the drafting of a national legislation on MLA in criminal matters.  Technical assistance on the use of one portal of information for all law enforcement agencies.  Capacity building programs for authorities responsible for cross-border law enforcement  There is a need for model agreement/arrangement.  Capacity building programs for authorities responsible for designing/managing the use of special investigative techniques. D. UNCAC Chapter V: Asset Recovery ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  On 15 February 2013, His Excellency President Benigno S. Aquino III signed into law Republic Act No. 10365 (An Act Further Strengthening the Anti-Money Laundering Law, Amending for the Purpose Republic Act No. 9160, Otherwise Known as the “Anti-Money Laundering Act of 2001”, as Amended). This law took effect on 7 March 2013). This relates to Art. 52 of the UNCAC on Prevention and detention of transfers of proceeds of crime. Sources: United Nations Convention Against Corruption (UNCAC)  Republic Act No. 10365 2. Measures Being Planned to Implement UNCAC provisions  The Ombudsman and World Bank have signed an agreement to install an electronic SALN system. The Project aims to improve the effectiveness of the system of filing and analyzing Statements of Assets, Liabilities and Net Worth (SALNs), by transforming the manual- based system into an electronic or IT-based system, streamlining business processes and procedures, enhancing the monitoring and enforcement of the SALN requirements, and improving transparency and access to the SALNs.  The Civil Service Commission has issued Memorandum Circular No. 3, s. 2013 re Amendment to the Review and Compliance procedure in the filing and Submission of the Statement of Assets, Liabilities and Net Worth and Disclosure of Business Interests and Financial Conditions. This also relates to Art. 52 of the UNCAC on Prevention and detention of transfers of proceeds of crime. Sources: United Nations Convention Against Corruption (UNCAC); Republic Act No. 10365; Office of the Ombudsman, http://www.ombudsman.gov.ph/index.php?home=1&pressId=MzU4 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 There may be a need to increase social awareness with the help of the media. E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts)

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

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Singapore

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Singapore remains committed to maintaining an anti-money laundering regime fully aligned to the international standards recommended by the Financial Action Taskforce (FATF).  The Commercial Affairs Department (CAD), Singapore’s lead agency in the combat against money laundering, conducts regular outreach sessions for the industry to create awareness about the severe consequences of committing money-laundering offences, as well as educate participants on the importance of reporting suspicious transactions (STRs) and the risk indicators. Its outreach efforts are also targeted at enforcement agencies to raise awareness of the need to fight money laundering and the usefulness of STRs.  Singapore remains committed to maintaining an anti-money laundering regime fully aligned to the international standards recommended by the FATF.  The Public Service Division (PSD) has updated the Code of Conduct to reinforce the values and standards of behaviour within the Public Service. A list of responses to Frequently Asked Questions (FAQs) is also included within the Code of Conduct to help officers deal with the issues that they might face during the course of their work. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Since October 2012, the Corrupt Practices Investigation Bureau (CPIB) has conducted more than 80 corruption prevention talks for both private and public sectors reaching out to a total audience of approximately 8,500. CPIB works closely with other government agencies to conduct talks especially to new officers, and those whose work may expose them to opportunities for bribery and corruption. Recognising the importance of early prevention of corruption, CPIB deepens its public education efforts with the youths who form the workforce of tomorrow. It organises regular Learning Journey Programmes for students from secondary schools to universities, inculcating the right values for life. CPIB also collaborates with tertiary institutions to incorporate ethics and corporate governance modules in the undergraduate syllabus.  CPIB has stepped up its public education efforts via the media. CPIB has leveraged on the media to publicise cases of interest so as to deter corrupt behaviour. Media releases of significant cases were issued to the local media outlets. In addition, the Bureau worked with the Straits Times (ST) to write special feature stories on CPIB. The message of zero tolerance towards corruption was reinforced with the positive reports.  The Bureau had also commissioned a series of comic strips for public education. Created by a popular local cartoonist, the comic strips educate the young and old alike. The comic strips were used on collaterals targeted at different age groups and these spread the anti- corruption message.  CPIB’s first-ever documentary entitled “Corruption Crackdown: Inside the CPIB” was broadcasted on Channel News Asia (CNA) on 15 October 2012. The Chinese version was shown on Channel 8 on 1 December 2012. It provided some rare insights of the CPIB and showcased some of the prominent cases handled by the Bureau. On 9 December 2012, CPIB had organised an open house to the public. The event was to commemorate International Anti-Corruption Day and to educate the public on corruption issues. A poster-slogan competition with the theme “Do your part to stamp out corruption" was also launched on 9 December 2012. It was another initiative to commemorate International Anti-Corruption Day and garnered a good response.  In addition to the corruption prevention talks, CPIB continuously engages the business community, and the banking and financial sectors through seminars and working with them to come up with anti-corruption programmes for their associates and employees. For example, CPIB has worked with the Singapore Business Federation and the Singapore Hotel Association to come up with more initiatives to engage their member organisations and ultimately, the employees of these organisations. CPIB has also reached out to niche and interest groups such as the Football Association of Singapore to educate new and existing players on the ills of corruption. CPIB is always looking for opportunities to engage the private sector employees. Recently, CPIB also collaborated with the Singapore Hotel Association to organize a community event. The “Do Your Part to Stamp Out Corruption” Exhibition cum Roadshow will reach out to members of the public from all walks of life. Increasingly, CPIB will leverage on such platforms to reach out to a wider spectrum of employees.

2. Measures Being Planned to Implement UNCAC provisions  PSD has planned for the issuance of a handbook, to each officer, which outlines the key principles of the Code of Conduct. Public officers will ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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also have access to resources like briefing slides, posters and articles, to reinforce their understanding and application of the Code of Conduct.

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Some of the common challenges encountered by the PSD are - 1) coming up with an appropriate communication tool to effectively deliver the message to public officers and ensuring that officers have a common understanding of the behaviours expected of them; and 2) ensuring that the Code of Conduct addresses the unique requirements and demands of various public agencies that operate under different contexts, which thus requires the imposition of internal departmental rules.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  CAD continues to conduct programmes for regional financial intelligence units (FlU), law enforcement agencies and regulators to strengthen their capacities to detect and investigate money-laundering offences. In February 2013, CAD hosted the 23rd run of the annual International Economic Crime Conference. The conference was attended by enforcement officers from Australia, Malaysia as well as local agencies in Singapore and covered topics such as the essentials of financial investigation and interview technique.  PSD will provide resource kits to public agencies to train their officers to better understand and relate to issues on Code of Conduct and will actively engage officers via outreach efforts to discuss these issues.  PSD will equip Human Resource officers with more knowledge on Code of Conduct issues through a training programme. B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Banking secrecy is expressly lifted for the purpose of criminal investigations, including corruption investigations, and to provide mutual legal assistance to foreign jurisdictions. FATF has assessed Singapore to be fully compliant with FATF R4 as banking secrecy does not inhibit anti- money laundering measures in Singapore.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III

C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Since October 2012, the Attorney General’s Chambers (AGC) has processed numerous mutual legal assistance (MLA) requests and two extradition requests. One of the successful MLA requests resulted in the repatriation of approximately S$2.3 million back to the requesting State while approximately US$1 million is pending repatriation pursuant to another successful MLA request.  Since October 2012, the AGC actively participated in various international anti-corruption conventions, including, but not limited to, several FATF and UNCAC meetings.  AGC has continued with its practice of conducting MLA and extradition case review discussions with several requesting States. During such discussions, the AGC has actively worked with the requesting States to see how they can satisfy Singapore’s requirements for providing MLA and extradition.  The AGC conducted study visits to the UK (March 2012), Switzerland (March 2012), Malaysia (November 2012) and Australia (March 2013) to learn about their best practices in processing MLA and extradition requests.  CAD continues to contribute actively to discussions amongst law enforcement agencies on how to fight the money laundering threats at various fora, including meetings of the FATF, the Asia/Pacific Group on Money Laundering (APG), and the Egmont Group. At the bilateral level, CAD proactively exchanges information with its foreign counterparts to detect and investigate money laundering. CAD has access to the mechanisms of the International Criminal Police Organisation (Interpol), of which the Singapore Police Force (SPF) is an active member, to exchange information with its foreign counterparts. In this regard, a key conduit is the 1-24/7 system, which facilitates communication amongst Interpol’s member states on matters related to criminal Investigations, training and conferences.  In the last 3 years, CPIB hosted an average of 2000 foreign delegates per year via visits and study tours. Hailed from different parts of the world, these foreign visitors learnt about the corruption control measures and best practices in Singapore. For instance, in March 2013, CPIB hosted delegations from agencies like Qatar’s Administrative Control and Transparency Authority as wells as Mongolia’s Independent Authority Against Corruption. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 CPIB continues its active participation in various international anti-corruption fora including: o 6th Annual Conference and General Meeting of the International Association of Anti-Corruption Authorities (October 2012, Kuala Lumpur) o G20 Anti-Corruption Working Group Meeting (October 2012 and June 2013, Paris and Ottawa respectively) o UNCAC Open-Ended Intergovernmental Expert Meeting on International Cooperation (October 2012, Vienna) o International Anti-Corruption Conference (November 2012, Brasilia) o 3rd Resumed Session and 4th Session of the Implementation Review Group of the UNCAC (November 2012 and May 2013 respectively, Vienna) o APEC Anti-Corruption and Transparency Task Force Meeting (January and June 2013, Jakarta and Medan respectively) o Inaugural Meeting of the Economic Crime Agency Network (ECAN) (February 2013, Auckland) o INTERPOL Integrity in Sport Conference (February 2013, Kuala Lumpur) o Executive Committee Meeting of the International Association of Anti-Corruption Authorities (April 2013, New Delhi) o 9th SEA-PAC Secretariat Meeting (May 2013, Lombok) o APEC Anti-Corruption and Transparency Task Force Multi-Year Project Workshop (June 2013, Santiago) o 5th Seminar of the International Association of Anti-Corruption Authorities (June 2013, Jinan)  CPIB conducts training related to anti-corruption for foreign officers of various countries. From October 2012, CPIB has conducted several runs of such training for foreign officers. One of such courses was the “Anti-Corruption Executive (ACE) Programme”, an intermediate level course that was conducted in June 2013 for anti-corruption officers from the region. 2. Measures Being Planned to Implement UNCAC provisions  CPIB, as the present Chair of the ECAN, will host the Network’s second meeting in Singapore in February 2014.  CPIB will play host to a 7-member delegation from the Government Inspectorate of Vietnam in September 2013. 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Some of the MLA requests are not well-prepared, and deficient in important information, e.g. information going to show how the requested information is relevant to the investigations by the requesting States. 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 CAD continues to conduct programmes for regional FIUs, law enforcement agencies and regulators to strengthen their capacities to detect and investigate money-laundering offences. In February 2013, CAD hosted the 23rd run of the annual International Economic Crime Conference. The conference was attended by enforcement officers from Hong Kong, Malaysia as well as local agencies in Singapore and covered topics such as the essentials of financial investigation and interview techniques.

D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Financial institutions are required to perform customer due diligence measures, ongoing monitoring of business relations with customers, scrutinize customer’s transactions and maintain and retain documentation on all the business relations and transactions with its customers. In addition, enhanced customer due diligence and monitoring are required for both domestic and foreign politically exposed persons and financial institutions are prohibited from entering into or continuing correspondent banking relations with a shell bank.  Singapore’s financial intelligence unit, the Suspicious Transaction Reporting Office (STRO), is increasing its manpower to strengthen its ability to collect, analyse and disseminate information regarding money laundering and associated predicate offences. STRO has regular interactions with the financial community, during which it obtains feedback on the latter’s concerns relating to the prevention, detection and reporting of money-laundering activities.  STRO is able to exchange information spontaneously with FIUs it has Memorandums of Understanding (MOUs) and does so on a regular basis. Since October 2012, STRO has concluded MOUs with Finland’s Financial Intelligence Unit. As at April 2013, STRO has concluded 26 MOUs with foreign FIUs. 2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  CPIB continues to attend and support conferences and seminars to share with other countries its knowledge and experiences in combating corruption. Some of these conferences and seminars where CPIB had delivered presentations/addresses include: o ASEAN Anti-Corruption Youth Camp (May 2013, Bangkok) o Anti-Corruption Seminar (June 2013, Bangkok)  CPIB conducted the ACE Programme in June 2013 for anti-corruption officers hailing from agencies from the South East Asia Parties Against Corruption (SEA-PAC) countries, Hong Kong and New Zealand. The ACE Programme shared with the participants the Singaporean anti- corruption model.

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Sri Lanka

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Awareness Programmes conducted for the General Public with regard to their Rights & Responsibilities eliminating Bribery & Corruption with the Society.  Seminar & Discussion conducted by CIABOC for Judges, Prosecutors & Investigators.  CIABOC conducted series of Programmes with regard to Prevention mainly for Government Officials which included officials of the Police Department, Department of Prisons, Ministry of Public Administration and Sri Lanka Institute of Development Administration.

2. Measures Being Planned to Implement UNCAC provisions  Series of Discussions & Meetings to consider and propose amendments to the Bribery Act, Commissions Act & Declaration of Assets & Liabilities Law No.1 of 1975 funded by the ADB.  Concluded the Gap Analysis inline with the preparation of UNCAC check list and subsequent mechanism (i.e. country visits by the Reviewers) is in progress. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Workshop on enhancing the Prosecution Skills and Persuasive Investigation Methods were conducted for the Officers of the CIABOC  Panel discussions on Practical Legal Issues confronted by the Prosecutors of the CIABOC with the participation of higher officials of the Attorney General’s Department B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22:Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Series of Discussions & Meetings to consider and propose amendments to the Bribery Act, Commissions Act & Declaration of Assets & Liabilities Law No.1 of 1975 funded by the ADB.  Concluded the Gap Analysis inline with the preparation of UNCAC check list and subsequent mechanism (i.e. country visits by the Reviewers) is in progress.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Awareness Programmes for Prosecutors & Investigators of the CIABOC. C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012 ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Series of Discussions & Meetings to consider and propose amendments to the Bribery Act, Commissions Act & Declaration of Assets & Liabilities Law No.1 of 1975 funded by the ADB.  Concluded the Gap Analysis inline with the preparation of UNCAC check list and subsequent mechanism (i.e. country visits by the Reviewers ) is in progress.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV

2. Measures Being Planned to Implement UNCAC provisions

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  Conducting Awareness Programmes pertaining to Illicit Money Transactions as well as the Fraudulent Financial Scheme.  Training Programmes on for Prosecutors & Investigators of the CIABOC. E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts)  Sharing all relevant information with the Legal Officers of the CIABOC and the Attorney-General’s Department.

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  Tabling of Revised Template for Implementation of UNCAC Provisions  Periodical Presentations & Reports placed in Regional & International Associations & Organizations

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Thailand

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II

B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Art. 32: Protection of witnesses, experts and victims: The NACC and the Royal Thai Police last week signed an MOU to strengthen the collaboration between both agencies on the provision of protection to witnesses of corruption cases.  Art. 38: Cooperation between national authorities: The NACC has been working closely with the International Anti-Corruption Academy (IACA) in helping to address the global capacity needs in the field of anti-corruption. In November last year, Her Royal Highness Princess Bajrakitiyabha Mahidol was elected Vice-President of Assembly at the first Session of the Assembly of Parties of IACA. Moreover, NACC Commissioner Professor Pakdee Pothisiri was elected to the 11-member-Board of Governors, while NACC Commissioner Vicha Mahakhun ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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was recently elected member of the academy’s International Senior Advisory Board.

2. Measures Being Planned to Implement UNCAC provisions  Art. 38: Cooperation between national authorities: Thailand will host the 2nd session of the Assembly of Parties on December 9-11, 2013 to coincide with the annual International Anti-Corruption Day of December 9. The event expects over 200 delegates from all over the world.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV

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2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC

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Vanuatu

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  The policy is to be finalized and submitted to the cabinet for approval .t This also applies to the RTI bill which is currently with the State Law Office to finalize and enlist for debate in Parliament in this year. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 The Public Service Commission to closely monitor the performance of the Director General within four year of their contract.  The issued order need to be monitor to ensure that there is a respect for compliance by all Government officials.  The MOU to be signed after the strategies of Vango as an umbrella institution for NGOs is revised.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Management training/workshops for the head of the RTI Unit and the officers who will be recruited to work for this Unit  Institutional and human resource capacity training of the Director Generals and the Public Service Commission  Institutional workshop on the sanctions for non compliances by Public Service Commission.  Institutional and human resources capacity training for Vango B. UNCAC Chapter III: Criminalization and Law Enforcement UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  The cabinet made a decision to proceed with the amendment of the ombudsman and leadership code Act  Law and Justice sector Strategy to be revised approved by the Government.  The extension and redesigning of the Vanuatu- Australia Police Project to strengthen the capacity of the Policy Force to enforce the laws of the Republic of Vanuatu.

2. Measures Being Planned to Implement UNCAC provisions  The revised the draft amendments of the Ombudsman and Leadership Code Act and consulted with the State law before they can be submitted to the Parliament for debate and approval.  Provide Ministerial briefing prior to the Cabinet meeting/and the Parliament seasons.  Include in the budget statement the priorities stipulated in the Law and Justice Sector Strategy. This will further lay the basis of the budget allocation for the sector in 2014.

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  The Cabinet is yet to endorse the amendments of the Acts  Removal of the bill from the list of the bills to be submitted to Parliament this year.  No budget for the implementations and enforcement for the policy and act after it is passed by the parliament ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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 The slicing of the require budget of the whole section is a challenges especially for the Office law and justice sector.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Instruction to issued to be issued to fast tract the amendment process of the acts  Human resources need training for the enforcement of the Acts  In situational capacity building training such as leadership Tribunal training  Resources supporting the implementation of the Acts  Preparations and consultations are underway in preparing the budget to support the enforcement of the Acts C. UNCAC Chapter IV: International Cooperation UNCAC Provisions:  Art. 43 : International cooperation  Art. 44: Extradition  Art. 45: Transfer of sentenced persons  Art. 46: Mutual legal assistance  Art. 47: Transfer of criminal proceedings  Art. 48: Law enforcement cooperation  Art. 49: Joint investigations  Art. 50: Special investigative techniques 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Vanuatu Intelligence Unit ( FIU) has continued to receive , analyze and disseminate financial information on corruption and/or money laundering in the last few o years. In addition, it ensure financial institutions have in place proper and effective procedures to identify corruption, money laundering and promptly report to the relevant law enforcement agencies. Vanuatu FIU, since 2010, has signed several memorandum of understanding (MOU) with other FIUs relating to sharing of information on corruption, money laundering and financing of terrorism and it will continue to respect these MOUs and stick to conditions stipulated therein. 2. Measures Being Planned to Implement UNCAC provisions  To continue to analyze and disseminate inform on corruption and money laundry  Continue to respect the MOUs signed and comply with their conditions in curbing the corruption activities in Vanuatu and the Pacific region. ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Issues would be the limited capacity of the institutions and human resources  Doing away with the conditions of MOUs signed by other countries 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  International workshops on money laundering  Institutional and human capacity building training for FIU D. UNCAC Chapter V: Asset Recovery UNCAC Provisions:  Art. 52: Prevention and detection of transfers of proceeds of crime  Art. 53: Measures for direct recovery of property  Art. 54: Mechanisms for recovery of property through international cooperation in confiscation  Art. 55: International cooperation for purposes of confiscation  Art. 56: Special cooperation  Art. 57: Return and disposal of assets  Art. 58: Financial intelligence unit  Art. 59: Bilateral and multilateral agreements and arrangements 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Vanuatu FIU to have in place an information dissemination guide lines to all financial institution in Vanuatu to make sure that they proper and effective systems and procedures to identify and verify customers and beneficial owners of any account established with the financial institutions. 2. Measures Being Planned to Implement UNCAC provisions  Vanuatu FIU anticipate to see this happen to all financial institutions (Under CAP 268) These procedures and policies must be written down and submitted to the Vanuatu FIU for its review. Further, staff in each financial institutions must be made aware of the existence of such a manual and trained on set out procedures and policies.  In addition, Vanuatu FIU has conducted both off-site review and on-site examination on systems and procedures implemented by financial institutions. This program is supported by the Reserve Bank of Vanuatu jointly in inspecting banks, credit unions and insurance businesses.  Vanuatu Government through FIU has and will continue to conduct both off-site review and on-site examination on systems and procedures ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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implemented by financial institutions. This program will be supported by the Reserve Bank of Vanuatu jointly inspecting banks, credit unions and insurance businesses. 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Capacity or strength of the FIU is an issues and to continue to conduct this review and examination on the system procedures and complexities of the activities of the commercial banking system would need high level skills to do it 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V  The capacity need would be training of the FIU officers to acquire relevant skills to pursue these responsibilities effectively in the year to come  Compliance related workshop would also be a need for not only for E. Additional Developments 1. Member’s Report on dissemination and domestic use of the initiative’s knowledge products and events (Members are requested to report on how they have shared internally and used the Initiative’s (recent) learning events in their internal anti-corruption efforts)  Procedurally speaking when there is a case or an activity that has been suspected to have a footprint of a corruption ,a request is submitted to the Ministry of Justice and Community Service to set up a commission of enquiry to fully investigate the matter and provide the report to the Cabinet for decision making. The case can also be reported to Police for further investigation and Ombudsman’s Office.

2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC  Currently the Vanuatu and Australian Policy Project and the Law and Justice Strengthening program are the only two programmes funded by AusAID to strengthen capacity of Government institutions especially, in the Law and Justice sector. These two programmes were both started in 2006 and ended in 2012. The Government has requested the extension of these programmes in 2012 and the Law and Justice program have undertaken its redesign and is in its operation phase while the VAPP is now in designing process this year.  In 2012 the Government organized policy retreat to discuss the capacity issues in the whole government machinery. The outcomes were to reform the public service commission that looks after the civil servant in the country, reform the political parties and the provincial government.

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Vietnam

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  - Political determination of Vietnam in the fight against corruption continues to be confirmed by the review of five-year implementation of the Anti-Corruption Law.  - The Communist Party of Vietnam’s Central Committee had concluded about continuing to promote the prevention of corruption and establishing of the Central Steering Committee on Anti-Corruption led by the General Secretary of the Communist Party leader.  - On 23 November 2012, the National Assembly adopted the Law amending and supplementing a number of articles of the Law on Anti- Corruption 2012, the amended new law will take effect from 01 January 2013. On 17 June 2013 a Decree to guide the implementation of the revised Anti-corruption Law was issued. The Government of Vietnam also issued the Action Plan on implementation of anti-corruption and wastefulness Period 2012-2016 on 06 December 12.06.2012. These important legal documents are strong foundation or increasingly strong anti-corruption efforts of Vietnam in the stage of 2012 to 2016.  - Vietnamese Government continues to direct and implement measures to promote the role and responsibilities of the society in the fight against corruption, to create favorable conditions for people, social-political organizations, businesses, associations, press agencies to join ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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the fight against corruption.  The mass media continue to promote the propagation and dissemination of policies and laws on anti-corruption. The Government Inspectorate of Vietnam actively implement the Vietnam Anti-Corruption Initiative Program 2011 and launch this Program for 2013 titled “More transparency, integrity and accountability, less corruption”; Vietnam Chamber of Commerce and Industry organized the forum for policy dialogue between the authorities and the business community for the purpose of developing a healthy, transparent and corruption-free business environment.  - Vietnamese Party and State are actively implementing Resolution 4 of the Party’s Central Committee on building the Communist Party, which emphasizes on maintaining quality content, ethics, corrupt-free way of life of the Party’s members.  - Since 2013, the National Assembly has adopted and implemented the mechanism of voting of trust for the positions elected or approved by the National Assembly, People's Councils including key leadership positions at central level.  - Following the Government's Scheme No. 137 to include anti-corruption contents to training and education programs, in June 2013, Viet Nam’s Prime Minister issued another direction to promote the delivery of anti-corruption contents in teaching at educational and training institutions from the academic year of 2013-2014.  - Vietnam is preparing for the 12th Anti-corruption Dialogue titled “The role of business and private sector in fighting against corruption in Vietnam” between the Government of Vietnam and the donor community in Vietnam in order to promote the role of the business as well as collective actions to reduce corruption.

2. Measures Being Planned to Implement UNCAC provisions  Developing and issuing a Decree on transparency of public officials’ assets and income  Developing and issuing a Decree on the accountability of public officials and civil servants 3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Limited resources for implementation

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter II  Need for capacity building  Need for training of staff domestically and abroad B. UNCAC Chapter III: Criminalization and Law Enforcement ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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UNCAC Provisions:  Art. 15: Article 15. Bribery of national public officials  Art. 16: Bribery of foreign public officials and officials of public international organizations  Art. 17: Embezzlement, misappropriation or other diversion of property by a public official  Art. 18: Trading in influence  Art. 19: Abuse of functions  Art. 20: Illicit enrichment  Art. 21: Bribery in the private sector  Art. 22: Embezzlement of property in the private sector  Art. 23: Laundering of proceeds of crime  Art. 24: Concealment  Art. 25: Obstruction of justice  Art. 26: Liability of legal persons  Art. 27: Participation and attempt  Art. 28: Knowledge, intent and purpose as elements of an offence  Art. 29: Statute of limitations  Art. 30: Prosecution, adjudication and sanctions  Art. 31: Freezing, seizure and confiscation  Art. 32: Protection of witnesses, experts and victims  Art. 33: Protection of reporting persons  Art. 34: Consequences of acts of corruption  Art. 35: Compensation for damage  Art. 36: Specialized authorities  Art. 37: Cooperation with law enforcement authorities  Art. 38: Cooperation between national authorities  Art. 39: Cooperation between national authorities and the private sector  Art. 40: Bank secrecy  Art. 41: Criminal record  Art. 42: Jurisdiction 1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  In March 2013, the State Bank of Viet Nam issued Circular on the special control for credit institutions. Herewith, the State Bank of Viet Nam will publicly list credit institutions subject to special direct control of the State Bank due to their risks of affordability or unsafe operation. The ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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banks under special control may be forced to merge with other healthier credit institutions if they cannot increase charter capital.

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC Provisions  Vietnam acknowledged the key challenges in full compliance with the requirements of the Convention such as: differences between the Convention and Vietnamese laws on criminal policy, criminal procedures for acts of corruption.

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter III  Capacity building trainings of the police force, procurators and court officers  The need to organize intensive workshops for the research, amendment and supplementation of the provisions relating to anti-corruption in the Criminal Code.

1. Measures Undertaken to Implement UNCAC provisions since the 17th Steering Group Meeting in October 2012  Vietnam is considering the ability to participate in the Extractive Industry Transparency Initiative (EITI) 2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions  Vietnam acknowledged the key challenges in full compliance with the requirements of the Convention such as: disagreements between the ADB/OECD Anti-Corruption Initiative for Asia and the Pacific and the Anti-Corruption Commission of Timor-Leste

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Convention and Vietnamese laws on criminal policy, criminal procedures for acts of corruption. 4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter IV  The need for capacity building and trainings for officers of the police, procurators and courts  The need to organize intensive workshops for research, amendment and supplementation of the provisions relating to anti-corruption in the Criminal code

2. Measures Being Planned to Implement UNCAC provisions

3. Issues, Challenges and Constraints in the Implementation of UNCAC provisions

4. Capacity Building Seminar Topics and Training Needs to Strengthen the Implementation of Chapter V

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2. Member’s Report on measures taken to share knowledge and experience with other countries, including to help strengthen the capacity of developing countries to implement the UNCAC