Report of the Ad Hoc Committee for the Negotiation of a Convention Against Corruption on Its Fourth Session, Held in Vienna from 13 to 24 January 2003
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United Nations A/AC.261/13 General Assembly Distr.: General 3 February 2003 Original: English Ad Hoc Committee for the Negotiation of a Convention against Corruption Fifth session Vienna, 10-21 March 2003 Item 3 of the provisional agenda* Consideration of the draft United Nations Convention against Corruption Report of the Ad Hoc Committee for the Negotiation of a Convention against Corruption on its fourth session, held in Vienna from 13 to 24 January 2003 Contents Paragraphs Page I. Introduction.......................................................... 1-4 2 II. Organization of the session ............................................. 5-17 2 A. Opening of the session............................................. 5-14 2 B. Attendance ...................................................... 15 4 C. Adoption of the agenda and organization of work....................... 16 4 D. Documentation ................................................... 17 4 III. Consideration of the draft United Nations Convention against Corruption ....... 18-20 5 IV. Adoption of the report of the Ad Hoc Committee on its fourth session .......... 21-26 6 Annexes I. List of participants ............................................................. 8 II. List of documents before the Ad Hoc Committee at its fourth session ................... 16 __________________ * A/AC.261/14. V.03-80864 (E) 130203 140203 *0380864* A/AC.261/13 I. Introduction 1. In its resolution 55/61 of 4 December 2000, the General Assembly recognized that an effective international legal instrument against corruption, independent of the United Nations Convention against Transnational Organized Crime (resolution 55/25, annex I) was desirable and decided to establish an ad hoc committee for the negotiation of such an instrument in Vienna at the headquarters of the Centre for International Crime Prevention of the Office for Drug Control and Crime Prevention. 2. The Intergovernmental Open-Ended Expert Group to Prepare Draft Terms of Reference for the Negotiation of a Future Legal Instrument against Corruption, convened pursuant to General Assembly resolution 55/61, met in Vienna from 30 July to 3 August 2001 and recommended to the Assembly, through the Commission on Crime Prevention and Criminal Justice and the Economic and Social Council, the adoption of a draft resolution on the terms of reference for the negotiation of an international legal instrument against corruption, which the Assembly subsequently adopted as resolution 56/260 of 31 January 2002. 3. In its resolution 56/260, the General Assembly decided that the Ad Hoc Committee should negotiate a broad and effective convention, which, subject to the final determination of its title, should be referred to as the “United Nations Convention against Corruption”. 4. In the same resolution, the General Assembly requested the Ad Hoc Committee, in developing the draft convention, to adopt a comprehensive and multidisciplinary approach and to consider, inter alia, the following indicative elements: definitions; scope; protection of sovereignty; preventive measures; criminalization; sanctions and remedies; confiscation and seizure; jurisdiction; liability of legal persons; protection of witnesses and victims; promoting and strengthening international cooperation; preventing and combating the transfer of funds of illicit origin derived from acts of corruption, including the laundering of funds, and returning such funds; technical assistance; collection, exchange and analysis of information; and mechanisms for monitoring implementation. II. Organization of the session A. Opening of the session 5. The Ad Hoc Committee for the Negotiation of a Convention against Corruption held its fourth session in Vienna from 13 to 24 January 2003, during which it held 20 meetings. 6. At the 59th meeting, on 13 January, the Chairman made a statement in which he recalled the good progress achieved by the Ad Hoc Committee at its first three sessions, during which the first reading of the draft United Nations Convention against Corruption had been completed and the second reading had been started and most of the issues on the agenda at the third session had been covered. He called upon delegations to remain flexible, be innovative, be ready to compromise and make extra efforts to complete the second reading of the rest of the 2 A/AC.261/13 draft text at the fourth session, while endeavouring not to lower the high standard of quality of the draft convention. 7. The Chairman then mentioned some of the issues that would require delegations to demonstrate a spirit of cooperation. He noted that the discussion on the definition of the term “corruption” had not been completed and that one of the proposals would delineate the concept of corruption. He called upon delegations to take into account the combined descriptive effect of the articles on criminalization. 8. The Chairman also called upon the Ad Hoc Committee to find the most appropriate solution relating to the criminalization of private sector corruption, while noting the concerns of some delegations about the unintended effect of placing unwarranted, undue and unwanted restraints on trade and the ability of private sector entities to pursue their activities for the benefit of national economies and international development. 9. The Chairman stated that the Ad Hoc Committee should pay special attention to the question of asset recovery, debating in depth the nature of measures to be agreed upon. He also invited the Ad Hoc Committee to take into account all concerns that had already been expressed and to rely both on the knowledge gained as a result of the one-day workshop on the subject organized during the second session of the Ad Hoc Committee and on the study carried out by the Secretariat (A/AC.261/12). He called upon the Ad Hoc Committee to narrow down the issues that needed to be addressed and to devote its combined energy to hammering out agreement on those issues. 10. The Chairman also drew the attention of the Ad Hoc Committee to the mechanism for monitoring the implementation of the future convention, keeping in mind the principle, which had already been established in the United Nations Convention against Transnational Organized Crime, that implementation needed a mechanism with the mandate and the ability to focus on and address specific issues that might arise, ensure a frank and open exchange of views, and serve as a forum where requirements and difficulties encountered in implementation could be dealt with. 11. The Chairman stated that he was heartened by the continued high level of attendance and the presence of representatives of least developed countries at the sessions of the Ad Hoc Committee. He expressed his gratitude to the donors who had made it possible for the representatives of least developed countries to attend. 12. The representative of Cuba, speaking on behalf of the Group of Latin American and Caribbean States, stated that international cooperation was an essential prerequisite for success in the comprehensive and multilateral fight against corruption and that the future convention should therefore include rules providing legal support to prevent the creation of safe havens for criminals. He also mentioned that extradition and mutual legal assistance, which included both judicial and administrative cooperation, should be binding and aim to increase the effectiveness of procedures for exchanging evidence and, where applicable, transferring persons. He called upon the Ad Hoc Committee to take account of the progress made in the chapter on criminalization and the positions stated by some delegations on the classification of certain types of conduct. 3 A/AC.261/13 13. The representative of Cuba stressed that the members of the Group of Latin American and Caribbean States had insisted on the need to ensure that the draft convention contained provisions for preventing and combating the transfer of illicitly acquired assets, including the illicit proceeds of corruption, as well as for returning them to their countries of origin. He also emphasized the vital importance of technical assistance for developing countries in order to apply the future convention. He noted the usefulness of discussing the most appropriate mechanism for monitoring implementation of the future convention and the need to establish a conference of the parties to the convention to monitor and follow up implementation of its provisions. 14. The representative of Cuba reiterated the commitment of the members of the Group to collaborate in ensuring the success of the session, during which he hoped the second reading of the entire draft would be completed so that the Ad Hoc Committee could devote its attention at the final two sessions to finalizing the text of the draft convention. The Group believed that the time had come to make a special effort to consolidate proposals so that consensus could be achieved. It was no longer sufficient to make general statements: the Ad Hoc Committee must concentrate on reconciling positions and finding compromises. B. Attendance 15. The fourth session of the Ad Hoc Committee for the Negotiation of a Convention against Corruption was attended by representatives of 117 States. Also attending the fourth session were observers for United Nations Secretariat units, United Nations bodies and research institutes, specialized agencies and other organizations of the United Nations system, institutes of the United Nations Crime Prevention and Criminal Justice Programme network and intergovernmental