Disclaimer The views expressed herein are those of the Authors and editors and not necessarily those of the United Nations EQUIP YOURSELF The United Nations Guide on Anti-Corruption Policies, which contains a general outline of the nature and scope of the problem of corruption and a description of the major elements of anti-corruption policies, suitable for use by political officials and senior policy-makers. The United Nations Handbook on Practical Anti-Corruption Measures for Prosecutors and Investigators is part of a larger package of materials intended to provide information and resource materials for countries developing and implementing anti-corruption strategies at all levels, as well as for other elements of civil society with an interest in combating corruption. The package consists of the following major elements. The United Nations Anti-Corruption Toolkit, which contains a detailed set of specific Tools intended for use by officials called upon to elaborate elements of a national anti-corruption strategy and to assemble these into an overall strategic framework, as well as by officials called upon to develop and implement each specific element. The Compendium of International Legal Instruments on Corruption, in which all the major relevant global and regional international treaties, agreements, resolutions and other instruments are compiled for reference. These include both legally binding obligations and some "soft-law" or normative instruments intended to serve as non-binding standards. An example of Country Assessments, as well as all four publications, is available on the Internet on the United Nations Office of Drug Control (UNODC) web page: http://www.unodc.org/corruption.html To assist users who do not have Internet access, individual publications will also be produced and updated as necessary. FOREWORD United Nations Guide on Anti-Corruption Policy The United Nations Guide Practical Measures against Corruption was originally requested by the United Nations Economic and Social Council (ECOSOC) in 1990 and first published in 1992 by the United Nations Office on Drugs and Crime (UNODC), with the assistance of the United States Department of Justice. During the 1990s, issues relating to corruption were repeatedly raised within the United Nations and in other contexts and in 1995, ECOSOC requested that the Guide be reviewed and expanded, with contributions from other relevant international organizations, to take account of new developments. As the expansion of the Guide proceeded, further developments took place, and the Secretary General was requested to keep the issue of actions against corruption under ongoing review, and to reflect the new developments in the expanded Guide. In order to respond to this request UNODC has developed three publications for anti corruption practitioners: (i) the Anti Corruption Tool Kit and (ii) a Handbook for Prosecutors and Investigators and (iii) International legal Instruments on Corruption. In order to help senior policy makers, UNODC has compiled this United Nations Guide on Anti Corruption Policies. There is now increasing recognition throughout the public and private sector that corruption is a serious obstacle to effective government, economic growth and stability, and that anti-corruption policies and legislation are urgently required at the national and international level. As a result of efforts on the part of the Council of Europe, OECD and OAS in recent years, the international community has embarked on the search for standards that are comprehensive in scope and global in application. These efforts will soon result into the United Nations Convention against Corruption, which is presently being negotiated in Vienna by an ad hoc committee, supported by my Office. While such a global instrument was unthinkable only a few years ago, the negotiations are now under way on the basis of a consolidated text compiled from proposals submitted by more than 25 countries from all regions of the world. These proposals cover issues such as public and private corruption, preventive measures and asset recovery, as well as criminalization, international cooperation, technical assistance and monitoring of implementation. Antonio Maria Costa EXECUTIVE DIRECTOR, UNITED NATIONS OFFICE ON DRUGS AND CRIME ACKNOWLEDGMENTS The United Nations Office on Drugs and Crime (UNODC) acknowledges the contribution of Petter Langseth, the co-author and editor supervising the production of the United Nations Guide on Anti Corruption Policies, and his staff Natalie Christelis, sub-editor also responsible for the compilation and Oliver Stolpe. Other ODC staff members contributing to the Toolkit were Jan van Dijk and Suzanne Kunnen. The publication of this revised version of the Manual for Anti Corruption Policy would not have been possible without the invaluable support of Chris Ram, and Kathryn Platzer who was responsible for the final editing and layout. UNITED NATIONS CONVENTION AGAINST CORRUPTION Article 1* Statement of purpose The purposes of this Convention are: a) To promote and strengthen measures to prevent and combat corruption more efficiently and effectively; b) To promote, facilitate and support international cooperation and technical assistance in the prevention of and fight against corruption, including in asset recovery; c) To promote integrity, accountability and proper management of public affairs and public property. * UN CONVENTION AGAINST CORRUPTION Background Member States of the United Nations have successfully finalised the United Nations Convention against Corruption. Negotiations were concluded in Vienna on 30 September 2003 after two years of deliberations, The Convention marks a major step forward in international cooperation against corruption has been included in the introductory part of this Guide. References to specific provisions of the Convention have been added throughout the Guide on Anti-Corruption Policies where appropriate. The first session of the Ad Hoc Committee was held in January 2002. At its first and second sessions, the Committee concluded the first reading of the draft Convention. At the third and fourth sessions, the second reading was completed. At the fifth session, in March 2003, the Committee reached a preliminary agreement on a significant number of provisions. The sixth session lasted a week longer than the previous five, including night sessions. After a debate lasting through to 3:50 a.m. on Saturday, 9 August 2003, delegates from the 128 Member States decided to continue working on the Convention on Corruption’s final details in a short, three-day seventh session, which concluded on 1 October, 2003. Substantive Highlights of the Convention include: Prevention. Corruption can be prosecuted after the fact, but first and foremost, it requires prevention. An entire chapter of the Convention is dedicated to prevention, with measures directed at both the public and private sectors. These include model preventive policies, such as the establishment of anticorruption bodies and enhanced transparency in the financing of election campaigns and political parties. States must endeavour to ensure that their public services are subject to safeguards that promote efficiency, transparency and recruitment based on merit. Once recruited, public servants should be subject to codes of conduct, requirements for financial and other disclosures, and appropriate disciplinary measures. Transparency and accountability in matters of public finance must also be promoted, and specific requirements are established for the prevention of corruption, in the particularly critical areas of the public sector, such as the judiciary and public procurement. Those who use public services must expect a high standard of conduct from their public servants. Preventing public corruption also requires an effort from all members of society at large. For these reasons, the Convention calls on countries to promote actively the involvement of non- governmental and community-based organizations, as well as other elements of civil society, and to raise public awareness of corruption and what can be done about it. Article 6* Preventive anti-corruption body or bodies 1. Each State Party shall, in accordance with the fundamental principles of its legal system, ensure the existence of a body or bodies, as appropriate, that prevent corruption by such means as: (a) Implementing the policies referred to in article 5 of this Convention and, where appropriate, overseeing and coordinating the implementation of those policies; (b) Increasing and disseminating knowledge about the prevention of corruption. 2. Each State Party shall grant the body or bodies referred to in paragraph 1 of this article the necessary independence, in accordance with the fundamental principles of its legal system, to enable the body or bodies to carry out its or their functions effectively and free from any undue influence. The necessary material resources and specialized staff, as well as the training that such staff may require to carry out their functions, should be provided. 3. Each State Party shall inform the Secretary-General of the United Nations of the name and address of the authority or authorities that may assist other States Parties in developing and implementing specific measures for the prevention of corruption. * UN CONVENTION AGAINST CORRUPTION Criminalization. The Convention requires countries to establish criminal and other offences to cover a wide range of acts of corruption, if these are not already crimes