United Nations

Convention
Against Corruption

Macasinag, Nuque,
Reyno and Turrecha
 Introduction
Corruption dishonest or illegal behavior especially
by powerful people. (Merriam Webster Dictionary)
-the evil phenomenon which is found in all countries
big and small, rich and poor but it is in the
developing world that its effects are most
destructive.
-it diverts funds intended for development,
undermining a Governments ability to provide basic
services, feeding inequality and injustice and
discouraging foreign aid and investment.
-a key element in economic underperformance and a
major obstacle to poverty alleviation and
development.
 Purposes of the
Convention
It serves as an instrument to address corruption
at the global level
It sends a clear message that the international
community is determined to prevent and control
corruption.
It warns the corrupt that the betrayal of public
trust will no longerbe tolerated.
It reaffirms the importance of core values such as
honesty, respect for the rule of law,
accountability and transparency in promoting
development and making the world a better
place for all.
Important Dates

14December 2005 date of

effectivity of UNCAC

9 December 2003 signed by the

Philippines

8 November 2006 ratification by

the Philippines
Parties to the
Convention

181 State Parties (in blue)

140 Signatories (in orange)
13 Countries that have not signed or ratified (in red)
Status as of December 12, 2016
Top 10 Most Corrupt
Countries
1. Somalia not a signatory and did not ratify
2. South Sudan only until accession
3. North Korea not a signatory and did not ratify
4. Syria
5. Yemen
6. Sudan
7. Libya
8. Afghanistan
9. Guinea-Bissau only until accession
10. Venezuela
*Philippines is ranked 101. According to Transparency International (The
Global Coalition Against Corruption)
Philippine Laws adopting
UNCAC

R.A. 3019 Anti Graft and Corrupt Practices

R.A.
9160 Anti-Money Laundering Act of
2001 as amended by R.A. 9194 and R.A.
10167

E.O.
171 s. 2014 Creating an Inter-Agency
Committee to Oversee the Review,
Implementation and Monitoring of the
UNCAC
 Chapter I
General Provisions
 Chapter 1: General
Provisions
Purposes of the Convention
(a) To promote and strengthen measures to
prevent and combat corruption more
efficiently and effectively;
(b) To promote, facilitate ad support international
corruption 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.
 Article 2. Use of Terms
For the purposes of this Convenion
(a) Public Official
(b) Foreign Public Official
(c) Official of Public International Organization
(d) Property
(e) Proceeds of crime
(f) Freezing or seizure
(g) Confiscation
(h) Predicate Offence
(i) Controlled delivery
Article 3. Scope of
Application
It shall apply to the prevention,
investigation, and prosecution of
corruption and to the freezing,
seizure, confiscation and return of
the proceeds of offences established
in accordance with the Convention.
It shall not be necessary, except as
otherwise stated herein, for the
offences set forth in it to result in
damage or harm to state property.
 Art. 4 Protection of
sovereignty
State Parties shall carry out their obligations
under this Convention in a manner consistent
with the principles of sovereign equality and
territorial integrity of States and that of non-
intervention in the domestic affairs of the States.
Nothing in this Convention shall entitle a State
Party to undertake in the territory of another
State the exercise of jurisdiction and
performance of functions that are reserved
exclusively for the authorities of that other State
by its domestic law.
 Chapter II
Preventive Measures
 Article 5. Preventive anti-
corruption policies and practices

Each State party shall:

Develop and implement or maintain effective,
coordinated anti-corruption policies that
promote the participation of society.
Endeavour to establish and promote effective
practices aimed at the prevention of corruption.
Endeavour to periodically evaluate relevant
legal instruments and administrative measures
with a view to determining their adequacy to
prevent and fight corruption.
 Collaborate with each other and with
relevant international and regional
organizations in promoting and
developing the measures referred to
in this article which may include
participation in international
programmes and projects aimed at
the prevention of corruption.
 Article 6. Preventive anti-
corruption body or bodies
Each state party shall:
-ensure the existence of bodies that
prevent corruption by such means as
(a) Implementing the policies referred to in
Article 5,where appropriate, overseeing
and coordinating the implementation of
those policies
(b) increasing and dissemination
knowledge about the prevention of
corruption
 Grant the bodies referred to par.1 the
necessary independence to enable them
to carry out their functions effectively
and free from any undue influence. The
necessary material resources and
specialized staff, as well as the training
for the staff.
Inform the UN Sec-Gen of the name and
address of authorities that other State
Parties may assist other State Parties in
developing and implementing specific
measures for the prevention of corruption
 Article 7: Public Sector
Each state party shall:
-endeavour to adopt, maintain and
strengthen systems for the
recruitent, hiring, retention and
promotion of civil servants and other
non-elected public officials.
Consider adopting appropriate
legislative and administrative
measures to prescribe criteria
concerning candidature for and
election to public office.
-consider taking appropriate
legislative and administrative
measures to enhance transparency
in the funding of candidatures for
elected public office and, where
applicable, the funding of political
parties.
-endeavour to adopt, maintain and
strengthen systems that promote
transparency and prevent conflicts of
interest.
 Article 8. Codes of Conduct
for Public officials
In order to fight corruption, each state party shall:
-promote integrity, honesty and responsibility among
its public officials, in accordance with the
fundamental principles of its legal system.
-endeavour to apply codes or standards of conduct
for the correct, honorable and proper performance
of public functions
-where appropriate and in accordance with the
fundamental principles of its legal system, take note
of the relevant initiatives of regional, interregional
and multilateral organization such as the
International Code of Conduct for Public Officials.
-Consider establishing measures and systems
to facilitate the reporting by public officials
of acts of corruption to appropriate
authorities when such acts come to their
notice in the performance of their functions.
-endeavour to establish measures and
systems requiring public officials to make
declarations to appropriate authorities
regarding their outside activities,
employment, investments, assets and
substantial gifts or benefits from which a
conflict of interest may result with respect to
their functions as public officials.
-consider taking disciplinary or other measures
against public officials who violate the codes
 Article 9.Public procurement and
management of public finances

1. Each state party shall take the necessary steps to

establish appropriate systems of procurement based
on transparency, competition and objective criteria in
decision making, that are effective in preventing
corruption.
It shall address the following:
(a) Public distribution of information
(b) Establishment of conditions for participation
(c) Use of objective and predetermined criteria for public
procurement decisions
(d) Effective system of domestic review
(e) Regulate matters regarding personnel responsible for
procurement
 2. Each State party shall take appropriate measures to
promote transparency and accountability in the
management of public finances. It shall encompass
the ff:
(a) Procedures for the adoption of national budget
(b) Timely reporting on revenue and expenditure
(c) A system of accounting and auditing standards and
related oversight
(d) Effective and efficient systems of risk management
and internal control
(e) Corrective action in the case of failure to comply
with requirements established in this paragraph
3. Each state party shall take civil and administrative
measures to preserve the integrity of accounting
books, records, financial statements and other docs
related to public expenditure and revenue and to
prevent the falsification of documents.
 Article 10. Public
Reporting
Each state party shall take necessary measures to
enhance transparency in its public administration,
with regard to its organization, functioning and
decision making process. Such measures may be as
follows:
(a) Adopting procedures or regulations allowing the
public to obtain information on the organization,
functioning and decision-making process
(b) Simplifying administrative procedures in order to
facilitate public access to competent decision-making
authorities
(c) Publishing information including periodic reports on
the risks of corruption in its public administration.
 Article 11. Measures relation to the
judiciary and prosecution services

Such measures may include rules

with respect to the conduct of
members of the judiciary.
Measures may be introduced and
applied within the prosecution
service in those State Parties where
it does not form part of the judiciary
but enjoys independence similar to
that of the judicial service.
 Article 12. Private
Sector
Enhance accounting and auditing standards in the
private sector and provide effective, proportionate and
dissuasive civil, administrative and criminal penalties for
failure to comply with the measures.
Measures to achieve these ends include:
(a) Promoting cooperation between law enforcement
agencies and relevant private entities
(b) Promoting development of standards and procedures
(c) Promoting transparency among private entities
(d) Preventing the misuse of procedures regulation private
entities
(e) Preventing conflicts of interests by imposing restrictions
(f) Ensuring that private enterprises have sufficient internal
auditing controls
 Offences:
(a) Establishment of off-the-books- accounts
(b) The making of off-the-books or
inadequately identified transactions;
(c)The recording of non-existent expenditure
(d) The entry f liabilities with incorrect
identification of their objects
(e) The use of false documents
(f) The intentional destruction of bookkeeping
documents earlier than foresee by the law
State parties shall also disallow the tax
deductibility of expenses that constitute
bribes.
 Article 13. Participation of
Society
Participation shall be strengthened by such
measures as:
(a) Enhancing the transparency of and promoting the
contribution of the public to decision-making
processes.
(b) ensuring that the public has effective access to
information
(c) Undertaking public information activities that
contribute to non-tolerance of corruption, as well
as public education programmes, including
schools and university curricula.
(d) Respecting, promoting and protecting the
freedom to seek, receive publish and disseminate
information concerning corruption
 Article 14. Measures to
prevent money-laundering
1. Each state party shall:
(a) Institute a comprehensive domestic and regulatory regime
for banks and non- bank financial institutions in order to
deter and detect all forms of money-laundering, which
regime shall emphasize requirements for customer and,
where appropriate, beneficial owner identification, record-
keeping and the reporting of suspicious transactions;
(b) Ensure that administrative, regulatory, law enforcement and
other authorities dedicated to combating money-laundering
have the ability to cooperate and exchange information at
the national and international levels.
2. State parties shall consider implementing feasible measures
to detect and monitor the movement of cash and
appropriate negotiable instruments across their borders.
3. State Parties shall consider implementing appropriate and
feasible measures to require financial institutions including
money remitters:
(a) To include on forms for the electronic transfer of funds and
related messages accurate and meaningful information on
the originator
(b) to maintain such information throughout the payment
chain
(c) To apply enhance scrutiny to transfers of funds that do not
contain complete information on the originator
4. State parties are called upon to use as a guideline the
relevant initiatives of regional, interregional and
multilateral organizations against money laundering
5. State parties shall endeavour to promote cooperation
among judicial, law enforcement and financial regulatory
authorities in order to combat money-laundering.
 Chapter III
Criminalization and Law
Enforcement
Crimes that should be
criminalized
Bribery of national public
officials
Bribery of foreign public officials
and officials of public
international organizations
Embezzlement, misappropriation
or other diversion of property by
a public official
Laundering of proceeds of the
crime
Crimes that should be
considered to be criminalized

Trading in influence
Abuse of functions
Illicit enrichment
Bribery in the private sector
Embezzlement or property in the
private sector
Concealment
How a State Party acquires
Jurisdiction (Art. 42)

(a)The offense is committed in the

territory of that State Party; or

(b)The offense is committed on

board a vessel that is flying the
flag of that State Party or an
aircraft that is registered under
the laws of that State Party at
the time that the offence is
committed.
How a State Party acquires
Jurisdiction (Art. 42)
a) The offender is the subject of a
request for extradition;
b) The offender is in the territory of the
State Party;
c) The offense for which extradition is
sought is punishable under the
domestic law of both the requesting
party and the requested State Party;
and
d) The offense is committed against the
State Party.
 Chapter IV

International Cooperation
International cooperation
(Art. 43)
enactmentof domestic laws in
compliance with the provisions of the
Convention.
International cooperation
(Art. 43)
Extradition;
Transfer of sentenced persons;
Rendering of mutual legal
assistance;
Transfer of criminal proceedings;
Law enforcement cooperation;
Joint investigations; and
Special investigative techniques
International cooperation
(Art. 43)
Dual Criminality
The offense must be a criminal offense for both
of the State Parties

Irrespective of whether the offense is:

a) within the same category
b) denominated by the same terminology as the
requesting State Party
Extradition (Art. 44)

to expedite the extradition

procedures
evidentiary requirements are
simplified
e.g. issuance of a warrant for
immediate arrest of the accused

However, the Philippines has made a

declaration that it cannot consider the
Extradition (Art. 44)

Presidential Decree No. 1069

Prescribing the Procedure for the
Extradition of Persons Who Have
Committed Crimes in a Foreign
Country.
Extradition (Art. 44 - 45)
General conditions for extradition (Sec. 3,
P.D. 1069)
a. may be granted only pursuant to a treaty or
convention.
b. Offense must be punishable under the laws both of
the requesting state or government and the Republic
of the Philippines by imprisonment or other forms.
c. The execution of a prison sentence imposed by a
court of the requesting state shall be served in the
jurisdiction of and as a punishment for an offense
committed by the accused within the territorial
jurisdiction of the requesting state or government.
Some identified gaps and
challenges between the
domestic laws and UNCAC:
1. The Philippines should criminalize bribery of
foreign public officials and officials of public
international organizations;
2. The Philippines has made a declaration that it
cannot consider the Convention as a legal basis
for cooperation on extradition with other States;
and
3. The bilateral extradition treaties do not mention
that fiscal offenses are considered as extraditable
offenses with the exception of India, Indonesia,
Thailand and the United States (4/13)
Mutual Legal Assistance (Art.
46)
Mutual legal assistance in criminal
matters to other States
Basis, among others, are:
a) the provisions of existing bilateral
and regional Mutual Legal
Assistance Treaties (MLATs); and
b) mini-MLATs contained in the
various United Nations Conventions
to which the Philippines is a State
party
Mutual Legal Assistance
(Art. 46)
RepublicAct No. 9160 - Anti-
Money Laundering Act of 2001, as
amended by R.A. No. 9194.
Mutual Legal Assistance (Art.
46)
authority to inquire into bank deposits of
the Anti-Money Laundering Council (AMLC)

allows the AMLC to extend mutual legal

assistance to a foreign State for any of the
following purposes:
a) Identifying, freezing and tracing proceeds of
crime
b) The recovery of assets
Transfer of Criminal
Proceedings (Art. 47)
There are no cases received on this
matter.
States Parties shall consider the
possibility of transferring to one
another proceedings for the
prosecution of an offence where such
transfer is considered to be in the
interests of the proper administration
of justice, in particular in cases
where several jurisdictions are
Law Enforcement
Cooperation (Art. 48)
Close cooperation with State Parties is required

Limitations:
1. Specificities in our legal system (NBI Modernization Bill)
2. Anti-corruption measures may compete with
respective mandates of government agencies or
entail additional efforts/tasking. It will involve
funding and personnel requirements.
3. Limited capacity by reason that there is no
dedicated division in the PNP for anti-corruption
cases.
4. Limited resources for implementation
Joint Investigations
(Art. 49)
Limitations for joint investigations:
1. AMLC conducts financial investigations
through task forces for information gathering
only.
2. MLATs do not contain express provision on
joint investigation.
3. PNPs involvement on MLATs and MOUs with
other countries usually revolve around on
information sharing, coordination and
assistance
Special Investigative
Techniques (Art. 50)
Includes the use of electronic or
other forms of surveillance and
undercover operations, within the
State Partys territory, and to allow
for the admissibility in court of
evidence derived there from.
This will involve capacity
enhancement and facilities on the
part of the Philippines.
 Chapter V
Asset recovery

Asset Recovery

Thereturn of assets is a fundamental

principle of this Convention, and
States Parties shall afford one
another the widest measure of
cooperation and assistance in this
regard.
Prevention and
detection of transfers of
proceeds of crime
torequire financial institutions within its
jurisdiction to verify the identity of customers;

totake reasonable steps to determine the

identity of beneficial owners of funds deposited
into high-value accounts; and

toconduct enhanced scrutiny of accounts sought

or maintained by or on behalf of individuals who
are, or have been, entrusted with prominent
public functions and their family members and
close associates.
To facilitate the
implementation of this
convention the State Party
shall:
1. Issue advisories
2. Issue notifications to financial institutions
3.Prevent the establishment of banks that have no physical
presence or not affiliated with a regulated financial group.
4. Financial disclosure systems for appropriate public officials
and shall provide for appropriate sanctions for non-
compliance.
5. To require appropriate public officials having an interest in
or signature or other authority over a financial account in a
foreign country to report that relationship to appropriate
authorities and to maintain appropriate records related to
such accounts. Such measures shall also provide for
appropriate sanctions for non-compliance.
Measures for direct recovery
of property

1. Civil action initiated by another

State Party in its courts to establish
title or ownership over the property
acquired through the commission of
an offence

2. Payment of compensation or
damages

3. Confiscation
Mechanism for recovery of
property through international
cooperation in confiscation:
1. Giving of full effect to an order of confiscation
issued by a court of another State Party

2. To permit State party its competent

authorities, where they have jurisdiction, to
order the confiscation of such property of
foreign origin by adjudication of an offence of
money-laundering or such other offence as
may be within its jurisdiction or by other
procedures authorized under its domestic law.
Mechanism for recovery of
property through international
cooperation in confiscation:
3. To allow confiscation without criminal
conviction in case the offender cannot be
prosecuted by reason of death, flight or
absence or in other appropriate cases.

4. Freeze or seize the property through court

order of the requesting State Party and upon
the request of the requesting State Party.

5. Preservation of property for confiscation

If request made by the requesting
State Party having jurisdiction
over the property for the purpose
of eventual confiscation it should:
1. Identify the property
2. Trace the property
3. Freeze or seize proceeds of crime,
property, equipment or other
instrumentalities
If the requesting State party
having an order of confiscation
issued by its competent
authorities,
such order must be given effect by the
requested State Party, and it is necessary for
the requesting State Party to:
1. Know the description of the property to be
confiscated
2. The location of the property to be confiscated
3. Estimated value of the property
4. Statement of the facts relied upon by the
requesting State Party sufficient to enable the
requested State Party to seek the order under
its domestic law
Cooperation on the confiscation of
property may be also refused or
provisional measures lifted if:

1. Requested State party does not

receive sufficient and timely evidence
2. If the property is of de minimis value.

Note: Before the lifting of the provisional

measures the requested State party
wherever possible, give the requesting State
Party an opportunity to present its reasons in
favour of continuing the measure.
Special Cooperation
Without prejudice to its domestic law, each State
Party shall endeavor to take measures to permit it
to forward, without prejudice to its own
investigations, prosecutions or judicial proceedings,
information on proceeds of offences established in
accordance with this Convention to another State
Party without prior request, when it considers that
the disclosure of such information might assist the
receiving State Party in initiating or carrying out
investigations, prosecutions or judicial proceedings
or might lead to a request by that State Party
under this chapter of the Convention.
Return and disposal of assets

Property
confiscated by a State Party shall be
disposed of and return to its prior legitimate
owner under the following:

Inthe case of embezzlement of public funds

or of laundering of embezzled public funds,
when confiscation was executed on the basis
of final judgment in the requesting State
Party, a requested State Party shall return the
confiscated property to the requesting State
Party.
Return and disposal of
assets
In
the case of proceeds of any other offence
covered by this Convention, when the confiscation
was executed in accordance with article 55 of this
Convention and on the basis of a final judgment in
the requesting State Party, the requested State
Party, will return the confiscated property to the
requesting State Party, when the requesting State
Party reasonably establishes its prior ownership of
such confiscated property to the requested State
Party or when the requested State Party
recognizes damage to the requesting State Party
as a basis for returning the confiscated property;
Return and disposal of
assets
Inall other cases, give priority consideration to
returning confiscated property to the requesting
State Party, returning such property to its prior
legitimate owners or compensating the victims of
the crime.

Where appropriate, unless States Parties decide

otherwise, the re-quested State Party may deduct
reasonable expenses incurred in investigations,
prosecutions or judicial proceedings leading to
the return or disposition of confiscated property
pursuant to this article.
 Chapter VI
Technical assistance and
information exchange
Technical assistance and
information exchange
1. Each State Party shall, to the extent necessary, initiate,
develop or improve specific training programmes for its
personnel responsible for preventing and combating
corruption.

2. Each State Party shall conduct evaluations, studies and

research relating to the types, causes, effects and costs of
corruption in their respective countries, with a view to
developing, with the participation of competent authorities
and society, strategies and action plans to combat corruption.

3. States Parties may cooperate in providing each other with

the names of experts who could assist in achieving that
objective.
 (Chapter VII)
MECHANISMS FOR IMPLEMENTATION
Conference of the State
Parties

Established to improve the capacity of

and cooperation between the State
Parties to achieve the objectives set
forth in this Convention
Adopt rules of procedures and
rules governing the functioning of
the activities:
Facilitating
the activities by State Parties under Articles 60
and 62 and Chapters II to V of this Convention, including
by encouraging the mobilization of voluntary
contributions;

Facilitating
the exchange of information among State
Parties on patterns and trends in corruption and on
successful practices for preventing and combating it and
for the return of proceeds of crime, through inter alia, the
publication of relevant information;

Cooperatingwith relevant international and regional

organizations and mechanisms and non-governmental
organizations;
Adopt rules of procedures and
rules governing the functioning of
the activities:
Makingappropriate use of relevant
information produced by other international
and regional mechanisms for combating and
preventing corruption in order to avoid
unnecessary duplication of words;

Reviewingperiodically the implementation of

this Convention by its State Parties;

Making
recommendations to improve this
Convention and its implementation; and
Adopt rules of procedures and
rules governing the functioning of
the activities:
Takingnote of the technical assistance
requirements of State Parties with regard to
the implementation of this Convention and
recommending any action it may deem
necessary in that respect.

Each State Party shall provide the

conference with information on its
programmes, plans and practices, as well as
legislations and administrative measures to
implement this Convention.
 Chapter VIII
Implementation of the
Convention
Implementation of the
Convention
Legislative
and administrative
measures in accordance with the
fundamental principles of its
domestic law

May adopt more strict or severe

measures than those provided for by
this Convention for preventing and
combating corruption
Settlement of disputes concerning
interpretation and application

Negotiation
Arbitration
Referral to International Court of
Justice
Thank you