EXPERTS’ PAPERS

THE UN CONVENTION AGAINST CORRUPTION: THE CONFERENCE
OF THE STATES PARTIES TO THE CONVENTION, ITS
IMPLEMENTATION REVIEW MECHANISM AND NEW AND EMERGINGCORRUPTION FORMS
Giovanni Gallo *I. NEW AND EMERGING FORMS IDENTIFIED BY THE GENERAL ASSEMBLY
In June 2021, the General Assembly held an unprecedented special session against
corruption that culminated in the adoption of a high-level political declaration 1 in which
Member States “pledge[d] to pursue a multilateral approach in preventing and combating
corruption and reaffirm[ed] [their] strong commitment to the Convention as the mostcomprehensive legally binding universal instrument on corruption, and to integrating it into
[their] domestic legal systems, as necessary”. Member States further stated: “We reaffirm our
support for the bodies created under the Convention, most notably the Conference of the States
Parties to the United Nations Convention against Corruption and the Mechanism for the
Review of Implementation of the Convention, which are leading to important improvements
and progress in the implementation of anti-corruption measures in many States parties. We will
step up our efforts to promote and effectively implement our anticorruption obligations androbust commitments under the international anticorruption architecture, which we as acommunity have created together, and will further work towards finding synergies andcommon solutions”. 2
Those deliberations represent a clear commitment to the existing anti-corruption normative
frameworks, to the United Nations Convention against Corruption (hereinafter, “UNCAC” or“the Convention”) and the bodies created under it, placing emphasis on the need to redouble
implementation efforts.
The political declaration contains seven operational sections. The first five, preventive
measures, criminalization and law enforcement, international cooperation, asset recovery andtechnical assistance and information exchange, mirror the chapters of the Convention. The
sixth and the seventh, on anti-corruption as an enabler for the 2030 Agenda for Sustainable
Development and advancing a forward-looking anti-corruption agenda and framework,
reaffirm the centrality of anti-corruption to the attainment of the 2030 Sustainable
Development Agenda, the need to strengthen anti-corruption measures in the United Nations
peacekeeping and peacebuilding efforts and the need to advance anti-corruption responses.
In particular, in the seventh and final section of the political declaration, Member Statescommit to ensuring that “appropriate measures are in place to prevent and combat corruption

United Nations Office on Drugs and Crime (UNODC).
See the Political declaration adopted through Resolution S-32/1 by the General Assembly at its special session
against corruption (June 2021), entitled “Our common commitment to effectively addressing challenges andimplementing measures to prevent and combat corruption and strengthen international cooperation”.
2
Ibid. 3.
*
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when responding to or recovering from national crises and emergencies, while striving not tonegatively impact the speed and quality of responses in such situations.” 3
In furtherance of these commitments, Member States also recognize the important role ofsupreme audit institutions and oversight bodies, the need to substantially decrease corruption
by 2030, and the central role of the Convention and its Implementation Review Mechanism(hereinafter, “IRM” or “the Review Mechanism”) “in global efforts to improve the capacity ofand cooperation among States parties to effectively and comprehensively prevent and combat
corruption.” 4Since its entry into force in 2005, the Convention has been used by States to prevent andcounter corruption in contexts that were unimaginable at the time of negotiating it. Despite thecontinuous emergence of new corruption risks posed by emergencies such as the Covid-19
pandemic or the emerging forms of corruption in sectors such as sport or wildlife, UNCAC
continues to provide a comprehensive framework for effective responses.
II. NEW FORMS OF CORRUPTION AND UNCAC IMPLEMENTATION
A. Innovative Resolutions of the Conference of the States Parties
As recognized by Member States and foreseen by the Convention, the Conference of theStates Parties (hereinafter “CoSP” or “the Conference”) plays a critical role in improving thecapacity of and cooperation between States in the implementation of the Convention. Its
resolutions provide direction to the secretariat and to States parties on focus areas aimed at
supporting their efforts to respond to new challenges faced by States or identified through the
IRM.
In December 2019, at its last session before the onset of the Covid-19 pandemic, theConference recognized the risks of corruption in sport and the environment as well as theimportance of education in addressing corruption at its root. In particular, the Conference
adopted resolution 8/4 on “Safeguarding sport from corruption” in which it reaffirmed its
commitment to further coordinating and strengthening efforts to mitigate the risk of corruptionin sport and reiterated the role of sport as an “important enabler of sustainable development”;
resolution 8/5 on “Enhancing integrity by raising public awareness”, in which it encouraged
States to build a culture of zero tolerance into national educational programmes to mitigate therisks of corruption; and resolution 8/12 on “Preventing and combating corruption as it relates
to crimes that have an impact on the environment”.
At the most recent session of the Conference held in December 2021, States parties
recognized new corruption threats, particularly those arising in the context of the Covid-19
pandemic as well as in other global emergencies and crises. This culminated in resolution 9/1
entitled “Sharm el-Sheikh declaration on strengthening international cooperation in theprevention of and fight against corruption during times of emergencies and crisis response andrecovery”. Through this resolution, States recognized that “corruption risks may increaseduring times of emergencies and crisis response and recovery as the urgency of needs, highdemand for economic and health-related relief and the speed with which Member States andparties to the Convention against Corruption are required to respond create opportunities for

3
4

Ibid., para. 73.
Ibid., paras. 74-76.

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corruption…”. 5 The resolution highlights the risks that arise particularly in times of a national
or global emergency and the need for States parties to strengthen prevention, oversight andenforcement mechanisms to address those risks. To that end, the Conference notably urgedStates parties to strengthen “whole public procurement cycles”, building on prior efforts that
had focused on specific segments of the procurement cycle.
The global nature of emergencies and crises have underscored the importance ofinternational coordination and cooperation in responding to challenges, including thechallenges posed by corruption. In resolution 9/2, States parties reaffirmed the politicaldeclaration and committed to improving cooperation including with international and regionalorganizations. In view of the new challenges posed by the pandemic and other emergencies,
the Conference reiterated “the need to strengthen measures and develop new approaches” toidentifying and addressing challenges and gaps and overcoming obstacles in theimplementation of the Convention. 6
B. The Findings of the UNCAC Implementation Review Mechanism
The Conference took a bold step when it agreed at its first session to establish a mechanism
to assist States parties in reviewing the implementation of the Convention. The Mechanism
was thus established as a peer review process aimed at supporting States parties in theireffective implementation of the Convention. Reviews are conducted in accordance with the
Mechanism’s Terms of Reference, which require each State party to be reviewed by two peers,
one of which is from the same regional group, determined by a drawing of lots. The first cycleof the Review Mechanism commenced in 2010 and covers the substantive chapters of theConvention on criminalization and law enforcement and international cooperation. The second
cycle, launched in 2015, covers the substantive chapters on preventive measures and asset
recovery. The cornerstones of the Review Mechanism are its objectivity and impartiality, as it
consists of technical reviews undertaken by anti-corruption experts.
More than ten years since its establishment, and in view of the Convention’s almost
universal reach and the breadth of its substantive provisions, the Review Mechanism isunprecedented in terms of geographic and thematic reach. It has had a considerable impact on
States parties, leading to legislative reforms, improved institutional frameworks, enhanced
coordination and information-sharing among national institutions, strengthened international
cooperation, and overall increased capacity to prevent and act against corruption. The Covid19 pandemic exposed weaknesses in institutional and legal frameworks. Together with newchallenges arising from the emergency measures implemented in response to the pandemic, theneed to mainstream integrity and corruption-prevention measures has been further underscored.
An important element of the evolution both of corruption and the mechanisms to preventand counter it is the advancement of technology. The use of technologies in the fight against
corruption has attracted growing attention in recent years. Innovation in anti-corruption efforts
and the rapid development of those technologies have led to new approaches and solutions,
Resolution 9/1 adopted by the Conference of the States Parties to the United Nations Convention against
Corruption at its ninth session (December 2021), entitled “The Sharm el-Sheikh declaration on strengthening
international cooperation in the prevention of and fight against corruption during times of emergencies and crisis
response and recovery”.
6
Resolution 9/2 adopted by the Conference of the States Parties to the United Nations Convention against
Corruption at its ninth session (December 2021), entitled “Our common commitment to effectively addressing
challenges and implementing measures to prevent and combat corruption and strengthening international
cooperation: follow-up to the special session of the General Assembly against corruption”.
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which may be used to strengthen transparency and accountability, increase public participation
and build trust in government. Solutions based on information and communications
technologies provide citizens with direct access to government information and public services,limit face-to-face interaction with public officials, thus reducing opportunities for corruption,
provide direct communication channels with society and facilitate citizens’ feedback, and canbe used to build the capacity of preventive anti-corruption bodies, to facilitate inter-agency
coordination and to boost the effectiveness of anti-corruption efforts.
The development or use of technological tools is a cross-cutting need in the fight against
corruption or to minimize corruption opportunities. 7 Their use has been effective for
procurement systems, the management of conflicts of interest through online interest and asset
declarations, as well as for financial investigations and forensic accounting.
III. NEW AND EMERGING FORMS OF CORRUPTION AND RESPONSES
Chapter II (preventive measures), Chapter IV (international cooperation) and Chapter V(asset recovery) of the Convention provide States parties with comprehensive measures toprevent corruption and respond to corruption offences through international cooperation andasset recovery. The sections below provide an overview of the practices of implementation ofthese chapters to address all types of corruption risks arising in various contexts and sectors.
A. Preventive Measures
An entire chapter of the Convention is dedicated to prevention, with measures directed atboth the public and private sectors. These include model preventive policies, such as theestablishment of anti-corruption 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 officials should be subject to codes of conduct, requirements forfinancial and other disclosures and appropriate disciplinary measures.
1. Corruption Risk Management
The Convention requires States parties to have “effective and efficient systems of risk
management and internal control” as a means for promoting “transparency and accountability
in the management of public finances”. 8 All organizations and government institutions facerisks of corruption. Whether through the awarding of public contracts, the management ofpublic finances, payment of social benefits, or in any of the other ways in which a government
interacts with its citizens, there is the ever-present possibility that in the absence of measuresin place, corruption may occur.
Likewise, persons interacting with government institutions and public officials might try touse corruption to influence or circumvent rules, procedures and decisions. The challenge thatmost organizations face is identifying the points in their operations where corruption is most
Note of the Secretariat presented at the ninth session of the Conference of the States Parties to the United
Nations Convention against Corruption (December 2021), entitled “Analysis of technical assistance needs
emerging from the country reviews and assistance delivered by the United Nations Office on Drugs and Crimein support of the implementation of the United Nations Convention against Corruption” at para. 26, p. 9.
8United Nations Convention against Corruption (2004), art. 9, para. 2(d): “2. Each State Party shall, in
accordance with the fundamental principles of its legal system, take appropriate measures to promotetransparency and accountability in the management of public finances. Such measures shall encompass, interalia: […] (d) Effective and efficient systems of risk management and internal control; […]”.
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likely to occur, developing and implementing strategies to prevent such forms of corruption
from occurring, and ensuring that all members of the organization work with integrity toachieve the organization’s mandate. 9
Corruption risk management can contribute to the enhanced delivery of services to citizens
that is neutral and objective, prevent the loss of revenue or safeguard law enforcement
operations.
In implementing preventive measures and in the context of the Review Mechanism, several
States parties have identified risk management and, more specifically, the conduct of
corruption risk assessments, as a technical assistance need. The institutions targeted by suchrisk assessments ranged from public sector institutions in general and “corruption-prone
institutions” more specifically, to private sector entities. Such increased interest in risk
assessments has also been witnessed by UNODC during the Covid-19 pandemic.
IN FOCUS: Preventing Corruption Within Wildlife Authorities
In 2015, Kenya, and much of Eastern Africa, was experiencing a wildlife-poaching crisis,with numbers in flagship species decreasing by the day. In the media, corruption in the
wildlife sector was indicated as the main enabler of wildlife crime, with wildlife authorities
being accused of being corrupt and of facilitating the illegal wildlife trade. Furthermore, civilsociety and the public at large identified corruption as a key factor enabling wildlife crimeand illegal trade. In response to a request from the Government of Kenya, UNODC began
working with the Kenya Wildlife Service (KWS) to strengthen its internal mechanisms andsystems to better prevent future occurrences of corruption from taking place.
The project Preventing Corruption Within Wildlife Authorities, uses a risk mitigation
approach articulated in three steps:
1. First, establishing a working group of senior managers to identify and prioritize areas
vulnerable to risk.
2. The working group then develops risk mitigation strategies, which are detailed andsystematized with the view of addressing the root cause of each risk area.
3. Finally, a corruption prevention committee (CPC) is established within the institution
to ensure ownership and implementation of the risk mitigation strategies developed.
Often CPCs are composed of the senior managers from various divisions whodeveloped the risk mitigation strategies.
As the CPC progressively became empowered in its institutional role, it began to berecognized as an important committee to be included in various forums.
2. Education
The importance of education in preventing corruption and raising awareness of its harmful
effects was stressed by the Conference in its resolution 9/8, which called upon States parties topromote, at various levels of the education system, programmes that instil concepts andprinciples of integrity and accountability, and to devote special attention to working with young
people and children as part of a strategy to prevent corruption. The political declaration adopted
by the General Assembly in 2021 places anti-corruption education and training at the core of aholistic and multidisciplinary approach to promote transparency, accountability, integrity anda culture of rejection of corruption as a basis for preventing and countering corruption. In a
UNODC publication “State of Integrity: A guide on conducting corruption risk assessments in publicorganizations” (2015).
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meeting to follow up on the implementation of the political declaration held in September 2022,
Member States again emphasized the importance of education and of raising public awarenessof the existence and root causes of corruption and committed to furthering their efforts. 10
Building on the success of the Education for Justice (E4J) 11 and Anti-Corruption Academic(ACAD) initiatives, UNODC launched the Global Resource for Anti-Corruption Education andYouth Empowerment (GRACE) 12 initiative, to further promote the role of education and youth
empowerment in preventing and countering corruption. The GRACE initiative brings to theinternational community knowledge of and expertise in working with educators, academics,
children and youth, anti-corruption authorities and practitioners to foster a culture of rejectionof corruption. The initiative helps children and youth become responsible citizens and integrity
leaders of tomorrow by equipping them with skills and mindsets required to promotetransparency, accountability and integrity within their communities and organizations.
3. Public Procurement and Management of Public Finances
Mindful of the cases of corruption in the procurement of medical equipment and services
reported throughout the Covid-19 pandemic, more focus has been placed on the corruption
risks across the whole procurement cycle. Several States parties have identified technicalassistance needs related to public procurement, particularly to training requirements including
the conduct of risk-based procurement audits, the prevention and detection of fraud in public
procurement, the monitoring and evaluation of public procurement systems, the conduct ofprocurement investigations and the preparation of procurement investigation reports. Several
States parties have also adopted e-procurement systems, with enhanced oversight,
simplification and clarity being highlighted as benefits of their introduction. 13 In the quest forenhancing transparency, different practices have been observed. One State party reported
establishing a “transparency portal” for the budgeting process of public finances, while anotherprocessed state expenses (with certain exceptions) through an electronic database, following
the adoption of a new law on budgetary transparency. For enhanced transparency in public
spending, one anti-corruption body established an online tool compiling all financialtransactions in the public sector. Similarly, another State party established an electronic
dashboard for real-time tracking of budget and infrastructure spending. Driven by the Covid19 pandemic, data on expenses on health-care infrastructure had been added as a separate
category.
Finally, States recognize that oversight by supreme audit institutions or other bodies
remains critical to ensuring that public procurement or finance systems are used in accordancewith the legal framework in place.
IN FOCUS: The Abu Dhabi Declaration Programme
Given the broad range of offences that are covered by the Convention, it is critical torecognize that all parts of society have a unique yet complementary role to play in addressing
corruption. Accordingly, the work of anti-corruption bodies must be aligned in scope and“Outcome of the intersessional meeting of the Conference on the achievements of the political declaration
adopted by the special session of the General Assembly against corruption” (September 2022), at p. 5.
11
See website of the “Education for Justice” initiative.
12
See website of the “Global Resource for Anti-Corruption Education and Youth Empowerment” (GRACE)
initiative.
13
Note of the Secretariat presented at the ninth session of the Conference of the States Parties to the United
Nations Convention against Corruption (December 2021), entitled “Good practices and experiences of, andrelevant measures taken by, States parties after the completion of country reviews, including information related
to technical assistance” at para. 58, p. 13.
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supported by the work of other institutions that may play a part in the prevention, detection
and tackling of corrupt practices. Crucially, this includes supreme audit institutions, whoserole in monitoring the effective management of public resources and ensuring transparency
and accountability, makes them a pivotal entity in the response to corruption.
While traditionally not considered central entities in this area, supreme audit institutions
and their role have increasingly been recognized in international anti-corruption forums. At
the eighth session of the Conference, resolution 8/13 was adopted, calling for enhanced
collaboration between supreme audit institutions and anti-corruption bodies to more
effectively prevent and counter corruption. This resolution, and its subsequent discussions
at the ninth session of the Conference, underscore the critical role of supreme audit
institutions and their relationship with anti-corruption bodies in promoting integrity,
accountability, transparency and the proper management of public affairs and public
property.
This recognition comes at a highly relevant moment in time. As the pandemic
demonstrated, the vast amounts of resources allocated towards crisis response and recovery
efforts – often with weak or insufficient oversight and accountability measures –, lead toincreased opportunities for corruption.
4. Corruption in SportThe sport sector has undergone significant changes in recent decades. Globalization, a huge
influx of money at the top level of professional sport, the rapid growth of legal and illegal
sports betting and marked technological advances have transformed the way in which sport isplayed and consumed. These factors have also had a major impact on corruption in sport, bothin terms of its scale and its forms, and on the role played by international organizations,
governments, and sports bodies to tackle it. 14
Competition manipulation has become a significant problem in sport. Major evolutions in
sport have made it more vulnerable to this type of corruption, with the risks becoming
increasingly complex. Corruption within sports organizations has been exposed on a broad
scale, not least with regard to the awarding of hosting rights of major sport events. The role oforganized crime groups in corruption in sport and the criminal infiltration of sports
organizations has also grown markedly because of the recent evolutions in sport. Criminalgroups are exploiting vulnerabilities linked to development-related changes and theweaknesses of legislative and regulatory frameworks that govern sport.
The need to strengthen legislative and regulatory frameworks and tools to effectively
combat corruption in sport has put the spotlight on sports administrations, their autonomy andcooperation with criminal justice authorities. 15
•

14
15

UNODC works to safeguard sport from corruption and crime by supporting the:Effective implementation of the United Nations Convention against Corruption,
including where appropriate, reviewing and updating legislation, regulations and rules
to bring them in line with the requirements of the Convention.

UNODC publication “The Global Report on Corruption in Sport” (2021).
Ibid.

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Development of comprehensive anti-corruption policies in sport based on anassessment of risks, including those related to the organization of major sports events,
competition manipulation, illegal betting and the involvement of organized crimegroups.

•Establishment of bodies by international organizations, governments and sportorganizations that have a clear responsibility for the prevention, detection, investigationand sanctioning of corruption in sport, ensuring they have the independence, training
and resources required to carry out their functions effectively.

5. Protection of Reporting Persons
The value of facilitating the reporting by citizens and persons working within theinstitutions is clear: information provided by individuals is one of the most common ways – if
not the most common way—in which fraud, corruption and other forms of wrongdoing are
identified. 16This was demonstrated during the Covid-19 pandemic, which led States to mobilize anddisburse emergency funds to contain and mitigate the spread of the virus, with the resulting
risk of increased corruption. In ordinary and emergency circumstances, it is essential toestablish measures and mechanisms to protect reporting persons and to facilitate confidential
and timely reporting in order to allow States to detect instances of wrongdoing, including
corruption.
B. International Cooperation
Successful international cooperation is required to eradicate the corrosive effects ofcorruption. The United Nations Convention against Corruption offers a strong framework forStates parties to engage in international cooperation at both the informal and formal levels. Oneof the central goals of the Convention is to promote, facilitate and support international
cooperation in the fight against corruption. Chapter IV of the Convention contains detailed
provisions on the main modalities of international cooperation in criminal matters, such as
extradition, mutual legal assistance and the transfer of sentenced persons; it also covers law
enforcement cooperation, joint investigations and special investigative techniques. Moreover,
the Convention, in its article 43, requires States parties to consider assisting each other ininvestigations of and proceedings in civil and administrative matters where appropriate andconsistent with their domestic legal systems. 17 Open-ended intergovernmental expert meetings
to enhance international cooperation under UNCAC are convened once a year. 18 By bringing
UNODC publication “Resource Guide on Good Practices in the Protection of Reporting Persons” (2015) andUNODC publication “Speak up for Health, Guidelines to enable whistle-blower protection in the healthcare
sector” (2021).
17
United Nations Convention against Corruption (2004), art. 43:“Article 43 International cooperation
1. States Parties shall cooperate in criminal matters in accordance with articles 44 to 50 of this Convention.
Where appropriate and consistent with their domestic legal system, States Parties shall consider assisting eachother in investigations of and proceedings in civil and administrative matters relating to corruption.
2. In matters of international cooperation, whenever dual criminality is considered a requirement, it shall bedeemed fulfilled irrespective of whether the laws of the requested State Party place the offence within the same
category of offence or denominate the offence by the same terminology as the requesting State Party, if the
conduct underlying the offence for which assistance is sought is a criminal offence under the laws of both States
Parties”.
18
See webpage of the Open-ended intergovernmental expert meetings to enhance international cooperation
under the United Nations Convention against Corruption.
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together competent authorities, anti-corruption bodies and practitioners involved in extradition
and mutual legal assistance, these meetings facilitate the exchange of experiences, disseminate
information on good practices in order to strengthen capacity at the national level and to build
confidence and encourage cooperation between requesting and requested States parties. 19
1. Law Enforcement Cooperation
The most prevalent challenges to international cooperation exist at the legislative andpractical levels. Some States lack legislation allowing for cooperation and for the Convention
to be used as a legal basis when extradition is conditional on the existence of a treaty. 20 As aresult, although the legislation of many States allows for the Convention to be used for the
purposes of extradition and mutual legal assistance, few cases of its effective use have been
observed. This highlights the importance of conducting further research on the use of theConvention as a legal basis for extradition and mutual legal assistance and enhancing
awareness among practitioners of the benefits of such application.
The Convention has been more often used as a legal basis for mutual legal assistancerequests than for extradition requests. The completeness of requests, as well as appropriate
training of relevant staff are fundamental for the success of mutual legal assistance requests.
Most forms of cooperation have been based on bilateral or multilateral agreements that regulate
cooperation between the competent authorities of the parties and generally provide for thefollowing forms of cooperation: exchange of intelligence and legislative information;
assistance in locating persons suspected of having committed crimes; assistance in carrying out
investigative measures; exchange of experience and specialists; and training of members of thecompetent authorities. These formal modes of cooperation are supplemented by informalcooperation among law enforcement authorities.
IN FOCUS: The GlobE Network
The Global Operational Network of Anti-Corruption Law Enforcement Authorities(GlobE) was established in 2021 under the auspices of UNODC to facilitate informalcooperation by providing a global network for anti-corruption law enforcement authorities.
The proposal for the GlobE Network was originally conceived under the presidency of
Saudi Arabia of the G20 in 2020 and was welcomed at the G20 Anti-Corruption Ministerial
Meeting held on 22 October 2020 and the G20 Leaders’ Summit held on 21 and 22
November 2020. UNODC convened an online meeting of experts on 3 and 4 March 2021,
which brought together over 130 technical experts and participants from 53 States from thefive regional groups of the United Nations and 21 international organizations and entities.
Interim task forces were created to develop various components of the Network.
The first plenary meeting of the GlobE Network was held in Vienna in a hybrid format
from 15 to 17 November 2021. In its first meeting, the plenary adopted the charter of the
See generally Note of the Secretariat presented at the tenth session of the Open-ended intergovernmental
expert meetings to enhance international cooperation under the United Nations Convention against Corruption(September 2021), entitled “Statistical information on the use of the United Nations Convention against
Corruption as a legal basis for extradition, mutual legal assistance and law enforcement cooperation” .
20
Note of the Secretariat presented at the tenth session of the Open-ended intergovernmental expert meetings toenhance international cooperation under the United Nations Convention against Corruption (September 2021),
entitled “Statistical information on the use of the United Nations Convention against Corruption as a legal basis
for extradition, mutual legal assistance and law enforcement cooperation”.
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GlobE Network and established its governance structure to ensure that its activities directly
respond to the needs of its members. 21
The GlobE Network has grown rapidly since its launch. As of 9 August 2022, it included
112 authorities from 63 States parties to the Convention and one observer. Pursuant to thepolitical declaration adopted by the General Assembly at its special session against
corruption, the GlobE Network aims at providing a quick, agile and efficient tool for
facilitating transnational cooperation in combating corruption and strengthening
communication exchange and peer learning between anti-corruption law enforcement
authorities.
C. Asset Recovery
The process of tracing, freezing, confiscating and returning stolen assets to their country oforigin is typically a complex and lengthy one, involving multiple jurisdictions and often
complicated by technical, legal and political barriers. Recognizing the serious problem ofcorruption and the need to facilitate the recovery of corruption proceeds, the international
community introduced a new framework for the return of stolen assets through Chapter V of
the Convention, which requires States parties to take measures to seize, confiscate, and return
the proceeds of corruption.
Over the past 12 years, States have reinforced their efforts to trace stolen assets acrossborders, with a marked increase in cases of completed returns of corruption proceeds between
2017 and 2021. Almost all States parties now have some form of framework or arrangement
for asset recovery (art. 51) in place, although the extent of these at the regulatory, institutionaland operational levels vary significantly. 22 While many challenges remain throughout therecovery and return process, data shows that the continued discussion of the topic of asset
recovery by the international community has spurred countries to action. 23 International asset
recovery of proceeds of corruption can no longer be considered a rare occurrence, and active
engagement in international cooperation on asset recovery has become prevalent. 24
A number of States parties make use of asset recovery networks or other initiatives tofacilitate international cooperation in asset recovery efforts. The Stolen Asset Recovery
Initiative (StAR) is a partnership between the World Bank Group and the United Nations Officeon Drugs and Crime that supports international efforts to end safe havens for corrupt funds.
StAR works with developing countries and financial centres to prevent the laundering of theproceeds of corruption and to facilitate a more systematic and timely return of stolen assets.
1. Beneficial Ownership
One of the key obstacles to tracing and recovering illicit gains from corruption is a lack of
corporate transparency: during corruption investigations, investigators must first uncover who
controls a company or benefits from the ownership of an asset – for example, a real estate
See website of the Global Operational Network of Anti-Corruption Law Enforcement Authorities (GlobE
Network).
22
Thematic Report prepared by the Secretariat presented at the second resumed thirteenth session of the
Implementation Review Group (November 2022), entitled “Implementation of chapter V (Asset recovery) of theUnited Nations Convention against Corruption”.
23
Note of the Secretariat “Statistical information on the use of the United Nations Convention against
Corruption as a legal basis for extradition, mutual legal assistance and law enforcement cooperation”.
24
Thematic Report prepared by the Secretariat, “Implementation of chapter V (Asset recovery) of the United
Nations Convention against Corruption”, table 2, p. 4.
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property or a corporate bank account that is involved in a corrupt scheme – since the beneficial
owner may be hidden behind multiple layers of shell companies or behind a nominee director.
Implementing an effective beneficial ownership disclosure regime is increasingly seen as
an essential policy tool in the fight against corruption and for preventing money-laundering.
Article 12, paragraphs 1 and 2, of the Convention promotes beneficial ownership transparency
by providing that each State party shall take measures to prevent corruption involving theprivate sector. Over the past few years, States parties have increasingly enacted laws and issued
regulations to enhance their domestic frameworks and achieve greater transparency with regard
to the ultimate beneficial ownership of legal entities and trusts. While only a few States
established a comprehensive framework as recently as in 2018, an increasing number are in theprocess of setting up, or actively considering creating, a framework for the establishment of abeneficial ownership register. 25
While beneficial ownership transparency may be an effective tool for asset recovery incomplex transnational corruption cases, it remains a highly technical area in which many
countries still lack sufficient legal, regulatory and institutional frameworks and systems, aswell as practical experience. Beneficial ownership transparency is a critical tool for combating
corruption and tackling the misuse of legal structures to conceal proceeds of corruption.
IV. CONCLUSIONSIn September 2022, a follow-up inter-sessional meeting of States parties on theachievements of the political declaration was held, during which States took stock of theimplementation of the commitments made in the political declaration and emphasized that“corruption is a local and a transnational phenomenon that affects all societies and undermines
economies, making international cooperation to prevent and combat it essential.” 26
The United Nations Convention against Corruption remains the key global instrument tofacilitate international cooperation and prevent and fight corruption. New forms of corruption
have only reinforced the urgent need to fully implement the Convention as Member States aim
to achieve the Sustainable Development Agenda 2030.
The political declaration represents a reaffirmation of the importance of this legal
instrument and a commitment by the Member States to redouble efforts to addressing
corruption in all of its forms.
In its final operative paragraphs, the General Assembly requests UNODC “to prepare acomprehensive report for the Conference on the state of implementation of the Convention
after the completion of the current review phase, taking into account information on gaps,
challenges, lessons learned and best practices in preventing and combating corruption, ininternational cooperation and in asset recovery since the Convention entered into force.” 27
Once completed, this report will provide a comprehensive overview of the state ofConference Room Paper presented at the sixteenth session of the Open-ended Intergovernmental Working
Group on Asset Recovery (November 2022), entitled “Good practices and challenges with respect to beneficial
ownership and how it can foster and enhance the effective recovery and return of proceeds of crime”.
26
Preamble of the Political Declaration “Our common commitment to effectively addressing challenges andimplementing measures to prevent and combat corruption and strengthen international cooperation”.
27
Political Declaration “Our common commitment to effectively addressing challenges and implementing
measures to prevent and combat corruption and strengthen international cooperation”, para. 83.
25

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SIXTEENTH REGIONAL SEMINAR ON GOOD GOVERNANCE

implementation of the Convention following the first and second cycles of the Review
Mechanism and opportunities and areas for new or more effective measures. It should,
therefore, serve as a useful tool to further support States parties in their individual and collective
efforts to develop stronger legislative and institutional frameworks and enhance capacity tobetter prevent and counter corruption, including its new and emerging forms.

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