United Nations Handbook on Practical Anti-Corruption Measures for

219 Pages·2004·0.71 MB·English

UNITED NATIONS
HANDBOOK
ON

PRACTICAL ANTI-CORRUPTION
MEASURES FOR PROSECUTORS
AND INVESTIGATORS

VIENNA, SEPTEMBER 2004

September 2004
Disclaimer

The views expressed herein are those of the Authors and editors
and not necessarily those of the United Nations
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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 Guide for 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 general 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. More toolkits are currently being tailor-made for judges, civil society and
prosecutors in requesting countries to address their specific needs.

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 purposes. These include both legally
binding obligations and some so-called "soft-law" (or normative) instruments intended to
serve as non-binding standards.

Examples of Country Assessments, as well as all four publications, are 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 are produced
and updated as necessary.

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FOREWORD

United Nations Handbook on Practical Anti-Corruption
Measures for Prosecutors and Investigators

The Practical Measures Against Corruption Manual produced by the United Nations has
proved to be of value to law enforcement personnel in many countries for more than a
decade. Over the years, however, several major developments in international anti-
corruption efforts have occurred as corruption issues surfaced repeatedly as a major
concern of Member States, and on 30 September 2003 they successfully finalised the
UN Convention Against Corruption after two years of deliberations.

The Convention marks a major step forward in international cooperation against
corruption and is a demonstration of near universal concern at the challenges corruption
poses to countries around the world and in every stage of development. A summary of
the instrument is included in the introductory part of this Handbook. References to
relevant specific provisions of the Convention appear throughout the Handbook, and a
more detailed review is included in Chapter 12 dealing with international judicial co-
operation.

The nature and effects of corruption are unique to each country and society. This
Handbook takes its place among the toolkit that continues to be developed by the United
Nations Office on Drugs and Crime. This is intended to provide a range of options that
enable each country to assemble an effective integrated strategy, adapted to meet its
own particular needs.

Antonio Maria Costa
EXECUTIVE DIRECTOR,
UNITED NATIONS OFFICE ON DRUGS AND CRIME
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ACKNOWLEDGEMENTS
.

The United Nations Office on Drugs and Crime (UNODC) acknowledges the contribution
of Petter Langseth, the editor supervising the production of the Handbook on Practical
Anti-Corruption Measures for Prosecutors and Investigators, Natalie Christelis, Abdullahi
Shehu, Oliver Stolpe and Andrew Wells.
Major contributors to the Handbook are Barry Hancock of the International Association of
Prosecutors, Jeremy Pope and Diana Miller, both of TIRI1, and Fiona Darroch.2
The first version of the Manual could not have been attempted without the invaluable
support of the United States Department of Justice, and in particular that of Michael A.
A. DeFeo. This second version (now entitled the “United Nations Handbook on Practical
Anti-Corruption Measures for Prosecutors and Investigators”) would not have been
possible without the support of the U.S. Department of Justice, and in particular John
Harris, Senior Counsel for International Policy; Kenneth Harris, Associate Director,
Office of International Affairs; and Sima Serrafin, Assistant United States Attorney for the
District of Columbia.

Drafts of the Handbook were thoroughly commented on by both a Government of South
Africa Task Team and by the Regional Office for Southern Africa of the United Nations
Office on Drugs and Crime (UNODC/ROSA). These comments, together with the draft
Handbook, were presented and further discussed during two Working Meetings
organised by UNODC, held in Pretoria (16 to 18 October 2002) and Cape Town (21 to
23 October 2002).

The International Association of Prosecutors (IAP) fed in the views of its members in
some twelve countries from around the world. The development of this edition of the
Handbook has been widely welcomed. The expectation is that elements of the
Handbook will form the basis for other publications, tailored to meet the needs of a
particular developing country or region.

The Handbook itself will continue to be developed. Practical training and case studies
will be added, setting out practical examples to enhance the usefulness of the Handbook
as a training tool. This will provide information about the conditions under which a
particular programme may be able to work, and how various practical anti-corruption
measures can be adapted to suit the circumstances of a particular developing country.

To achieve this, this, key staff from UNODC may need to first work with partners in key
countries and regions who have been tasked with adapting the Handbook to local
circumstances and then to disseminate successful outcomes that may warrant
replication in other, similar countries.

1 the governance-access-learning network
2 who prepared the case study on the Lesotho Highlands Water Supply prosecutions

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TABLE OF CONTENTS

Page

Foreword
Acknowledgements

Introduction: The United Nations Convention Against Corruption 6

Chapter 1: The Role of the Prosecutor and the Investigator 11
Chapter 2: Corruption Defined 23
Chapter 3: Preconditions for Successful Investigations 31
Chapter 4: Detecting Corruption 50
Chapter 5: Gathering and Use of Evidence in Corruption Cases 57
Chapter 6: Informants, Witnesses and their Protection 65
Chapter 7: Whistleblower Protection 72
Chapter 8 : Financial Investigations 77
Chapter 9: Electronic Surveillance 80
Chapter 10: Undercover Operations 85
Chapter 11: Integrity Testing 91
Chapter 12: The Framework for International Judicial Cooperation 97
Chapter 13: Extradition 110
Chapter 14: Mutual Legal Assistance 121
Chapter 15: International Repatriation of Illicit Assets 132

Annex: Lesotho Case Study 137

Bibliography 212

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TABLE OF CONTENT
FOREWORD
AKNOWLEDGEMENT
UNITED NATIONS CONVENTON AGAINS CORRUPTION
A. INRODUCTION...........................................................................................................................6
B. SUBSTANTIVE HIGHLIGHTS OF THE UN CONVENTION......................................................7
C. QUESTIONES FOR DISCUSSION..........................................................................................10
CHAPTER 1; ROLE OF THE PROSECUTOR AND INVESTIGATOR..........................11
A. THE ROLE OF THE PROSECUTOR........................................................................................11
B. THE LAWYER AS PROSECUTOR AND AS DEFENDER.......................................................12
C. THE DECISION TO PROSECUTE..........................................................................................16
D. UNIFORM GUIDELINES FOR INVESTIGATIONS..................................................................17
E. CHAPTER 1; QUESTIONS FOR DISCUSSION.......................................................................21
CHAPTER 2; CORRUPTION DEFINED.........................................................................23
A. “GRAND” AND “PETTY” CORRUPTION...................................................................................................23
B. “ACTIVE” AND “PASSIVE” CORRUPTION...............................................................................................24
C. BRIBERY...................................................................................................................................................24
D. EMBEZZLEMENT, THEFT AND FRAUD..................................................................................................26
E. EXTORTION..............................................................................................................................................27
F. ABUSE OF FUNCTION.............................................................................................................................28
G. FAVORITISM AND NEPOTISM................................................................................................................28
H. CREATING OR EXPLOITING CONFLICTING INTERESTS.....................................................................29
I. IMPROPER POLITICAL CONTRIBUTIONS...............................................................................................29
J. CHAPTER 2: QUESTIONS FOR DISCUSSION.......................................................................................30
CHAPTER 3; PRECONDITIONS FOR SUCCESSFUL INVESTIGATIONS..................31
A. INTRODUCTION.......................................................................................................................................31
B. INDEPENDENCE AND ACCOUNTABILITY OF INVESTIGATORS AND PROSECUTORS.....................31
C. CODES OF CONDUCT.............................................................................................................................32
D. ADEQUATE TRAINING AND RESOURCES FOR INVESTIGATORS......................................................35
E. CASE SELECTION STRATEGIES............................................................................................................36
F. CASE MANAGEMENT..............................................................................................................................38
G. SELECTION OF THE INVESTIGATION TEAM........................................................................................39
H. MANAGEMENT OF INFORMATION.........................................................................................................39
I. MANAGING THE SECURITY OF INVESTIGATIONS AND INVESTIGATORS..........................................42
J. INVESTIGATIVE TECHNIQUES................................................................................................................44
K. DISPOSING CORRUPTION CASES........................................................................................................45
L CHAPTER 3; QUESTIONS FOR DISCUSSION........................................................................................48
CHAPTER 4; DETECTING CORRUPTION....................................................................49
A. INTRODUCTION.......................................................................................................................................49
B. PRO-ACTIVE AND REACTIVE DETECTION............................................................................................49
C. IMPROVING REACTIVE DETECTION.....................................................................................................50
D. CHAPTER 4; QUESTIONS FOR DISCUSSION.......................................................................................55
CHAPTER 5; GATHERING AND USE OF EVIDENCE.................................................56
A. THE GATHERING AND USE OF EVIDENCE IN CORRUPTION CASES................................................56
B. CHAPTER 5; QUESTIONS FOR DISCUSSION.......................................................................................63
CHAPTER 6; INFORMANTS, WITNESSES AND THEIR PROTECTION.....................64
A. INTRODUCTION......................................................................................................................................64
B. INFORMANTS AND OTHER SOURCES.................................................................................................66
C. ADMINISTRATIVE PROCEDURES..........................................................................................................67
D. PROTECTION OF COOPERATING WITNESSES..................................................................................68
E. CHAPTER 6; QUESTIONS FOR DISCUSSION........................................................................................70
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CHAPTER 7; WHISTLEBLOWER PROTECTION.........................................................71
A. INTRODUCTION.......................................................................................................................................71
B. A LAW TO PROTECT WHISTLEBLOWERS.............................................................................................72
C. IMPLEMENTATION..................................................................................................................................72
D. CHAPTER 7; QUESTIONS FOR DISCUSSION.......................................................................................74
CHAPTER 8 ; FINANCIAL INVESTIGATIONS..............................................................75
A. TARGETING..............................................................................................................................................75
B. INDICATORS............................................................................................................................................76
C. CHAPTER 8; QUESTIONS FOR DISCUSSION.......................................................................................77
CHAPTER 9; ELECTRONIC SURVEILLANCE.............................................................78
A. INTRODUCTION.......................................................................................................................................78
B. COVERT INTERCEPTIONS AND RECORDING......................................................................................78
C. APPLICATION FOR COURT ORDER.......................................................................................................79
D. ISSUANCE OF A COURT ORDER...........................................................................................................79
E. RECORDING.............................................................................................................................................81
F. TERMINATION OF COVERT ELECTRONIC SURVEILLANCE................................................................81
G. CONSENSUAL RECORDING OPERATIONS..........................................................................................81
H. CHAPTER 4; QUESTIONS FOR DISCUSSION.......................................................................................82
CHAPTER 10; UNDERCOVER OPERATIONS.............................................................83
A. INTRODUCTION.......................................................................................................................................83
B. THE DEFINITION OF “UNDERCOVER OPERATIONS”...........................................................................84
C. OVERSIGHT OF THE UNDERCOVER OPERATION...............................................................................84
D. PROHIBITED CONDUCT IN UNDERCOVER OPERATIONS..................................................................85
E. AUTHORIZED ACTIVITIES FOR UNDERCOVER AGENTS....................................................................86
F. PREPARING THE UNDERCOVER AGENT..............................................................................................86
G. INVESTIGATIVE TECHNIQUES TO COMPLEMENT THE UNDERCOVER INVESTIGATION..............87
H. CHAPTER 10; QUESTIONS FOR DISCUSSION.......................................................88
CHAPTER 11; INTEGRITY TESTING............................................................................89
A. INTRODUCTION.......................................................................................................................................89
B. TARGETED AND RANDOM INTEGRITY TESTING.................................................................................90
C. FAIRNESS................................................................................................................................................90
D. RANDOM REPETITION............................................................................................................................91
E. INTEGRITY TESTING AND CONSTITUTIONAL CONCERNS.................................................................91
F. INTEGRITY TESTING IN NEW YORK CITY – THEORY PUT IN TO PRACTICE....................................91
G. INVESTIGATIVE TECHNIQUES: WIDER USES OF INTEGRITY TESTING............................................93
H. CHAPTER 11; QUESTIONS FOR DISCUSSION.....................................................................................94

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CHAPTER 12; INTERNATIONAL JUDICIAL COOPERATION.....................................95
A. INTRODUCTION.......................................................................................................................................95
B. UN CONVENTION AGAINST CORRUPTION OF 2003............................................................................96
C. THE UN CONVENTION AGAINST TRANSNATIONAL ORGANIZED CRIME OF 2000...........................99
D. OECD CONVENTION ON COMBATING BRIBERY OF FOREIGN PUBLIC OFFICIALS.......................101
E. CRIMINAL LAW CONVENTION ON CORRUPTION OF 1998................................................................102
F. CIVIL LAW CONVENTION ON CORRUPTION OF 1999........................................................................103
G. CONVENTION ON THE PROTECTION OF THE EF’S FINANCIAL INTERESTS AND PROTOCOLS
THERETO OF 95.........................................................................................................................................104
H. THE CONVENTION ON THE FIGHT AGAINST CORRUPTION INVOLVING EUROPEAN COMMUNITY
OFFICIALS OR OFFICIALS OF MEMBER STATES OF 1997....................................................................104
I. THE INTER-AMERICAN CONVENTION AGAINST CORRUPTION OF 1966..........................................105
J. SADC PROTOCOL ON CORRUPTION...................................................................................................106
K.ECOWAS PROTOCOL ON THE FIGHT AGAINST CORRUPTION OF 2001..........................................106
L CHAPTER 12; QUESTIONS FOR DISCUSSION
CHAPTER 13 ; EXTRADITION....................................................................................109
A. INTRODUCTION.....................................................................................................................................110
B. LEGAL BASIS FOR EXTRADITION........................................................................................................111
C. EXTRADITABLE OFFENCES.................................................................................................................112
D. BARS AND LIMITS TO EXTRADITION...................................................................................................113
E. PROCEDURAL ISSUES..........................................................................................................................115
F. CHAPTER 13; QUESTIONS FOR DISCUSSION....................................................................................119
CHAPTER 14, MUTUAL LEGAL ASSISTANCE.................Error! Bookmark not defined.
A. INTRODUCTION.........................................................................................Error! Bookmark not defined.
B. STRENGTHENING EFFECTIVENESS OF CENTRAL AUTHORITIES.......Error! Bookmark not defined.
C. NATIONAL LEGAL REQUIREMENTS AND BEST PRACTICES................Error! Bookmark not defined.
D. EXPEDITING COOPERATION THROUGH THE USE OF ALTERNATIVES,............Error! Bookmark not
defined.
E. RELATIONSHIP; CENTRAL AUTHORITIES OF REQUESTING AND REQUESTED STATES.........Error!
Bookmark not defined.
F. PREPARING MLA REQUESTS...................................................................Error! Bookmark not defined.
G. REDUCING IMPEDIMENTS TO EXECUTION OF REQUESTS IN THE REQUESTED STATE........Error!
Bookmark not defined.
H. CHAPTER 14; QUESTIONES FOR DISCUSSION.................................................................................130
CHAPTER 15; RECOVERY OF ASSETS....................................................................131
A. INTRODUCTION.....................................................................................................................................131
B. PROBLEMS HINDERING REPATRIATION............................................................................................131
C.CHAPTER 15; QUESTIONES FOR DISCUSSION..................................................................................135
A CASE STUDY...........................................................................................................136

BIBLIOGRAPHY--------------------------------------------------------------------------------212

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INTRODUCTION

THE 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

A. INTRODUCTION

One of the landmark developments in the fight against corruption around the world is the
United Nations Convention against Corruption. Negotiations among Member States
were concluded in Vienna on 30 September 2003, after two years of deliberation. At the
official opening ceremony in Merida, Mexico, in December 2003, nearly 100 States
signed the new instrument, a number indicative of the height of concern about the
problem, and getting the new Convention off to a very promising start.

The Convention marks a major step forward in international cooperation against
corruption, References to specific provisions of the Convention appear throughout this
Handbook and a more detailed review has been included in Chapter 12, on the topic of
international judicial cooperation.

The Convention covers a wide range of measures, both domestic and international, and
by no means all are mandatory. Some provisions require stated actions by State Parties
(“Each State Party shall…”) and others specify the legitimacy of certain actions but do
not make them compulsory (“State Parties may…”).

At first sight the second category may seem a trifle odd. state does not require
“permission” from others to take constitutionally-permissible steps to counter corruption.
However, many of these are provisions that many negotiators wished to have as
mandatory, but on which a sufficient consensus has not yet been reached. The
expectation is that in future revisions of the Convention these provisions will be revisited
to see whether a consensus has emerged in favour of at least some being made
mandatory then.

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