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Introduction. PREVENTIVE MEASURES (Chapter II, articles 5-14). Article 5: Preventive anti-corruption policies and practices. I. Overview. II. Practical challenges and solutions. II.1. Preventive anti-corruption policies and practices. II.2. Effective and coordinated policies. II.3. The promotion of the participation of society. II.4. Using the Guide. II.5. International cooperation. III. Developing the strategy. IV. Strategy structure. Article 6: Preventive anti-corruption body or bodies. I. Overview. II. Practical challenges and solutions. II.1. Preventive anti-corruption body or bodies. II.2. Mandate and powers. II.3. Functions. II.4. Independence and accountability. II.5. Resources. II.6. Specialized staff and training. Article 7: Public sector. I. Overview. II. Practical challenges and solutions. II.1. Efficient, transparent and objective systems for recruitment, hiring, retention, promotion and retirement of public officials. II.2. Procedures for the selection and training for positions vulnerable to corruption. II.3. Adequate remuneration and payscales. II.4. Training public officials in ethics. II.5. Candidature for and election to public office criteria. II.6. Transparency in campaign and political party financing. II.7. Transparency and the prevention of conflicts of interest. Article 8: Codes of conduct for public officials. I. Overview. II. Practical challenges and solutions. II.1. Promotion of integrity, honesty and responsibility among public officials. II.2. Standards. III. Reporting by public officials of acts of corruption. IV. Disclosure systems. V. Disciplinary measures. Article 9: Public procurement and the management of public finances. I. Overview. II. Practical challenges and solutions. II.1. Procurement. II.1.1. The principles. II.1.2. Measures to enhance transparency. II.1.3. Rules of the tender and review process. II.1.4. Personnel responsible for procurement. II.2. Public finance. II.2.1. Management of public finances. II.2.2. Procedures for the adoption of the national budget. II.2.3. Timely reporting on revenue and expenditure. II.2.4. Accounting, auditing and oversight. II.2.5. Risk management and internal control systems. II.2.6. Measures to preserve the integrity of relevant documentation. Article 10: Public reporting. I. Overview. II. Practical challenges and solutions. II.1. Measures to enhance transparency in public administration. II.2. Access to information concerning public administration. II.3. Access to decision-making authorities through simplified administrative procedures. II.4. Periodic public reporting, including risks of corruption. Article 11: Measures relating to the judiciary and prosecution services. I. Overview. II. Practical challenges and solutions. II.1. Measures to strengthen integrity of judges. II.2. Measures to prevent opportunities for corruption in the judiciary. II.3. Codes and standards. II.4. Measures to strengthen the integrity of prosecutors. II.5. Measures to prevent the opportunities for corruption in the prosecution service. II.6. Codes and standards of conduct for prosecutors. Article 12: Private sector. I. Overview. II. Practical challenges and solutions. II.1. Measures to prevent corruption involving the private sector. II.2. Measures to enhance accounting and auditing standards. II.3. Civil, administrative or criminal penalties for the private sector. II.4. Measures to promote cooperation between law enforcement and the private sector. II.5. Standards and procedures to safeguard the integrity of the private sector. II.6. Transparency in the establishment and management of corporate entities. II.7. Preventing the misuse of procedures regulating private entities. II.8. Post-employment restrictions for public officials in the private sector. II.9. Internal auditing and certification procedures. II.10. Maintenance of books, records, financial statement disclosure and accounting and auditing standards. II.11. Prohibition of tax-deductibility of bribes and related expenses. Article 13: Participation of society. I. Overview. II. Practical challenges and solutions. II.1. Promoting the participation of society in the prevention of corruption. II.2. Raising public awareness on corruption. II.3. Promoting the contribution of the public to decision-making processes. II.4. Public information and education. II.5. Freedom to seek, receive, publish and disseminate information concerning corruption and its restrictions. II.6. Raising public awareness on anti-corruption bodies. II.7. Public access to information. II.8. (Anonymous) reporting of corruption. Article 14: Measures to prevent money-laundering. I. Overview. II. Challenges and solutions. II.1. Choosing the more relevant institutional anti-money-laundering framework. II.2. Who should be subject to preventive obligations? II.3. What are the minimum requirements for regulated institutions or activities? II.4. Promoting reporting. II.5. Exchanging financial information. II.6. Cross-border movement of cash and negotiable instruments. II.7. Money transfers. II.8. Implementation. CRIMINALIZATION AND LAW ENFORCEMENT (Chapter III, articles 15-42). Article 30: Prosecution, adjudication and sanctions. I. Overview. II. Challenges and solutions. II.1. Sanctions that take into account the gravity of that offence. II.2. Immunities or jurisdictional privileges. II.3. Discretionary legal powers. II.4. Decisions on release pending trial or appeal. II.5. Early release or parole of persons. II.6. Removal, suspension or reassignment of office. II.7. Disqualification. II.8. Reintegration. Article 31: Freezing, seizure and confiscation. I. Overview. II. Types of confiscation. III. Models of confiscation. IV. What to consider as proceeds of crime for purposes of confiscation. V. Preliminary measures for eventual confiscations. VI. Reversal/shifting of the burden of proof. VII. Protection of bona fide third parties. Article 32: Protection of witnesses, experts and victims. I. Overview. II. Practical challenges and solutions. II.1. Witnesses and experts, relatives and other persons close to them. II.2. Effective protection. III. Agreements or arrangements with other States. IV. Victims. Article 33: Protection of reporting persons. I. Overview. II. Practical challenges and solutions. II.1. The policy framework II.2. Engaging public officials. II.3. Engaging the public. II.4. Reporting to whom? II.5. Criteria for reporting. II.6. Protecting reporting persons. Article 34: Consequences of acts of corruption. I. Overview. II. Practical challenges and solutions. II.1. Types of measures. II.2. Focusing on prevention. II.3. Ensuring that the measures fit with domestic law. Article 36: Specialized authorities. I. Introduction. II. Challenges and solutions. II.1. What type of specialized authority. II.2. The added value and role of specialized authorities. II.3. Independence and resources. Article 37: Cooperation with law enforcement authorities. I. Overview. II. Practical challenges and solutions. II.1. Relevant information. II.2. Mitigating punishment. II.3. Immunity. II.4. Agreements or arrangements between States Parties. Article 38: Cooperation between national authorities. I. Overview. II. Practical challenges and solutions. Article 39: Cooperation between national authorities and the private sector. I. Overview. II. Challenges and solutions. Article 40: Bank secrecy. I. Overview. II. Challenges and solutions. II.1. Who has authority to overcome bank secrecy, under what circumstances and for what purposes? II.2. What is procedurally required to lift bank secrecy?. II.3. Automatic disclosure of the information, or upon request. II.4. Use of centralized databases. II.5. The content of a request. II.6. Implementation of the preventive principles of “know your customer and know your beneficial owner”. II.7. Bank secrecy and professionals. Article 41: Criminal record. I. Overview. II. Practical challenges and solutions. Article 42: Jurisdiction. I. Overview. II. Practical challenges and solutions. II.1. The offence is committed in the territory of the State Party. II.2. The offence is committed against a national of that State Party. II.3. The offence is committed by a national of that State Party or a stateless person who has his or her habitual residence in its territory. II.4. Jurisdiction over preparatory money-laundering offences. II.5. The offence is committed against the State Party. II.6.

Establishment of criminal jurisdiction on the basis of the principle “aut dedere aut judicare”. INTERNATIONAL COOPERATION (Chapter IV, articles 43-50). Article 43: International cooperation. I. Overview. II. Challenges and solutions. II.1. The specific issue of determining dual criminality. II.2. The involvement of a central – or other competent – authority. II.3. Cooperation frameworks. II.4. Ways and means to ensure resources and address practical problems in the field of international cooperation in criminal matters. II.5. Capacity-building. III. Checklist. Article 44: Extradition. I. Overview. II. Challenges and solutions. II.1. Addressing current concerns. II.2. Changing contexts. II.3. Setting up the legal framework for extradition. II.4. Improving procedures. III. Checklist. Article 45: Transfer of sentenced persons. I. Overview. II. Challenges and solutions. II.1. The legal framework. II.2. Conditions for transferring offenders. II.3. Transfers and sentences. II.4. Information. III. Checklist. Article 46: Mutual legal assistance. I. Overview. II. Challenges and solutions. II.1. Addressing current issues. II.2. Responses to challenges: the broad scope of article 46. II.3. Integrating with other relevant Conventions. II.4. New developments. II.5. New facilitating mechanisms. III. Checklist. Article 47: Transfer of criminal proceedings. I. Overview. II. Challenges and solutions. II.1. Policy criteria for decisions on transfer. II.2. Practical criteria for decisions on transfer. III. Checklist. Article 48: Law enforcement cooperation. I. Overview. II. Challenges and solutions. II.1. Issues to be addressed. II.2. Areas for cooperation. II.3. Means of cooperation. III. Checklist. Article 49: Joint investigations. I. Overview. II. Challenges and solutions. II.1. Operational issues. II.2. Developing a framework. II.3. Planning for joint operations. III. Checklist. Article 50: Special investigative techniques. I. Overview. II. Challenges and solutions. II.1. Safeguards. II.2. Resources/technological competence. II.3. Admissibility of evidence. II.4. Techniques. II.4.1. Technical surveillance – telephone intercept, bugging. II.4.2. Physical surveillance and observation. II.4.3. Undercover operations and the use of sting operations. II.4.4. Informants. II.4.5. Integrity testing. II.4.6. Financial transaction monitoring. II.5. Relevant Conventions. III. Checklist. ASSET RECOVERY (Chapter V, articles 51-59). Article 51: General. Article 52: Prevention and detection of transfers of proceeds of crime. I. Overview. II. Practical challenges and solutions. II.1. Verification of customer identity. II.2. Identification of beneficial owners of high-value accounts. II.3. Enhanced scrutiny over accounts held by politically exposed persons (PEPs). II.4. Advisories on enhanced scrutiny to domestic financial institutions. II.5. Record-keeping. II.6. Preventing the establishment of, and correspondent relationship with, shell banks. II.7. Financial disclosure systems for appropriate public officials. II.8. Public officials and overseas accounts. Article 53: Measures for direct recovery of property. I. Overview. II. Practical challenges and solutions. II.1. Ensuring legal standing. II.2. Compensation or damages for corruption offences. II.3. Recognition of ownership in a foreign confiscation procedure. Article 54: Mechanisms for recovery of property through international cooperation in confiscation. I. Overview. II. Practical challenges and solutions. II.1. Enforceability of a foreign confiscation order. II.2. Confiscation of proceeds of foreign corruption based on moneylaundering or related offences. II.3. Confiscation without criminal conviction. II.4. Provisional measures for the eventual confiscation of assets. Article 56: Special cooperation. I. Overview. II. Practical challenges and solutions. Article 58: Financial intelligence unit (FIU). I. Overview. II. Practical challenges and solutions. II.1. Roles of FIUs. II.2. FIU models: administrative. II.3. FIU models: law enforcement. II.4. FIU models: judicial or prosecutorial. II.5. FIU models: hybrid. Article 59: Bilateral and multilateral agreements and arrangements. I. Overview. II. Practical challenges and solutions.