___________________________________________________________________________
2007/AMM/008
Agenda Item: V
Anti-Corruption and Transparency Experts’ Task
Force 2007 Deliverables
Purpose: Consideration
Submitted by: ACT Chair
19th APEC Ministerial Meeting
Sydney, Australia
5-6 September 2007
Executive Summary
APEC Anti Corruption and Transparency Expert Task Force 2007 Deliverables
The Anti-Corruption and Transparency Experts Taskforce (ACT) has produced four
deliverables for 2007, covering guidelines for business and public officials in fighting
corruption and enhanced international legal cooperation.

Code of Conduct for Business;

Conduct Principles for Public Officials;

Complementary Anti-corruption Principles for the Public and Private Sectors;

A statement of actions for Fighting Corruption through Improved Legal Cooperation
The Code of Conduct for Business provides practical guidance for private sector bodies to
combat corruption focused on the prohibition of bribery. This was prepared in close
consultation with the APEC Business Advisory Group and stress
The Conduct Principles for Public Officials provides practical guidance for public sector
bodies and officials on combating corruption, proscribing bribery, abuse of position and
similar corrupt practices, and promotes integrity and transparency in the discharge of official
duties.
The Complementary Anti-Corruption Principles for the Public and Private Sectors is a
higher level document designed to highlight the complementarity between the Code of
Conduct for Business and the Conduct Principles for Public Officials
The fourth deliverable is the statement on actions for Fighting Corruption through Improved
International Legal Cooperation. This document highlights, inter alia, Member Economies’
commitment to cooperation in fighting corruption by means of mutual assistance, extradition
and other legal means.
Decisions Points
Ministers to note the progress achieved by the Anti Corruption and Transparency Experts
Task Force.
Ministers to endorse the Code of Conduct for Business; the Conduct Principles for Public
Officials; the Complementary Anti-Corruption Principles for the Public and Private Sector
and the actions for Fighting Corruption through Improved International Legal Cooperation.
1
ANNEX 1 - 2007/SOM3/012attB2
CODE OF CONDUCT FOR BUSINESS
Business Integrity and Transparency Principles for the Private Sector
1.
PROHIBITION OF BRIBERY
The enterprise shall prohibit bribery in any form.
Bribery is offering, promising or giving, as well as demanding or accepting any
pecuniary or other advantage, whether directly or indirectly, in order to obtain, retain
or direct business to a particular enterprise or to secure any other improper
advantage in the conduct of business.
Instances of bribery which are the subject of these principles may involve
transactions by, or in relation to, subsidiaries, joint ventures, agents, representatives,
consultants, brokers, contractors, suppliers or employees with (including but not
limited to) a public official, family members and close associates of a public official, a
political candidate, party or party official, any private sector employee (including a
person who directs or works for a private sector enterprise in any capacity), or a third
party.
2.
PROGRAM TO COUNTER BRIBERY
The enterprise, in consultation with employees, should develop a program, reflecting
its size, business sector, potential risks and locations of operation, that clearly and in
reasonable detail articulates values, policies and procedures to be used to prevent
bribery from occurring in all activities under its effective control.
The Program should be consistent with all laws relevant to countering bribery in all
the jurisdictions in which the enterprise operates. It should apply to all controlled
subsidiaries, foreign and domestic.
3.
SCOPE AND GUIDELINES
a.
Charitable Contributions
The enterprise should ensure that charitable contributions and sponsorships are not
used as a subterfuge for bribery, and all charitable contributions and sponsorships
should be transparent and made in accordance with applicable domestic law.
b.
Gifts, Hospitality and Expenses
The enterprise should prohibit the offer or receipt of gifts, hospitality or expenses
whenever such arrangements would be in violation of applicable domestic law.
c.
Facilitation Payments
Recognizing that facilitation payments are prohibited under the anti-bribery laws of
most countries, enterprises should eliminate them. Facilitation payments, also called
‘facilitating’, ‘speed’ or ‘grease’ payments are small payments made to secure or
expedite the performance of a routine action to which the enterprise is entitled.
2
ANNEX 1 - 2007/SOM3/012attB2
d.
Political Contributions
The enterprise, its employees or intermediaries, should not make direct or indirect
contributions to political parties, party officials, candidates, organizations or
individuals engaged in politics, as a subterfuge for bribery.
All political contributions should be transparent and made only in accordance with
applicable law.
The Program should include controls and procedures to ensure that improper political
contributions are not made.
4. PROGRAM IMPLEMENTATION REQUIREMENTS
a.
Business Relationships
The enterprise should prohibit bribery in all business transactions that are carried out
directly or through third parties, specifically including subsidiaries, joint ventures,
agents, representatives, consultants, brokers, contractors, suppliers or any other
intermediary under its effective control.
b.
Communication
The enterprise should establish effective internal and external communication of the
Program.
The enterprise should publicly disclose its Program for countering bribery.
The enterprise should be open to receiving communications from relevant
interested parties with respect to the Program.
c.
Leadership
The Board (or equivalent) and the CEO should play a role in the launching of the
Program and demonstrate ownership and commitment to the Code and Program.
d.
Financial Recording and Auditing
The enterprise should develop and maintain appropriate financial reporting
mechanisms that are accurate and transparent as well as internal mechanisms for
monitoring and controlling of the financial reporting system in accordance with
internationally recognised accounting standards.
e.
Human Resources
Recruitment, promotion, training, performance evaluation, and recognition should
reflect the enterprise’s commitment to the Program.
The human resource policies and practices relevant to the Program should be
developed and undertaken in consultation with employees, and employee
representative bodies, as appropriate.
The enterprise should make clear that compliance with the Program is mandatory
and that no employee will suffer demotion, penalty or other adverse consequences
for refusing to pay bribes even if it may result in the enterprise losing business.
3
ANNEX 1 - 2007/SOM3/012attB2
The enterprise should apply appropriate sanctions for violations of the Program, up to
and including termination, in appropriate circumstances.
f.
Monitoring and Review
Senior management of the enterprise should monitor the Program and periodically
review the Program’s suitability, adequacy and effectiveness and implement
improvements as appropriate.
They should periodically report to the
Audit Committee or the Board the results of the Program review.
The Audit Committee or the Board should make an independent assessment of the
adequacy of the Program and disclose its findings in the Annual Report to
shareholders.
g.
Raising Concerns and Seeking Guidance
The Program should encourage employees and others to raise concerns and report
suspicious circumstances to responsible enterprise officials as early as possible.
To this end, the enterprise should provide secure and accessible channels through
which employees and others can raise concerns and report suspicious
circumstances (‘whistleblowing’) in confidence and without risk of reprisal.
These channels should also be available for employees and others to seek advice or
suggest improvements to the Program. As part of this process, the enterprise should
provide guidance to employees and others on applying the Program’s rules and
requirements to individual cases.
h.
Training
The enterprise should aim to create and maintain a trust based and inclusive internal
culture in which bribery is not tolerated.
Managers, employees and agents should receive specific training on the Program,
tailored to relevant needs and circumstances.
Where appropriate, contractors and suppliers should receive training on the Program.
Training activities should be assessed periodically for effectiveness.
i.
Organisation and Responsibilities
The Board (or equivalent) should be satisfied that an effective program has been
developed and implemented.
The Board (or equivalent) should also be satisfied that the Program is reviewed for
effectiveness and, when shortcomings are identified, that appropriate corrective
action is taken.
The Chief Executive Officer (or equivalent) is responsible for seeing that the Program
is implemented effectively with clear lines of authority. Depending on the size of the
enterprise, consideration should be given to making the day-to-day operation and
breaches of the code the role of a senior officer of a company.
4
ANNEX 2 - 2007/SOM3/012attB1rev1
APEC Conduct Principles for Public Officials
At the 14th Economic Leaders’ meeting held in Hanoi in 2006, leaders reaffirmed their high
commitment to fight corruption and usher in a community of integrity. Similarly, in 2006,
APEC Ministers stressed the importance of preventive measures and integrity systems in the
fight against corruption and urged member economies to adopt and implement codes or
norms of conduct that are aligned, as appropriate, with the UN Convention Against
Corruption.
That Convention requires parties to promote integrity, honesty and responsibility among
their public officials. In particular parties are to endeavor to apply codes or standards of
conduct for the correct, honorable and proper performance of public functions.
Taking into consideration the UN International Code of Conduct for Public Officials, and
further informed by the UN Convention Against Corruption, the APEC Anti- Corruption
Task Force recommends member economies establish, enhance or review to ensure that their
legislative and/or administrative codes or standards of conduct for all public officials, as
defined by national and international law, are based upon the following principles:
1. A public official shall respect and adhere to the Constitution or basic law and
the laws and legal norms of his or her economy including applicable codes of
conduct.
2. A public official shall use his or her public position only in furtherance of the
public interest and not for purposes of gaining an unwarranted advantage for himor herself or for others.
3. A public official shall not solicit or receive, directly or indirectly, any gift,
favor or benefit in exchange for official action or inaction, or that may influence
or appear to influence the exercise of his or her functions, duties or judgment.
4. A public official shall protect and conserve public monies, property and
services and shall use these public resources for only authorized purposes.
5. A public official shall disclose information that is available to him or her by
virtue of official position in accordance with the economy’s applicable
transparency norms, but should use such information only for authorized
purposes.
6. A public official shall perform his or her duties with efficiency, integrity,
fairness and impartiality, including when performing a legitimate political or
other activity.
7. A public official shall avoid taking any official actions that will affect his or
her personal or family financial interests, or acquire any position or function or
have any financial, commercial, fiduciary or other comparable interest that
conflicts or may reasonably appear to conflict with his or her office, functions and
duties.
5
ANNEX 2 - 2007/SOM3/012attB1rev1
8. A public official shall respect and utilize established measures and systems
designed to facilitate reporting acts of corruption to appropriate authorities and
shall, if within his or her official responsibilities, hold others properly
accountable for their actions.
9. A public official shall adhere to all requirements for reporting to appropriate
authorities his or her outside activities, employment, financial investments and
liabilities, assets and gifts or benefits.
10. A public official shall comply with measures established by law or
administrative policies in order that after leaving an official position he or she
will not take improper advantage of that previous office.
Consistent with the UNCAC and the APEC Santiago Course of Action, APEC economies
shall, according to their capacities, afford one another the widest measure of technical
assistance in helping to develop these legal norms and codes or standards of conduct.
Member economies shall make every effort to provide public officials with the education,
training and counseling necessary for their understanding and appreciation of these principles
as well as the various legal norms and codes or standards of conduct that implement these
principles. To help create mutual expectations between officials and the public, member
economies should publicize the legal norms and codes or standards of conduct. Member
economies shall also institute appropriate measures aimed at rectifying the conduct of
individuals
who
fail
to
abide
by
and
implement
these
principles.
6
ANNEX 3 - 2007/SOM3/012attB1rev1
ANTI-CORRUPTION PRINCIPLES FOR THE PUBLIC AND PRIVATE
SECTORS
We the Leaders of APEC Economies, [together with the Leaders of the APEC Business
Community/APEC Business Advisory Council (ABAC)]:
Acknowledging our leadership role in leading by example in the fight against
corruption in the Asia Pacific Region and globally;
Recognizing the need to build integrity both within the public and private sectors and
that each sector has complementary responsibilities in this regard; and
Welcoming the adoption of the APEC Conduct Principles for Public Officials and the
APEC Code of Conduct for Business: Business Integrity and Transparency Principles
for the Private Sector;
Undertake to establish a culture of integrity in the Asia Pacific region and hold ourselves to
the highest levels of ethical behaviour;
Encourage the implementation of measures giving practical effect to the APEC Conduct
Principles for Public Officials and the APEC Code of Conduct for Business: Business
Integrity and Transparency Principles for the Private Sector, which recognise that while their
purposes differ, good governance and the ethical conduct of business are both substantially
undermined by the offer and/or acceptance by officials or business employees of improper
benefits such as bribes, prohibited gifts and political contributions, facilitation payments and
confidential information, and by the abuse of official or business position or misuse of
resources for personal advantage,
Recognise that practical implementation by both the public and private sectors requires
systematic, continual and transparent efforts to develop and maintain programs designed to
promote a culture of integrity, honesty and responsibility and provide for appropriate
consequences for those who violate these Principles or the Code, and
Agree to promote and adhere to complementary principles reflecting the joint responsibilities
of the public and private sectors.
7
ANNEX 3 - 2007/SOM3/012attB1rev1
APEC Conduct Principles for Public Officials
At the 14th Economic Leaders’ meeting held in Hanoi in 2006, leaders reaffirmed their high
commitment to fight corruption and usher in a community of integrity. Similarly, in 2006,
APEC Ministers stressed the importance of preventive measures and integrity systems in the
fight against corruption and urged member economies to adopt and implement codes or
norms of conduct that are aligned, as appropriate, with the UN Convention Against
Corruption.
That Convention requires parties to promote integrity, honesty and responsibility among
their public officials. In particular parties are to endeavor to apply codes or standards of
conduct for the correct, honorable and proper performance of public functions.
Taking into consideration the UN International Code of Conduct for Public Officials, and
further informed by the UN Convention Against Corruption, the APEC Anti- Corruption
Task Force recommends member economies establish, enhance or review to ensure that their
legislative and/or administrative codes or standards of conduct for all public officials, as
defined by national and international law, are based upon the following principles:
1. A public official shall respect and adhere to the Constitution or basic law and
the laws and legal norms of his or her economy including applicable codes of
conduct.
2. A public official shall use his or her public position only in furtherance of the
public interest and not for purposes of gaining an unwarranted advantage for himor herself or for others.
3. A public official shall not solicit or receive, directly or indirectly, any gift,
favor or benefit in exchange for official action or inaction, or that may influence
or appear to influence the exercise of his or her functions, duties or judgment.
4. A public official shall protect and conserve public monies, property and
services and shall use these public resources for only authorized purposes.
5. A public official shall disclose information that is available to him or her by
virtue of official position in accordance with the economy’s applicable
transparency norms, but should use such information only for authorized
purposes.
6. A public official shall perform his or her duties with efficiency, integrity,
fairness and impartiality, including when performing a legitimate political or
other activity.
7. A public official shall avoid taking any official actions that will affect his or
her personal or family financial interests, or acquire any position or function or
have any financial, commercial, fiduciary or other comparable interest that
conflicts or may reasonably appear to conflict with his or her office, functions and
duties.
8
ANNEX 3 - 2007/SOM3/012attB1rev1
8. A public official shall respect and utilize established measures and systems
designed to facilitate reporting acts of corruption to appropriate authorities and
shall, if within his or her official responsibilities, hold others properly
accountable for their actions.
9. A public official shall adhere to all requirements for reporting to appropriate
authorities his or her outside activities, employment, financial investments and
liabilities, assets and gifts or benefits.
10. A public official shall comply with measures established by law or
administrative policies in order that after leaving an official position he or she
will not take improper advantage of that previous office.
Consistent with the UNCAC and the APEC Santiago Course of Action, APEC economies
shall, according to their capacities, afford one another the widest measure of technical
assistance in helping to develop these legal norms and codes or standards of conduct.
Member economies shall make every effort to provide public officials with the education,
training and counseling necessary for their understanding and appreciation of these principles
as well as the various legal norms and codes or standards of conduct that implement these
principles. To help create mutual expectations between officials and the public, member
economies should publicize the legal norms and codes or standards of conduct. Member
economies shall also institute appropriate measures aimed at rectifying the conduct of
individuals who fail to abide by and implement these principles.
9
ANNEX 3 - 2007/SOM3/012attB1rev1
Code of Conduct for Business;
Business Integrity and Transparency Principles for the Private Sector1
1.
PROHIBITION OF BRIBERY
The enterprise shall prohibit bribery in any form.
Bribery is offering, promising or giving, as well as demanding or accepting any pecuniary or
other advantage, whether directly or indirectly, in order to obtain, retain or direct business to
a particular enterprise or to secure any other improper advantage in the conduct of business.
Instances of bribery which are the subject of these principles may involve transactions by, or
in relation to, subsidiaries, joint ventures, agents, representatives, consultants, brokers,
contractors, suppliers or employees with (including but not limited to) a public official,
family members and close associates of a public official, a political candidate, party or party
official, any private sector employee (including a person who directs or works for a private
sector enterprise in any capacity), or a third party.
2.
PROGRAM TO COUNTER BRIBERY
The enterprise, in consultation with employees, should develop a program, reflecting its size,
business sector, potential risks and locations of operation, that clearly and in reasonable detail
articulates values, policies and procedures to be used to prevent bribery from occurring in all
activities under its effective control.
The Program should be consistent with all laws relevant to countering bribery in all the
jurisdictions in which the enterprise operates. It should apply to all controlled subsidiaries,
foreign and domestic.
3.
SCOPE AND GUIDELINES
a.
Charitable Contributions
The enterprise should ensure that charitable contributions and sponsorships are not used as a
subterfuge for bribery, and all charitable contributions and sponsorships should be transparent
and made in accordance with applicable domestic law.
b.
Gifts, Hospitality and Expenses
The enterprise should prohibit the offer or receipt of gifts, hospitality or expenses whenever
such arrangements would be in violation of applicable domestic law.
c.
Facilitation Payments
Recognizing that facilitation payments are prohibited under the anti-bribery laws of most
economies, enterprises should eliminate them.
Facilitation payments, also called
‘facilitating’, ‘speed’ or ‘grease’ payments are small payments made to secure or expedite the
performance of a routine action to which the enterprise is entitled.
Developed at the ACT “Towards Transparency Principles for the Private Sector Workshop” held in Canberra
on 22 January 2007. See 2007/SOM3/ACT019. The Workshop drew upon a number of existing international
sources for codes of conduct referred to in the report.
1
10
ANNEX 3 - 2007/SOM3/012attB1rev1
d.
Political Contributions
The enterprise, its employees or intermediaries, should not make direct or indirect
contributions to political parties, party officials, candidates, organizations or individuals
engaged in politics, as a subterfuge for bribery.
All political contributions should be transparent and made only in accordance with applicable
law.
The Program should include controls and procedures to ensure that improper political
contributions are not made.
4. PROGRAM IMPLEMENTATION REQUIREMENTS
a.
Business Relationships
The enterprise should prohibit bribery in all business transactions that are carried out directly
or through third parties, specifically including subsidiaries, joint ventures, agents,
representatives, consultants, brokers, contractors, suppliers or any other intermediary under
its effective control.
b.
Communication
The enterprise should establish effective internal and external communication of the Program.
The enterprise should publicly disclose its Program for countering bribery.
The enterprise should be open to receiving communications from relevant
interested parties with respect to the Program.
c.
Leadership
The Board (or equivalent) and the CEO should play a role in the launching of the Program
and demonstrate ownership and commitment to the Code and Program.
d.
Financial Recording and Auditing
The enterprise should develop and maintain appropriate financial reporting mechanisms that
are accurate and transparent as well as internal mechanisms for monitoring and controlling of
the financial reporting system in accordance with internationally recognised accounting
standards.
e.
Human Resources
Recruitment, promotion, training, performance evaluation, and recognition should reflect the
enterprise’s commitment to the Program.
The human resource policies and practices relevant to the Program should be developed and
undertaken in consultation with employees, and employee representative bodies, as
appropriate.
11
ANNEX 3 - 2007/SOM3/012attB1rev1
The enterprise should make clear that compliance with the Program is mandatory and that no
employee will suffer demotion, penalty or other adverse consequences for refusing to pay
bribes even if it may result in the enterprise losing business.
The enterprise should apply appropriate sanctions for violations of the Program, up to and
including termination, in appropriate circumstances.
f.
Monitoring and Review
Senior management of the enterprise should monitor the Program and periodically review the
Program’s suitability, adequacy and effectiveness and implement improvements as
appropriate. They should periodically report to the Audit Committee or the Board the results
of the Program review.
The Audit Committee or the Board should make an independent assessment of the adequacy
of the Program and disclose its findings in the Annual Report to shareholders.
g.
Raising Concerns and Seeking Guidance
The Program should encourage employees and others to raise concerns and report suspicious
circumstances to responsible enterprise officials as early as possible.
To this end, the enterprise should provide secure and accessible channels through which
employees and others can raise concerns and report suspicious circumstances
(‘whistleblowing’) in confidence and without risk of reprisal.
These channels should also be available for employees and others to seek advice or suggest
improvements to the Program. As part of this process, the enterprise should provide guidance
to employees and others on applying the Program’s rules and requirements to individual
cases.
h.
Training
The enterprise should aim to create and maintain a trust based and inclusive internal culture
in which bribery is not tolerated.
Managers, employees and agents should receive specific training on the Program, tailored to
relevant needs and circumstances.
Where appropriate, contractors and suppliers should receive training on the Program.
Training activities should be assessed periodically for effectiveness.
i.
Organisation and Responsibilities
The Board (or equivalent) should be satisfied that an effective program has been developed
and implemented.
12
ANNEX 3 - 2007/SOM3/012attB1rev1
The Board (or equivalent) should also be satisfied that the Program is reviewed for
effectiveness and, when shortcomings are identified, that appropriate corrective action is
taken.
The Chief Executive Officer (or equivalent) is responsible for seeing that the Program is
implemented effectively with clear lines of authority. Depending on the size of the
enterprise, consideration should be given to making the day-to-day operation and breaches of
the code the role of a senior officer of a company.
13
ANNEX 3 - 2007/SOM3/012attB1rev1
ANNEX:
Public and private sectors joint responsibilities
PUBLIC SECTOR
Each economy shall:
PRIVATE SECTOR
A private sector enterprise shall:
Prohibit bribery in any form.
Prohibit bribery in any form.
Adhere to the Constitution, laws and
legal norms, including applicable codes
of conduct, of the economy in which it
operates.
Adhere to the Constitution, laws and
legal norms, including applicable codes
of conduct, of all jurisdictions in which it
operates.
Introduce and uphold codes or standards
of conduct for all public officials which
promote integrity, honesty and
responsibility and clearly articulates
values, policies and procedures to be used
to prevent bribery and corruption from
occurring in all activities under its
effective control.
Introduce and uphold codes or standards
of conduct for all employees which
promote integrity, honesty and
responsibility and clearly articulates
values, policies and procedures to be used
to prevent bribery and corruption from
occurring in all activities under its
effective control.
Develop and maintain accurate and
transparent financial reporting
mechanisms and protect and conserve
public funds, property and services; using
them only for authorised purposes.
Develop and maintain accurate and
transparent financial reporting
mechanisms.
Create a culture in which bribery is not Create a culture in which bribery is not
tolerated and perform its duties ethically tolerated and operate its business affairs
and with integrity, fairness and ethically and with integrity.
impartiality.
Publicly disclose its code or standards of
conduct.
Publicly disclose its code or standards of
conduct.
Apply appropriate sanctions for
violations of its code or standards of
conduct up to and including termination.
Apply appropriate sanctions for
violations of its code or standards of
conduct, up to and including termination.
14
ANNEX 3 - 2007/SOM3/012attB1rev1
PUBLIC SECTOR
Each economy shall:
PRIVATE SECTOR
A private sector enterprise shall:
Ensure employees do not abuse their
position for personal advantage and in
particular prohibit all actual and apparent
conflicts of interest, whether of a
financial, commercial, fiduciary or other
nature.
Ensure employees do not abuse their
position for personal advantage.
Ensure employees do not solicit or
receive direct or indirect gifts, favours or
benefits which may influence, or appear
to influence, the exercise of the agency’s
functions, duties or judgement.
Ensure charitable and political
contributions and sponsorships are
transparent and do not unduly influence,
or appear to influence, the exercise of
functions, duties or judgement.
Facilitate secure and accessible channels
through which employees and others can
raise concerns and report suspicious
circumstances and report them to relevant
internal and external authorities.
Facilitate secure and accessible channels
through which employees and others can
raise concerns and report suspicious
circumstances and report them to relevant
internal and external authorities.
15
ANNEX 4
Executive Summary
In the margins of SOM I 2007, ACT Chair submitted for members’ consideration a
first draft of the actions on “Fighting Corruption through Improved International
Legal Cooperation”. The document was elaborated as a step forward for the APEC
Anti corruption agenda and consistent with APEC commitments and guidance settled
by APEC Course of Action on Fighting Corruption and Ensuring Transparency and
the Santiago Commitment to Fight Corruption and Ensure Transparency.
Significant progress was made before SOM III. ACT members provided sensible
inputs that came up with an improved version of the statement during the 5th Plenary
of the Task Force when members decided to further extend the consultation period
with the capitals.
As noted by Senior Officials during SOM III in Cairns (July 2007), The APEC Anti
Corruption and Transparency Experts Task Force worked intersessionally on the final
text of the statement.
Being now intersessionaly approved by all the members of the Anti corruption and
Transparency Experts Task Force, these set of actions on Fighting Corruption
through Improved International Legal Cooperation reaffirms APEC strong
commitment to prosecute acts of corruption and to strengthening international
cooperation on extradition, mutual legal assistance and the recovery and return of
proceeds of corruption.
Recommendation
The APEC Anti-corruption and Transparency Experts Task Force seeks Senior
Officials’ endorsement of the actions on “ Fighting Corruption through Improved
International Legal Cooperation”
The APEC Anti-corruption and Transparency Experts Task Force also seeks that
these actions be endorsed in the 2007 APEC Ministers’ and Economic Leader’s
Statements.
16
ANNEX 4
Fighting Corruption through Improved International Legal Cooperation
The emergence of new technologies and the growth of international travel have facilitated
economic growth, cooperation, trade and investment in the Asia-Pacific region. But improved
technology has also made it easier to plan crimes and commit them across borders. This is
evident from the growth in transnational crime – such as drug trafficking, corruption, money
laundering and trafficking in women and children – and from the increased global threat of
terrorism. It is now common for evidence and proceeds of crimes committed in one
jurisdiction to be located in another. In addition, increased international travel has enabled
criminals to attempt to evade justice by crossing borders.
The prevention, investigation, prosecution and punishment of serious crime as well as the
recovery and return of the proceeds of crime cannot be achieved without effective
international legal cooperation.
APEC Leaders recognise the importance of international legal cooperation. In the Santiago
Commitment to Fight Corruption and Ensure Transparency, Leaders agreed to promote
regional cooperation on extradition, mutual legal assistance and the recovery and return of
proceeds of corruption. The accompanying Course of Action on Fighting Corruption and
Ensuring Transparency reaffirms our commitment to take steps, where appropriate, towards
the implementation, ratification of, or accession to, the United Nations Convention against
Corruption (UNCAC). This includes working to strengthen international cooperation in
preventing and combating corruption, particularly through extradition, mutual legal assistance
and the recovery and return of proceeds of corruption.
APEC Member Economies have decided to take the following steps, where appropriate and in
accordance with each Economy’s domestic laws and regulations, to promote more effective
and efficient international legal cooperation in the region.
1. Implement domestic laws that enable extradition, the widest possible range of mutual
legal assistance and asset recovery.
2. Consider making international cooperation available without a treaty.
3. Designate central authorities or other effective means to facilitate timely
communication of extradition and mutual assistance requests and responses.
4. Strengthen international legal cooperation relationships.
5. Organise or support cross-border forums for those involved in extradition and mutual
assistance to promote best practice in those fields.
6. Promote greater information sharing to facilitate identification and tracing of proceeds
of corruption to assist with the recovery of assets.
7. Strengthen the implementation of the principle of “extradite or prosecute” where
possible.
8. Simplify the evidentiary standard for extradition where possible.
9. Establish out of business hours arrangements for acting on urgent provisional arrest
requests.
APEC Member Economies remain committed to ensuring extradition, mutual assistance and
asset recovery arrangements are readily available and effective tools in the fight against
serious crime, particularly terrorism and corruption.
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17