By Professor Keith Henderson (2014)

1. A ProfessorUNCAC Training Tool for Students & Stakeholders Opportunities and Problems With the UNCAC: A Strategic Framework for Preventing and Addressing Corruption and Promoting Universal Values, Rights and a Rule of Law Culture By Professor Keith Henderson (2014) Professor & Adjunct Professor of Law, American University’s Washington College of Law www.ProfessorUNCAC.com; ProfessorUNCAC@icloud.com

2. ProfessorUNCAC’s UNCAC Overview • First holistic global anti-corruption treaty that mandates judiciaries with integrity, criminalization of bribery, embezzlement, misappropriation, money laundering and international criminal cooperation, asset recovery and A/C bodies. • First global strategic framework for both addressing and preventing corruption and laying the foundation and preconditions for a rule of law culture and preventing human rights abuses.

3. ProfessorUNCAC’s UNCAC’s Key Mandates • Bribery of National Public Officials (A15) • Active Bribery of Foreign Officials (A16) • Embezzlement and Misappropriation (A17) • Money Laundering (A23) • Obstruction of Justice (A25) • International Cooperation (A44,46) • Asset Recovery (A52,53,54,55,57) • Compliance Reporting (A63)

4. Professor UNCAC’s Prevention and Institutional Mandates • Independence/Integrity of Justice System (A11) • Accounting/Auditing Private Sector (A12) • Independent A/C Agencies (A6) • Access to Information (A10) • Civil society Participation/Oversight (A5, 13) • Merit Based Civil Service Reform (A7) • Codes of Conduct (A8) • Transparent Public Procurement/Finances (A9)

5. ProfessorUNCAC’s Recommendations and Best Practices • Whistleblower/witness protection (A32,33) • Illicit enrichment laws and policies (A20) • Private Sector Bribery (A21) • Private Sector Embezzlement (A22) • Targeted Training Programs (A60)

6. ProfessorUNCAC’s 2nd Generation Reforms: An Opportunity for Strategic Empowerment,Strengthening Targeted Independent Institutions and Promoting Key Services, Issuesand Universal Rights • UNCAC Phase II – implementation of building blocks for rule of law, good governance, addressing and preventing corruption and promoting and preventing universal human rights • Strategic Empowerment: focus on linking-up legal, economic and social rights and basic government services with anti-corruption programming • Systematic Monitoring & Reporting: Governmental and non-governmental monitoring and reporting on key issues

7. ProfessorUNCAC: Implement Through the Prism of Accessing & Monitoring Legal, Economic and Social Issues and Rights When You Can Examples of Issues and Rights: • access to information: transparent budgetary, expenditure and services information on targeted programs and processes (health, education, labor and business). • access to networks and multiple stakeholders (information, advocacy, media, legal) and knowledge management tools. • access to capital, title to property and government contracts: microfinance, legal collateral, government procurement. • access to justice and resolution mechanisms: resolving disputes and protecting rights through fair, efficient impartial justice systems.

8. CORRUPTION: CAUSES AND PRESCRIPTIONS? Klitgaard Corruption Causes: C = M + D – A* ProfessorUNCAC’s Anti-Corruption Prescription: A/C = T + I + G + E + R + S • Corruption = Monopoly + Discretion – Accountability • Anti-Corruption = Transparency + Information/Integrity/Internet Technology + Good Governance + Economic Growth + Rule of Law + Security

9. ProfessorUNCAC: Anti-Corruption = T + I + G + E + R +S While written in-between the lines, the UNCAC promotes a holistic, mutually re-enforcing prescriptive formula for addressing and preventing corruption that should be adapted and prioritized to country context by both public and private stakeholders: T – transparency I -- information/integrity/internet technology G – good governance (private/public) E – economic growth R – rule of law/rights (accountability/culture) S – security (personal and national)

10. ProfessorUNCAC: What We Now Know & Don’t Know About Addressing and Preventing Corruption and Promoting and Preventing Rights Abuses • That there is a best practices multi-tiered, multi-stakeholder methodology for promoting and implementing conventions of all stripes and fairly enforcing laws and policies: (i) self-evaluation; (ii) peer review; (iii) systematic monitoring and reporting and (iv) stakeholder surveys • That sectoral and targeted institutional, issue specific research and systematic monitoring and reporting is key to building up the demand for reform, empowerment, promoting rights and accountability • That corruption within the justice sector is a crosscutting issue and it appears to be endemic in the majority of developing countries • How to link-up broader coalitions for anti-corruption and human rights reform

11. ProfessorUNCAC: Consensus Strategic UNCAC Framework for 21st Century Good Governance and the Rule of Law • Global Mandates: International criminal cooperation and over a dozen new open government and criminal laws and prevention policies • Global Mandates: Mutually supportive independent institutions with integrity (judiciary, media and civil society) • Global Recommendations: Over two dozen additional laws and prevention policies • Balances: law enforcement and prevention • Addresses: public and private sector corruption

12. ProfessorUNCAC: A Few Global Rule of Law/Anti-Corruption Lessons Learned • The solution is not so much the passage of laws; it’s in their effective implementation and fair predictable enforcement through institutions. • Endemic governmental corruption, including judicial and administrative corruption, is now acknowledged as one of the biggest barriers to sustainable reform. • Fair and predictable justice and addressing and preventing human rights and corruption abuses requires transparency, accountability and integrity in the justice system (s). • An independent impartial efficient judiciary with integrity requires broad support and strong on-going broad-based stakeholder advocacy, as does an alternative justice system.

13. ProfessorUNCAC: Implementation Issues Azerbaijan, Timor Leste and Liberia • No holistic or crosscutting rule of law or anti-corruption assessments or strategies; no long-term institution-building or programming priorities; no accountability in Work Plans • Proliferation of diverse , overlapping benchmarks and weak monitoring and reporting frameworks (e.g., UNODC, PRS/WB, COE, ADB/OECD, USAID/USG/MCC, EITI, EU, AU, NEPAD, TI, WBI… • Essential elements of addressing and preventing corruption and ROL missing: (i) Order (ii) Legitimacy (iii) Checks and Balances (iv) Fairness and (v) Effective Application (USAID ROL Framework)

14. ProfessorUNCAC: More Implementation Issues & Lessons Learned from Azerbaijan, Timor Leste and Liberia • No official or unofficial monitoring and reporting mechanisms • Few holistic corruption or rule of law assessments • Too many country global and regional rankings and benchmarks • Endemic judicial corruption is not a high priority • Identification and recovery of stolen assets is complex • Weak, unreliable and discriminatory intra-governmental and inter-governmental criminal cooperation or information sharing • Minimal high level targeted policy dialogue/oversight

15. ProfessorUNCAC: Implementation Issuesand Lessons Learned from Azerbaijan, Timor Leste and Liberia • Limited or separate oversight track for natural resources in many resource rich countries • Limited civil society participation/oversight • Limited implementation capacity (governmental and non-governmental) and limited qualifications and integrity vetting (training, appointments) • Limited institutional independence of ACCs • International community’s robust support for STAR, EITI and ACCs without due qualification • Few independent program evaluations

16. ProfessorUNCAC’s Re-Cap: A Few Rule of Law and Anti-Corruption Lessons Learned • ROL/Justice x Two? In some developing countries traditional and alternative justice programs with integrity should also be supported and reformed, just like formal justice systems, but the systems and values within each should be linked within country context. • Global Mandate? Addressing endemic corruption within justice systems should be one of the highest global priorities because it is crosscutting and it is a precondition for the fair and effective implementation and enforcement of the law, including the Universal Declaration of Human Rights. • UNCAC ROL Strategy? The passage and implementation of key laws mandated and recommended in the UNCAC, including a range of open government laws, such as access to information, whistle blowing and conflict of interest, is critical to both addressing and preventing corruption and promoting the rule of law. • Globalizing Cooperation? Effective implementation of key laws mandated and recommended in the criminal law and international cooperation areas, including asset recovery and extradition, must be built on justice systems with integrity that can be trusted.