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Second Annual Report to Congress on the Inter-American Convention Against Corruption: Appendices


Report
Bureau of International Narcotics and Law Enforcement Affairs
April 1, 2002

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 APPENDIX A

Senate Report: Section on Provisos

Provisos.-The advice and consent of the Senate is subject to the following provisos:

(1) ENFORCEMENT AND MONITORING. - Not later than April 1, 2001, and annually thereafter for five years, unless extended by an Act of Congress, the President shall submit to the Committee on Foreign Relations of the Senate, and the Speaker of the House of Representatives, a report that sets out:

(A) RATIFICATION. - A list of the countries that have ratified the Convention, the dates of ratification and entry into force for each country, and a detailed account of U.S. efforts to encourage other nations that are signatories to the Convention to ratify and implement it.

(B) DOMESTIC LEGISLATION IMPLEMENTING THE CONVENTION AND ACTIONS TO ADVANCE ITS OBJECT AND PURPOSE. - A description of the domestic laws enacted by each Party to the Convention that implement commitments under the Convention and actions taken by each Party during the previous year, including domestic law enforcement measures, to advance the object and purpose of the Convention.

(C) PROGRESS AT THE ORGANIZATION OF AMERICAN STATES ON A MONITORING PROCESS. - An assessment of progress in the Organization of American States (OAS) toward creation of an effective, transparent, and viable Convention compliance monitoring process which includes input from the private sector and non-governmental organizations.

(D) FUTURE NEGOTIATIONS. - A description of the anticipated future work of the Parties to the Convention to expand its scope and assess other areas where the Convention could be amended to decrease corrupt activities.

 APPENDIX B

Inter-American Convention Against Corruption

Adopted at the third plenary session, held on March 29, 1996

Preamble

THE MEMBER STATES OF THE ORGANIZATION OF AMERICAN STATES, CONVINCED that corruption undermines the legitimacy of public institutions and strikes at society, moral order and justice, as well as at the comprehensive development of peoples;

CONSIDERING that representative democracy, an essential condition for stability, peace and development of the region, requires, by its nature, the combating of every form of corruption in the performance of public functions, as well as acts of corruption specifically related to such performance;

PERSUADED that fighting corruption strengthens democratic institutions and prevents distortions in the economy, improprieties in public administration and damage to a society's moral fiber;

RECOGNIZING that corruption is often a tool used by organized crime for the accomplishment of its purposes;

CONVINCED of the importance of making people in the countries of the region aware of this problem and its gravity, and of the need to strengthen participation by civil society in preventing and fighting corruption;

RECOGNIZING that, in some cases, corruption has international dimensions, which requires coordinated action by States to fight it effectively;

CONVINCED of the need for prompt adoption of an international instrument to promote and facilitate international cooperation in fighting corruption and, especially, in taking appropriate action against persons who commit acts of corruption in the performance of public functions, or acts specifically related to such performance, as well as appropriate measures with respect to the proceeds of such acts;

DEEPLY CONCERNED by the steadily increasing links between corruption and the proceeds generated by illicit narcotics trafficking which undermine and threaten legitimate commercial and financial activities, and society, at all levels;

BEARING IN MIND the responsibility of States to hold corrupt persons accountable in order to combat corruption and to cooperate with one another for their efforts in this area to be effective; and

DETERMINED to make every effort to prevent, detect, punish and eradicate corruption in the performance of public functions and acts of corruption specifically related to such performance,

HAVE AGREED

to adopt the following:

Inter-American Convention Against Corruption

Article I

Definitions

For the purposes of this Convention:

"Public function" means any temporary or permanent, paid or honorary activity, performed by a natural person in the name of the State or in the service of the State or its institutions, at any level of its hierarchy.

"Public official", "government official", or "public servant" means any official or employee of the State or its agencies, including those who have been selected, appointed, or elected to perform activities or functions in the name of the State or in the service of the State, at any level of its hierarchy.

"Property" means assets of any kind, whether movable or immovable, tangible or intangible, and any document or legal instrument demonstrating, purporting to demonstrate, or relating to ownership or other rights pertaining to such assets.

Article II

Purposes

The purposes of this Convention are:

1. To promote and strengthen the development by each of the States Parties of the mechanisms needed to prevent, detect, punish and eradicate corruption; and

2. To promote, facilitate and regulate cooperation among the States Parties to ensure the effectiveness of measures and actions to prevent, detect, punish and eradicate corruption in the performance of public functions and acts of corruption specifically related to such performance.

Article III

Preventive Measures

For the purposes set forth in Article II of this Convention, the States Parties agree to consider the applicability of measures within their own institutional systems to create, maintain and strengthen:

1. Standards of conduct for the correct, honorable, and proper fulfillment of public functions. These standards shall be intended to prevent conflicts of interest and mandate the proper conservation and use of resources entrusted to government officials in the performance of their functions. These standards shall also establish measures and systems requiring government officials to report to appropriate authorities acts of corruption in the performance of public functions. Such measures should help preserve the public's confidence in the integrity of public servants and government processes.

2. Mechanisms to enforce these standards of conduct.

3. Instruction to government personnel to ensure proper understanding of their responsibilities and the ethical rules governing their activities.

4. Systems for registering the income, assets and liabilities of persons who perform public functions in certain posts as specified by law and, where appropriate, for making such registrations public.

5. Systems of government hiring and procurement of goods and services that assure the openness, equity and efficiency of such systems.

6. Government revenue collection and control systems that deter corruption.

7. Laws that deny favorable tax treatment for any individual or corporation for expenditures made in violation of the anticorruption laws of the States Parties.

8. Systems for protecting public servants and private citizens who, in good faith, report acts of corruption, including protection of their identities, in accordance with their Constitutions and the basic principles of their domestic legal systems.

9. Oversight bodies with a view to implementing modern mechanisms for preventing, detecting, punishing and eradicating corrupt acts.

10. Deterrents to the bribery of domestic and foreign government officials, such as mechanisms to ensure that publicly held companies and other types of associations maintain books and records which, in reasonable detail, accurately reflect the acquisition and disposition of assets, and have sufficient internal accounting controls to enable their officers to detect corrupt acts.

11. Mechanisms to encourage participation by civil society and nongovernmental organizations in efforts to prevent corruption.

12. The study of further preventive measures that take into account the relationship between equitable compensation and probity in public service.

Article IV

Scope

This Convention is applicable provided that the alleged act of corruption has been committed or has effects in a State Party.

Article V

Jurisdiction

1. Each State Party shall adopt such measures as may be necessary to establish its jurisdiction over the offenses it has established in accordance with this Convention when the offense in question is committed in its territory.

2. Each State Party may adopt such measures as may be necessary to establish its jurisdiction over the offenses it has established in accordance with this Convention when the offense is committed by one of its nationals or by a person who habitually resides in its territory.

3. Each State Party shall adopt such measures as may be necessary to establish its jurisdiction over the offenses it has established in accordance with this Convention when the alleged criminal is present in its territory and it does not extradite such person to another country on the ground of the nationality of the alleged criminal.

4. This Convention does not preclude the application of any other rule of criminal jurisdiction established by a State Party under its domestic law.

Article VI

Acts of Corruption

1. This Convention is applicable to the following acts of corruption:

a. The solicitation or acceptance, directly or indirectly, by a government official or a person who performs public functions, of any article of monetary value, or other benefit, such as a gift, favor, promise or advantage for himself or for another person or entity, in exchange for any act or omission in the performance of his public functions;

b. The offering or granting, directly or indirectly, to a government official or a person who performs public functions, of any article of monetary value, or other benefit, such as a gift, favor, promise or advantage for himself or for another person or entity, in exchange for any act or omission in the performance of his public functions;

c. Any act or omission in the discharge of his duties by a government official or a person who performs public functions for the purpose of illicitly obtaining benefits for himself or for a third party;

d. The fraudulent use or concealment of property derived from any of the acts referred to in this article; and

e. Participation as a principal, coprincipal, instigator, accomplice or accessory after the fact, or in any other manner, in the commission or attempted commission of, or in any collaboration or conspiracy to commit, any of the acts referred to in this article.

2. This Convention shall also be applicable by mutual agreement between or among two or more States Parties with respect to any other act of corruption not described herein.

Article VII

Domestic Law

The States Parties that have not yet done so shall adopt the necessary legislative or other measures to establish as criminal offenses under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Convention.

Article VIII

Transnational Bribery

Subject to its Constitution and the fundamental principles of its legal system, each State Party shall prohibit and punish the offering or granting, directly or indirectly, by its nationals, persons having their habitual residence in its territory, and businesses domiciled there, to a government official of another State, of any article of monetary value, or other benefit, such as a gift, favor, promise or advantage, in connection with any economic or commercial transaction in exchange for any act or omission in the performance of that official's public functions.

Among those States Parties that have established transnational bribery as an offense, such offense shall be considered an act of corruption for the purposes of this Convention.

Any State Party that has not established transnational bribery as an offense shall, insofar as its laws permit, provide assistance and cooperation with respect to this offense as provided in this Convention.

Article IX

Illicit Enrichment

Subject to its Constitution and the fundamental principles of its legal system, each State Party that has not yet done so shall take the necessary measures to establish under its laws as an offense a significant increase in the assets of a government official that he cannot reasonably explain in relation to his lawful earnings during the performance of his functions.

Among those States Parties that have established illicit enrichment as an offense, such offense shall be considered an act of corruption for the purposes of this Convention.

Any State Party that has not established illicit enrichment as an offense shall, insofar as its laws permit, provide assistance and cooperation with respect to this offense as provided in this Convention.

Article X

Notification

When a State Party adopts the legislation referred to in paragraph 1 of articles VIII and IX, it shall notify the Secretary General of the Organization of American States, who shall in turn notify the other States Parties. For the purposes of this Convention, the crimes of transnational bribery and illicit enrichment shall be considered acts of corruption for that State Party thirty days following the date of such notification.

Article XI

Progressive Development

1. In order to foster the development and harmonization of their domestic legislation and the attainment of the purposes of this Convention, the States Parties view as desirable, and undertake to consider, establishing as offenses under their laws the following acts:

a. The improper use by a government official or a person who performs public functions, for his own benefit or that of a third party, of any kind of classified or confidential information which that official or person who performs public functions has obtained because of, or in the performance of, his functions;

b. The improper use by a government official or a person who performs public functions, for his own benefit or that of a third party, of any kind of property belonging to the State or to any firm or institution in which the State has a proprietary interest, to which that official or person who performs public functions has access because of, or in the performance of, his functions;

c. Any act or omission by any person who, personally or through a third party, or acting as an intermediary, seeks to obtain a decision from a public authority whereby he illicitly obtains for himself or for another person any benefit or gain, whether or not such act or omission harms State property; and

d. The diversion by a government official, for purposes unrelated to those for which they were intended, for his own benefit or that of a third party, of any movable or immovable property, monies or securities belonging to the State, to an independent agency, or to an individual, that such official has received by virtue of his position for purposes of administration, custody or for other reasons.

2. Among those States Parties that have established these offenses, such offenses shall be considered acts of corruption for the purposes of this Convention.

3. Any State Party that has not established these offenses shall, insofar as its laws permit, provide assistance and cooperation with respect to these offenses as provided in this Convention.

Article XII

Effect on State Property

For application of this Convention, it shall not be necessary that the acts of corruption harm State property.

Article XII

Extradition

1. This article shall apply to the offenses established by the States Parties in accordance with this Convention.

2. Each of the offenses to which this article applies shall be deemed to be included as an extraditable offense in any extradition treaty existing between or among the States Parties. The States Parties undertake to include such offenses as extraditable offenses in every extradition treaty to be concluded between or among them.

3. If a State Party that makes extradition conditional on the existence of a treaty receives a request for extradition from another State Party with which it does not have an extradition treaty, it may consider this Convention as the legal basis for extradition with respect to any offense to which this article applies.

4. States Parties that do not make extradition conditional on the existence of a treaty shall recognize offenses to which this article applies as extraditable offenses between themselves.

5. Extradition shall be subject to the conditions provided for by the law of the Requested State or by applicable extradition treaties, including the grounds on which the Requested State may refuse extradition.

6. If extradition for an offense to which this article applies is refused solely on the basis of the nationality of the person sought, or because the Requested State deems that it has jurisdiction over the offense, the Requested State shall submit the case to its competent authorities for the purpose of prosecution unless otherwise agreed with the Requesting State, and shall report the final outcome to the Requesting State in due course.

7. Subject to the provisions of its domestic law and its extradition treaties, the Requested State may, upon being satisfied that the circumstances so warrant and are urgent, and at the request of the Requesting State, take into custody a person whose extradition is sought and who is present in its territory, or take other appropriate measures to ensure his presence at extradition proceedings.

Article XIV

Assistance and Cooperation

1. In accordance with their domestic laws and applicable treaties, the States Parties shall afford one another the widest measure of mutual assistance by processing requests from authorities that, in conformity with their domestic laws, have the power to investigate or prosecute the acts of corruption described in this Convention, to obtain evidence and take other necessary action to facilitate legal proceedings and measures regarding the investigation or prosecution of acts of corruption.

2. The States Parties shall also provide each other with the widest measure of mutual technical cooperation on the most effective ways and means of preventing, detecting, investigating and punishing acts of corruption. To that end, they shall foster exchanges of experiences by way of agreements and meetings between competent bodies and institutions, and shall pay special attention to methods and procedures of citizen participation in the fight against corruption.

Article XV

Measures Regarding Property

1. In accordance with their applicable domestic laws and relevant treaties or other agreements that may be in force between or among them, the States Parties shall provide each other the broadest possible measure of assistance in the identification, tracing, freezing, seizure and forfeiture of property or proceeds obtained, derived from or used in the commission of offenses established in accordance with this Convention.

2. A State Party that enforces its own or another State Party's forfeiture judgment against property or proceeds described in paragraph 1 of this article shall dispose of the property or proceeds in accordance with its laws. To the extent permitted by a State Party's laws and upon such terms as it deems appropriate, it may transfer all or part of such property or proceeds to another State Party that assisted in the underlying investigation or proceedings.

Article XVI

Bank Secrecy

1. The Requested State shall not invoke bank secrecy as a basis for refusal to provide the assistance sought by the Requesting State. The Requested State shall apply this article in accordance with its domestic law, its procedural provisions, or bilateral or multilateral agreements with the Requesting State.

2. The Requesting State shall be obligated not to use any information received that is protected by bank secrecy for any purpose other than the proceeding for which that information was requested, unless authorized by the Requested State.

Article XVII

Nature of the Act

For the purposes of articles XIII, XIV, XV and XVI of this Convention, the fact that the property obtained or derived from an act of corruption was intended for political purposes, or that it is alleged that an act of corruption was committed for political motives or purposes, shall not suffice in and of itself to qualify the act as a political offense or as a common offense related to a political offense.

Article XVIII

Central Authorities

1. For the purposes of international assistance and cooperation provided under this Convention, each State Party may designate a central authority or may rely upon such central authorities as are provided for in any relevant treaties or other agreements.

2. The central authorities shall be responsible for making and receiving the requests for assistance and cooperation referred to in this Convention.

3. The central authorities shall communicate with each other directly for the purposes of this Convention.

Article XIX

Temporal Application

Subject to the constitutional principles and the domestic laws of each State and existing treaties between the States Parties, the fact that the alleged act of corruption was committed before this Convention entered into force shall not preclude procedural cooperation in criminal matters between the States Parties. This provision shall in no case affect the principle of non-retroactivity in criminal law, nor shall application of this provision interrupt existing statutes of limitations relating to crimes committed prior to the date of the entry into force of this Convention.

Article XX

Other Agreements or Practices

No provision of this Convention shall be construed as preventing the States Parties from engaging in mutual cooperation within the framework of other international agreements, bilateral or multilateral, currently in force or concluded in the future, or pursuant to any other applicable arrangement or practice.

Article XXI

Signature

This Convention is open for signature by the Member States of the Organization of American States.

Article XXII

Ratification

This Convention is subject to ratification. The instruments of ratification shall be deposited with the General Secretariat of the Organization of American States.

Article XXIII

Accession

This Convention shall remain open for accession by any other State. The instruments of accession shall be deposited with the General Secretariat of the Organization of American States.

Article XXIV

Reservations

The States Parties may, at the time of adoption, signature, ratification, or accession, make reservations to this Convention, provided that each reservation concerns one or more specific provisions and is not incompatible with the object and purpose of the Convention.

Article XXV

Entry Into Force

This Convention shall enter into force on the thirtieth day following the date of deposit of the second instrument of ratification. For each State ratifying or acceding to the Convention after the deposit of the second instrument of ratification, the Convention shall enter into force on the thirtieth day after deposit by such State of its instrument of ratification or accession.

Article XXVI

Denunciation

This Convention shall remain in force indefinitely, but any of the States Parties may denounce it. The instrument of denunciation shall be deposited with the General Secretariat of the Organization of American States. One year from the date of deposit of the instrument of denunciation, the Convention shall cease to be in force for the denouncing State, but shall remain in force for the other States Parties.

Article XXVII

Additional Protocols

Any State Party may submit for the consideration of other States Parties meeting at a General Assembly of the Organization of American States draft additional protocols to this Convention to contribute to the attainment of the purposes set forth in Article II thereof. Each additional protocol shall establish the terms for its entry into force and shall apply only to those States that become Parties to it.

Article XXVIII

Deposit of Original Instrument

The original instrument of this Convention, the English, French, Portuguese, and Spanish texts of which are equally authentic, shall be deposited with the General Secretariat of the Organization of American States, which shall forward an authenticated copy of its text to the Secretariat of the United Nations for registration and publication in accordance with Article 102 of the United Nations Charter. The General Secretariat of the Organization of American States shall notify its Member States and the States that have acceded to the Convention of signatures, of the deposit of instruments of ratification, accession, or denunciation, and of reservations, if any.

 APPENDIX C

Chart on Status of Ratifications and Mechanism Adoption

Inter-American Convention Against Corruption

SIGNATORY COUNTRIES

SIGNATURE REF

RA/AC/AD REF

DEPOSIT INST

Argentina

03/29/96

08/04/97

10/09/97 RA

Bahamas (Commonwealth)

06/02/98

03/09/00

03/14/00 RA

Barbados

04/06/01

/ /

/ /

Belize

06/05/01

/ /

/ /

Bolivia

03/29/96

01/23/97

02/04/97 RA

Brazil

03/29/96

/ /

/ /

Canada

06/07/99

06/01/00

06/06/00 RA

Chile

03/29/96

09/22/98

10/27/98 RA

Colombia

03/29/96

11/25/98

01/19/99 RA

Costa Rica

03/29/96

05/09/97

06/03/97 RA

Dominican Republic

03/29/96

06/02/99

06/08/99 RA

Ecuador

03/29/96

05/26/97

06/02/97 RA

El Salvador

03/29/96

10/26/98

03/18/99 RA

Grenada

/ /

11/15/01

01/16/02 RA

Guatemala

06/04/96

06/12/01

07/03/01 RA

Guyana

03/29/96

12/11/00

02/15/01 RA

Haiti

03/29/96

/ /

/ /

Honduras

03/29/96

05/25/98

06/02/98 RA

Jamaica

03/29/96

03/16/01

03/30/01 RA

Mexico

03/29/96

05/27/97

06/02/97 RA

Nicaragua

03/29/96

03/17/99

05/06/99 RA

Panama

03/29/96

07/20/98

10/08/98 RA

Paraguay

03/29/96

11/29/96

01/28/97 RA

Peru

03/29/96

04/04/97

06/04/97 RA

St. Vincent & Grenadines

/ /

05/28/01

06/05/01 RA

Suriname

03/29/96

/ /

/ /

Trinidad and Tobago

04/15/98

04/15/98

04/15/98 RA

United States

06/02/96

09/15/00

09/29/00 RA

Uruguay

03/29/96

10/28/98

12/07/98 RA

Venezuela

03/29/96

05/22/97

06/02/97 RA

INST = Type of Instrument
RA = Ratification
AC = Acceptance
AD = Accession

All of the ratifying countries listed above have adopted the document of Buenos Aires except Grenada, Guyana, Haiti, and St. Vincent & Grenadines.

 APPENDIX D

AG/RES. 1784 (XXXI-O/01)

Mechanism for Follow-Up of Implementation of the Inter-American Convention Against Corruption

Resolution adopted at the third plenary session, held on June 5, 2001

THE GENERAL ASSEMBLY,

HAVING SEEN the report of the Permanent Council on the Mechanism for Follow-up of Implementation of the Inter-American Convention against Corruption (CP/doc.3481/01);

BEARING IN MIND that the purposes of the Inter-American Convention against Corruption are to promote and strengthen the development, by each of its States Parties, of the mechanisms needed to prevent, detect, punish, and eradicate corruption, and to promote, facilitate, and regulate cooperation among the States Parties to ensure the effectiveness of measures and actions to combat acts of corruption in the performance of public functions and those specifically related to such performance;

RECALLING that, through resolution AG/RES. 1723 (XXX-O/00), "Enhancement of Probity in the Hemisphere and Follow-up on the Inter-American Program for Cooperation in the Fight against Corruption," the Permanent Council was requested to analyze existing regional and international follow-up mechanisms with a view to recommending, by the end of the year 2000, the most appropriate model that States Parties could use, if they should think fit, to monitor implementation of the Inter-American Convention against Corruption; and that said recommendation would be transmitted to the States Parties to the Convention for them to choose the course of action they deemed most appropriate;

ACKNOWLEDGING WITH SATISFACTION the efforts of the Working Group on Probity and Public Ethics, which laid the foundation for the Recommendation of the Permanent Council to States Parties on the Mechanism for Follow-up of Implementation of the Inter-American Convention against Corruption, in a process that fostered broad participation by all member states of the Organization;

HAVING TAKEN NOTE of the Recommendation of the Permanent Council to States Parties on the Mechanism for Follow-up of Implementation of the Inter-American Convention against Corruption [CP/RES. 783 (1260/01)];

CONSIDERING that the Working Group on Probity and Public Ethics convened the Meeting of Government Experts to Prepare for the Conference of States Parties to the Inter-American Convention against Corruption, held in Washington, D.C., from March 21 to 23, 2001, which resulted in a set of recommendations to be considered at the First Conference of States Parties to the Inter-American Convention against Corruption, as recommended by the Permanent Council;

EXPRESSING APPRECIATION to the Argentine Republic for having hosted the First Conference of States Parties to the Inter-American Convention against Corruption on the Mechanism for Follow-up on Implementation of the Convention;

CONSIDERING ALSO that the Inter-American Convention against Corruption has been signed by 26 member states and ratified by 22, which means that four additional states ratified the Convention in the past year;

BEARING IN MIND that the Plan of Action of the Third Summit of the Americas affirms the decision of the Heads of State and Government to "support the establishment as soon as possible, taking into consideration the recommendation of the OAS of a follow-up mechanism for the implementation of the Inter-American Convention against Corruption by States Parties to this instrument"; and

AWARE that the First Conference of States Parties to the Inter-American Convention against Corruption was held in Buenos Aires, Argentina, from May 2 to 4, 2001, to establish a mechanism for follow-up on implementation of the Convention and that a consensus was reached during that conference and recorded in the "Report of Buenos Aires on the Mechanism for Follow-up on Implementation of the Inter-American Convention against Corruption," which is attached hereto,

RESOLVES:

1. To express its appreciation to the Permanent Council for its timely adoption of the Recommendation to States Parties on the Mechanism for Follow-up of Implementation of the Inter-American Convention against Corruption.

2. To thank the Government of the Argentine Republic for having hosted the First Conference of States Parties to the Inter-American Convention against Corruption on the Mechanism for Follow-up on Implementation of the Convention.

3. To welcome the adoption of the Report of Buenos Aires on the Mechanism for Follow-up on Implementation of the Inter-American Convention against Corruption, which reflects the consensus reached by the States Parties to the Inter-American Convention against Corruption in relation to the mechanism for follow-up on implementation of that inter-American instrument.

4. To urge those member states of the OAS that have not yet done so to sign or ratify, as appropriate, the Inter-American Convention against Corruption, and to participate actively in the mechanism for follow-up on its implementation.

5. To invite states that are not members of the Organization, in particular the OAS permanent observers, to accede to the Inter-American Convention against Corruption, in accordance with Article XXIII thereof.

6. To request the General Secretariat to take the necessary measures, within the resources allocated in the program-budget and other resources, to provide secretariat services to the Mechanism for Follow-up of Implementation of the Inter-American Convention against Corruption and to carry out the tasks entrusted to it in that area.

Appendix I

Minutes of the Buenos Aires Meeting

On May 2 to 4, 2001, the States Parties to the Inter-American Convention against Corruption met to establish a mechanism for follow-up on implementation of the Convention.

The meeting was held with the participation of delegations from the following States Parties: Argentina, The Bahamas, Bolivia, Canada, Chile, Costa Rica, Dominican Republic, Ecuador, El Salvador, Mexico, Nicaragua, Panama, Paraguay, Peru, United States, Republic of Uruguay, and Venezuela, and with the participation of representatives from the following states not party to the Convention: Brazil, Guatemala, and Haiti. Representatives of the Inter-American Development Bank and the Organisation for Economic Cooperation and Development also participated.

The General Secretariat of the OAS provided secretariat services for this First Conference.

The First Conference is the result of work carried out in the framework of the OAS Working Group on Probity and Public Ethics pursuant to OAS General Assembly resolution AG/RES. 1723 (XXX-O/00). In addition, the recommendations of the meeting of the Group of Experts held in Washington, D.C., March 21 to 23, 2001, pursuant to OAS Permanent Council resolution CP/RES. 783 (1260/01), were the terms of reference considered at the Conference.

As a result of the discussion that took place in Buenos Aires, the First Conference of States Parties reached consensus, details of which are given in the report attached hereto, the "Report of Buenos Aires on the Mechanism for Follow-up on Implementation of the Inter-American Convention against Corruption," which will be submitted to the Conference of the States Parties to the Inter-American Convention for its consideration and possible adoption at the meeting thereof to be held during the thirty-first regular session of the General Assembly of the OAS, in San José, Costa Rica, from June 3 to 5, 2001.

Done in Buenos Aires, on the fourth day of May, 2001.

Report of Buenos Aires on the Mechanism for Follow-Up on Implementation of the Inter-American Convention Against Corruption

Preamble

The purpose of the Inter-American Convention against Corruption is to promote and strengthen cooperation among the States Parties and to develop the mechanisms needed to prevent, detect, punish, and eradicate corruption.

Considerable progress has already been made in implementing the provisions of the Inter-American Convention against Corruption at the national level, and significant developments have also taken place at subregional and international levels, especially through the Inter-American Program for Cooperation in the Fight against Corruption.

A mechanism to follow-up on and review how such developments are being implemented and to facilitate cooperation among States Parties and among all member states of the OAS will assist in attaining the objectives of the Convention. This mechanism must take account of the need for gradual progress in attaining those objectives and must support programs for implementation of the Convention pursued by the States Parties.

This mechanism is established in fulfillment of the Plan of Action signed at the Third Summit of the Americas, in Quebec City, Canada, in whose chapter on corruption the Heads of State and Government undertook to support the establishment, as soon as possible, taking into consideration of the recommendation of the OAS, of a follow-up mechanism for the implementation of the Inter-American Convention against Corruption by the States Parties to this instrument.

1. Purposes

The purposes of the mechanism shall be:

a. To promote the implementation of the Convention and contribute to attaining the purposes set forth in Article II thereof;

b. To follow up on the commitments made by the States Parties to the Convention and to study how they are being implemented; and

c. To facilitate technical cooperation activities; the exchange of information, experience, and best practices; and the harmonization of the legislation of the States Parties.

2. Basic principles

Development of the mechanism for follow-up of the commitments of the States Parties to the Convention shall be guided by the purposes and principles established in the Charter of the Organization of American States. Therefore, the powers accorded to it and the procedures it follows shall take account of the principles of sovereignty, nonintervention, and the juridical equality of the states, as well as the need to respect the Constitution and the fundamental principles of the legal system of each State Party.

3. Characteristics

The mechanism for follow-up of implementation of the Convention shall be intergovernmental in nature and shall have the following characteristics:

a. It shall be impartial and objective in its operations and in the conclusions it reaches.

b. It shall ensure equitable application and equal treatment among States Parties.

c. It shall not entail the adoption of sanctions.

d. It shall establish an appropriate balance between the confidentiality and the transparency of its activities.

e. It shall be conducted on the basis of consensus and cooperation among States Parties.

4. Members of the follow-up mechanism

Only States Parties to the Convention shall participate in the follow-up mechanism.

5. Structure and responsibilities

The follow-up mechanism shall be comprised of two bodies: the Conference of the States Parties and the committee of experts.

All States Parties shall be represented in the Conference. It shall have general authority to implement and responsibility for implementation of the mechanism and shall meet at least once each year.

The committee shall be comprised of the experts appointed by each of the States Parties. It shall be responsible for technical analysis of the implementation of the Convention by the States Parties, among other tasks related to this main function. The Committee may request assistance and guidance from the Conference, which shall meet to consider such requests.

Secretariat services for the mechanism shall be provided by the General Secretariat of the Organization of American States.

6. Headquarters

The headquarters for the follow-up mechanism shall be at the headquarters of the Organization of American States.

7. Activities

a. The Committee shall adopt and disseminate its rules of procedure and other provisions.

b. Country reports

i. Selection of provisions and methodology

The committee of experts shall select, from among the provisions of the Convention, those whose application by the States Parties may be reviewed, seeking to maintain general balance among the various types of provision contained in the Convention, and shall determine the length of time it will devote to this task, which shall be known as a "round." The committee shall devise a method for the review of each provision, designed to ensure that sufficient reliable information will be obtained. The Committee shall publish the information referred to in this paragraph.

At each round, the Committee shall prepare a questionnaire on the provisions selected, based on OAS document CP/GT/PEC-68/00 rev. 3, "Questionnaire on Ratification and Implementation of the Inter-American Convention against Corruption," and shall forward it to those States Parties to be reviewed. The States Parties shall undertake to reply to the questionnaire by the deadline established by the committee. The replies to the questionnaire shall be distributed to all committee members.

ii. Selection of countries

The Committee shall use an impartial method for setting the dates for review of the information on each State Party, such as their presentation on a voluntary basis, chronological order of ratification of the Convention, or lot. The Committee shall give adequate advance notice of the dates for the review of each State Party during each round.

iii. Review of information and preliminary report

To expedite its work, the committee shall establish a subgroup in each case, comprised of experts from two States Parties, which shall review, with support from the Secretariat, the information on each State Party.

On the basis of that review, each subgroup shall prepare, with support from the Secretariat, a confidential preliminary report, which shall be made available to the State Party concerned for its observations.

Each subgroup shall prepare a revised version of the preliminary report, taking into account the observations presented by the State Party concerned, and present it to a plenary meeting of the Committee for its consideration.

The plenary meeting of the Committee shall prepare the conclusions and, if deemed appropriate, make the recommendations it considers pertinent.

iv. Final report

After completing, at each round, its review of the reports for all States Parties, the Committee shall issue a final report for each State Party, containing the observations of the State Party reviewed, which shall be forwarded first to the Conference and then published.

c. Cooperation

Mindful of the purposes of the follow-up mechanism and in the framework of the Inter-American Program for Cooperation in the Fight against Corruption, the Committee shall strive to cooperate with all OAS member states, taking account of the activities already under way within the Organization, and shall report to the Conference thereon.

The Committee shall undertake systematic consideration of the issues involved in cooperation and assistance among States Parties in order to identify the areas where technical cooperation is needed and the most appropriate methods for collection of useful data to review such cooperation and assistance. This work shall take account of the provisions of Articles XIII through XVI and Article XVIII of the Convention.

d. Observers

States that are not parties to the Inter-American Convention against Corruption may be invited to observe the plenary meetings of the committee of experts if they so request.

8. Civil society participation

In order to obtain better input for its review, the Committee shall include in the provisions governing its operation an appropriate role for civil society organizations, taking into account the "Guidelines for the Participation of Civil Society Organizations in OAS Activities" [CP/RES. 759 (1217/99)] and the definition of civil society contained in AG/RES. 1661 (XXIX-O/99), in keeping with the domestic legislation of the State Party under review. The Committee may request information from civil society organizations, for which purpose it shall develop the method it considers most appropriate.

9. Resources

The activities of the follow-up mechanism shall be funded by contributions from States Parties to the Convention, from states that are not parties to the Convention, and from international financial organizations, and by any other contribution that may be received in accordance with the General Standards to Govern the Operations of the General Secretariat, including a specific fund that may be established. Such contributions may include offers by State Parties to organize and host meetings of the bodies of the mechanism. The Conference of States Parties may establish criteria for determining the amounts of regular contributions.

10. Periodic review of the mechanism

The Conference shall periodically review the operation of the mechanism, taking account of observations made by the committee of experts, and may introduce such changes as it deems appropriate.

11. Transitory provision

To facilitate the work of the first meeting of the committee, the Conference considers that topics that the committee might analyze at its first round are, inter alia:

a. Article III, selecting as many measures as the Committee considers appropriate;

b. Article XIV; and

c. Article XVIII.

In the event that the committee of experts encounters difficulties in conducting a review of all topics indicated, it shall report such difficulties to the Conference so that that body may take such decisions, as it deems appropriate at its next Conference.

The Conference also suggests that, during its first year of operation, the committee of experts hold at least two meetings.


 APPENDIX E

Committee of Experts of the Mechanism for Follow-Up on the Implementation of the Inter-American Convention Against Corruption

Rules of Procedure and Other Provisions

I. Scope of the Rules of Procedure and Other Provisions

Article 1. Scope of the Rules of Procedure and Other Provisions. The Rules of Procedure and Other Provisions (hereafter Rules) shall prescribe the structure and operation of the Committee of Experts (hereafter Committee) of the Mechanism for Follow-up (hereafter Follow-up Mechanism) on the Implementation of the Inter-American Convention against Corruption (hereafter Convention).

The Committee shall have the responsibility of undertaking its activities within the framework of the purposes, basic principles, characteristics and other provisions established in the "Report of Buenos Aires on the Mechanism for Follow-up on the Implementation of the Inter-American Convention against Corruption" (hereafter Report of Buenos Aires), of the decisions that are adopted by the Conference of States Parties and, pertinently, of the Organization of American States (OAS) Charter.

The Committee may resolve those matters not addressed by these Rules, the Report of Buenos Aires or the OAS Charter in accordance with the provisions in article 3 (k) and article 13.

II. Structure And Responsibilities of the Committee

Article 2. Composition. The Committee shall be comprised of the experts appointed by each of the States Parties that are members of the Follow-up Mechanism (hereafter States Parties).

Each State Party shall notify the Secretariat of the name or names and personal information (address, e-mail address, phone and fax number) of the expert or experts that will represent it in the Committee. When more than one expert is appointed, the State Party shall indicate the name of the expert who shall lead the group. In this case, the lead expert shall be the contact point for the Secretariat in distributing documents and for all communications.

Each State Party shall notify the Secretariat when there is a change in its representation to the Committee.

Article 3. Responsibilities of the Committee. In accordance with the Report of Buenos Aires, the Committee shall be responsible for the technical analysis of the implementation of the Convention by the States Parties. In performing this function, the Committee shall undertake the following:

a. Adopt its annual working plan, for which the Secretariat will develop a draft in conformity with the provisions in article 9 (a) of these Rules.

b. Select, from among the provisions of the Convention, those whose implementation by all of the States Parties shall be reviewed, seeking to include both preventive measures and other provisions contained in the Convention, and determine the length of time it shall devote to this task, which shall be known as a "round".

c. Adopt a methodology for the review of the implementation of the provisions of the Convention selected to be reviewed in each round that is designed to ensure that sufficient reliable information is obtained. The adoption of this methodology shall comply with the procedure described in article 18 of these Rules.

d. Adopt a questionnaire on the provisions selected for review in each round, based on OAS document CP/GT/PEC-68/00 rev. 3 "Questionnaire on Ratification and Implementation of the Inter-American Convention against Corruption" and in accordance with article 18 of these Rules.

e. Select, in each round, an impartial methodology (such as presentation on a voluntary basis, in chronological order of ratification of the Convention or by lot) for setting the dates for review of the information on each State Party.

f. Determine the composition of each subgroup, to be comprised of experts from two States Parties in accordance with article 20 of these Rules, which shall review, with support from the Secretariat, the information on the State Party they have been assigned to review.

g. Adopt the country reports in regard to each of the States Parties and a final report at the end of each round, in accordance with articles 21 to 26 of these Rules.

h. Promote and facilitate co-operation among the States Parties, within the framework of the Convention and in accordance with the Report of Buenos Aires and article 36 of these Rules.

i. Approve a yearly activity report, which shall be forwarded to the Conference of States Parties.

j. Review periodically the operation of the Follow-up Mechanism and propose any recommendations it considers pertinent to the Conference of States Parties regarding the Convention and the Report of Buenos Aires.

k. Request the assistance and guidance from the Conference of States Parties, when it considers it necessary or convenient in fulfilling its responsibilities.

Article 4. Chair and Vice-Chair. The Committee shall have a Chair and a Vice-Chair, who will be elected separately from among its members for a one-year term and may be re-elected for the following year.

If the Chair or Vice-Chair cease to serve as representatives of their respective States, then their term as such would be terminated.

If the Chairman ceases to serve as a representative of a State Party or resigns before the term is concluded, the Vice-Chair shall assume the responsibilities of Chair and the Committee shall elect a new Vice-Chair for the remainder of the term.

If the Vice-Chair were to cease serving as a representative of a State Party or resigns before the term is concluded, the Committee shall elect a new Vice-Chair for the remainder of the term.

In the case of a permanent absence of both the Chair and Vice-Chair, their replacements shall be elected during the following Committee meeting, according to the procedure established by these rules.

Elections of the Chair and Vice-Chair shall be by consensus. In the case of not reaching consensus on the decision it shall be adopted by one half plus one of the lead experts of the States Parties, through a secret vote.

Article 5. Responsibilities of the Chair. The Chair shall have the following responsibilities:

a. Co-ordinate with the Secretariat the various activities related to the operation of the Committee.

b. Open and adjourn all meetings and direct the discussions.

c. Submit to the Committee for its consideration the topics that are a part of the approved order of business for each meeting.

d. Decide on points of order that may arise during deliberations.

e. Put motions to a vote and announce the results thereof.

f. Represent the Committee before the Conference of States Parties, OAS organs and other institutions.

g. Submit to the Committee for its consideration the proposals on the composition of the preliminary review subgroups, to be comprised of experts from two States Parties, which shall review, with support from the Secretariat, the information received from a reviewed State Party.

h. All other responsibilities conferred by these Rules and the Committee.

Article 6. Temporary leave of Chair. When the Chair or Vice-Chair is presiding the Committee, he or she must be excused temporarily from the Chair duties when review and approval of the country report in regards to the State Party he or she represents takes place.

Article 7. Responsibilities of the Vice-Chair. The Vice-Chair shall assume the duties of the Chair in the temporary or permanent absence of the Chair and shall assist the Chair in the performance of his or her activities.

Article 8. Secretariat. The Secretariat of the Committee shall be undertaken by the OAS General Secretariat.

As a result, matters regarding the Secretariat's technical and administrative personnel, as well as its structure and responsibilities, shall adhere to the provisions in the OAS Charter, the General Standards to Govern the Operations of the General Secretariat of the OAS approved by its General Assembly, and the decisions that the Secretary General may adopt in developing said General Standards.

Article 9. Responsibilities of the Secretariat. The Secretariat shall have the following responsibilities:

a. Prepare an annual draft working plan of the Committee, which shall include the respective proposals in regards to the number of States Parties that will be reviewed in said period, the meetings that will be held for such review and a timetable to complement said activities, and submit it to the Committee for its consideration.

b. Send convocation notices for all Committee meetings.

c. Prepare the draft order of business for each Committee meeting.

d. Prepare the methodology and questionnaire proposals for the review of the provisions of the Convention selected, whose application shall be reviewed in a round, and submit them to the Committee for its consideration and approval, in accordance with article 18 of these Rules.

e. Support the subgroups of experts in the process of reviewing the information received from the States Parties and in preparing and presenting the preliminary reports referred to in provision 7 (b) (iii), of the Report of Buenos Aires.

f. Prepare a draft Final Report at the end of each round, submit it to the Committee for its consideration and, once the Final Report is adopted by the Committee, forward it to the Conference of States Parties.

g. Prepare a draft Committee Annual Report and, once said Report is adopted by the Committee, forward it to the Conference of States Parties.

h. Serve as a custodian for all the documents and files of the Committee.

i. Disseminate, through the Internet and by any other means of communication, information and public documents related to the Follow-up Mechanism, as well as the country and final reports of each round, once they are made public in accordance with these Rules.

j. Serve as the central co-ordinating and contact point for the delivery and exchange of documents and communications between the experts, as individuals or as a Committee, with the Conference of States Parties, OAS organs and other organizations or institutions.

k. Notify the Committee members of communications received or submitted to them for their consideration, unless they are significantly beyond the scope of the responsibilities of the Committee or in the case of Civil Society Organizations that do not comply with the requirements or time periods prescribed in article 33 of these Rules.

l. Prepare the minutes of Committee meetings and maintain its files.

m. Update periodically information on the progress made by each State Party regarding the implementation of the Convention, based on the information submitted by them, directly or within the framework of the Committee meetings in accordance with article 30 of these Rules.

n. Prepare or co-ordinate the preparation of research papers, investigations or studies on topics related to the Committee's responsibilities, which shall be submitted to the Committee for its consideration in conformity with article 36 (b) of these Rules.

o. Advise the Chair, Vice-Chair and the Committee members in undertaking their responsibilities when requested.

p. Promote and organize programs of technical co-operation in conjunction with other international co-operation organizations and agencies to support the States Parties in their efforts to comply with the recommendations that are made by the Committee.

q. All other responsibilities that the Committee may assign to the Secretariat or those which may be necessary for the effective fulfillment of its responsibilities.

Article 10. Means for delivery of communications and distribution of documents. In order to facilitate distribution and minimize costs, the communications between the Secretariat and lead experts (and vice-versa), as well as the documents for consideration by them individually, in subgroups or in plenary Committee meetings, shall be forwarded via electronic mail with a copy to be sent to the Permanent Mission of the respective State Party to the OAS.

The responses to the questionnaires by the States Parties, and whatever other documents they or lead expert may forward for distribution among the Committee members, shall also be forwarded to the Secretariat in an electronic form.

In extraordinary cases, when no electronic version exists of the documents, they shall be forwarded, preferably, via fax and, as a last alternative, via regular mail.

Article 11. Languages. The working languages of the Committee are the languages of the States Parties which are at the same time the official languages of the OAS

Article 12. Quorum. Quorum for meeting shall constitute the presence of one-half plus one of the lead experts that represent the States Parties.

Article 13. Decisions. As a general rule, the Committee shall make its decisions by consensus.

In those cases where there is a controversy in regards to a decision, the Chair shall undertake the good offices and all the measures at the Chair's disposal in trying to reach a consensus among the Committee members. Once the Chair considers that this path has been exhausted and that a decision by consensus is not possible, the issue shall be put to a vote. In this event, decisions shall enter into force with a vote of two-thirds of the lead experts present, if the issue is with regard to the adoption of a country or final report or the amendment of these Rules. In all other cases, the decision shall enter into force by a vote of one-half plus one of the lead experts present. In this last case, all votes shall be yes, no or be an abstention.

A lead expert shall abstain from voting when the Committee is considering his or her State Party's draft preliminary report.

Article 14. Consultations by electronic means. In periods between meetings, the Committee may consult through electronic means of communication.

Article 15. Observers. In accordance with provision 7 (d) of the Report of Buenos Aires, States that are not States Parties may be invited to observe the plenary meetings of the Committee if they so request.

Article 16. Headquarters. In accordance with provision 6 of the Report of Buenos Aires, the Committee, as an entity, shall have its headquarters at the OAS.

Article 17. Funding. The Committee's activities will be funded in accordance with provision 9 of the Report of Buenos Aires.

III. Review Procedure

Article 18. Selection of provisions, determination of a round and adoption of methodology and questionnaire. The procedure for the selection of the provisions, the determination of a round and the adoption of a methodology and questionnaire for the review of the implementation by the States Parties of the provisions of the Convention, shall be the following:

a. The Committee shall select the provisions of the Convention whose implementation by the States Parties shall be reviewed, seeking to include both preventive measures and other provisions contained in the Convention. This information shall be made public once the Committee selects the respective provisions.

b. The Secretariat shall prepare the methodology and questionnaire proposals for the review of said provisions and shall forward them to the lead experts of all the States Parties and shall publish them via the Internet and by any other means of communication in accordance with article 33, no later than thirty (30) days before the date of the Committee meeting that will consider said methodology and questionnaire.

c. The Committee in plenary shall adopt the final versions of the methodology and questionnaire, and shall determine the length of time it will devote to the review of the implementation by the States Parties of those provisions selected, which shall be known as a round.

d. The final versions of the methodology and questionnaire shall be disseminated by the Secretariat via the Internet and by any other means of communication.

Article 19. Definition of the review process of the States Parties.- At the beginning of every round, the Committee shall:

a. Adopt an impartial methodology (such as presentation on a voluntary basis, chronological order of ratification of the Convention, or lot) for setting the dates for review of the information on each State Party.

b. Determine the number of States Parties whose information shall be the subject of review in each meeting so as to complete the round within the planned time frame.

c. Determine, as a minimum and in accordance with the impartial methodology referred to in paragraph (a) of this article, the States Parties whose information shall be the subject of review for the first meeting within the framework of a round.

In the event that in the beginning of a round only the States Parties whose information shall be the subject of review in the next meeting are selected, then in accordance with the impartial methodology adopted for the entire round, the States Parties whose information shall be the subject of review for the following meeting shall be selected.

The information that is referred to in this article shall be made public once the Committee reaches the decisions herein mentioned.

Article 20. Composition of subgroups for the review of the information and the preliminary report. The Committee, based on the proposal prepared by the Secretariat in co-ordination with the Chair, shall determine the composition of the subgroups with experts (one or more) from two States Parties that, with support from the Secretariat, shall review the information and prepare the preliminary reports on each State Party whose information shall be reviewed in the next meeting by the Committee.

In selecting the members of a subgroup consideration shall be given to the historical legal tradition of the State Party whose information shall be the subject of review.

Consideration will be given to avoid the selection, to a subgroup, of experts from a State Party that has been reviewed by the State Party under review in that round.

Each State Party shall endeavor to be part of a subgroup, on at least two occasions in each round.

Article 21. Questionnaire response. Once the final version of the questionnaire is agreed upon, the Secretariat shall forward it, in electronic format, to the State Party whose information shall be the subject of review, through its Permanent Mission to the OAS, with a copy to the lead expert on Committee of said State Party.

The State Party shall, through its Permanent Mission to the OAS, forward to the Secretariat the responses to the questionnaire, in electronic format, with all the supporting documents, within the time period that the Committee sets in each round.

The lead experts shall take all the necessary measures in ensuring that their respective States Parties respond to the questionnaire within the time period referred to in the previous paragraph.

Article 22. Co-ordinating governmental unit in regard to the questionnaire. In all matters related to the forwarding and response of the questionnaire, each State Party shall identify the co-ordinating governmental unit and notify the Secretariat. The Secretariat shall then register said unit.

Article 23. Procedure for the review of the information and preparation of the preliminary report. Once the responses to the questionnaire is received, the procedure shall be as follows:

a. The Secretariat shall prepare a draft preliminary report;

b. The Secretariat shall forward the draft preliminary report to the corresponding subgroup for its comments;

c. The subgroup shall forward to the Secretariat any comments they may have in regard to the draft preliminary report;

d. The Secretariat shall forward the draft preliminary report and the comments of the subgroup to the State Party under review for clarification;

e. Upon receipt of its draft preliminary report, the State Party being reviewed shall respond to the comments of the subgroup and the Secretariat;

f. On the basis of the responses of the State Party being reviewed to the comments of the subgroup, the Secretariat shall prepare a revised draft preliminary report, which it shall forward to the Committee at least two weeks before the subsequent Committee meeting for consideration.

Article 24. Preliminary review meeting of the subgroup and the State Party under review. The representatives of each reviewed State Party shall meet with the members of the subgroup in charge of the preliminary review and with the Secretariat the day before the beginning of the Committee meeting in which the said preliminary report shall be considered.

This meeting shall have as its purpose the revision or clarification of those areas of the draft preliminary report where discrepancies in regards to its content or form may still exist and establish a methodology for the presentation of the draft preliminary report in the plenary of the Committee.

Based on the information received from the reviewed State Party, the subgroup may agree to change the text of the draft preliminary report or maintain it as is for its presentation to the Committee. The members of the subgroup shall also agree upon the presentation format of their preliminary report to the plenary of the Committee.

Article 25. Consideration and approval of the country report in the Committee. For the consideration and adoption of the report, the Committee shall proceed as follows:

a. The members of the subgroup in charge of the preliminary review shall briefly present the content and scope of the preliminary report.

b. The reviewed State Party shall make a brief statement in regards to the preliminary report.

c. A discussion, open to the Committee as a whole, shall then begin on the preliminary report.

d. The plenary of the Committee may make any specific changes to the preliminary report it considers necessary, prepare the conclusions and, if deemed appropriate, make any recommendations it considers pertinent.

e. In accordance with the spirit of provision 3 (e) of the Report of Buenos Aires, the Committee shall strive to base its recommendations, if any, on the principles of consensus and cooperation.

f. The Secretariat shall revise the report as agreed by the Committee and shall present the revised report to the Committee for its approval.

g. Once the country report is approved in accordance with the provisions mentioned in the previous paragraphs, the reviewed State Party may authorize the Secretariat to publish it, along with the observations they may have presented, via the Internet or through any other means of communication.

Article 26. Final Report. At the end of a round, the Committee shall adopt a final report which shall include the individual country reports in relation to each one of the States Parties and the observations that each of them had to their reports. Likewise, it shall include an overall review that contemplates, among other things, the conclusions that are arrived at in the country reports and the recommendations of a collective nature in respect to following up on the results of said reports, such as the actions that are recommended in consolidating or strengthening hemispherical cooperation on the issues that are referred to in the provisions under consideration in each round or that are closely related to them.

The final report shall be forwarded to the Conference of States Parties and shall subsequently be made public.

Article 27. Documents. In each round the Secretariat shall recommend the format, characteristics and length of the documents that will circulate within the framework of the Committee's responsibilities, allowing each State Party the possibility of providing additional documents it considers to be necessary.

Article 28. Length and format of the country report. All the country reports shall have the same structure. This structure is to be considered and approved by the Committee in the same manner as foreseen in Article 18 in adopting the methodology and questionnaire.

Article 29. Review of new States Parties. Once a State Party becomes part of the Follow-up Mechanism, it shall:

a. Respond to the previously adopted questionnaires.

b. Be reviewed by the subgroup assigned to follow-up on its compliance with the provisions of the Convention that were considered in previous rounds as well as of those that are being reviewed within the framework of the developing round at the moment the State becomes a State Party.

IV. Follow-Up

Article 30. Reports within the framework of the Committee meetings. At the beginning of each Committee meeting, each one of the States Parties shall report on the measures it has adopted, between the previous meeting and the present one, and on the progress it has made in implementing the Convention. The Secretariat shall always include this issue in the draft order of business for each Committee meeting.

Article 31. Follow-up within the framework of future rounds. At the start of a new round, there shall be included as a section within the questionnaire a chapter with specific questions that will enable the review of the progress made by each State Party in implementing the recommendations included in its individual country report adopted in the previous rounds.

Based on the information received on this point, the individual country report shall review the progress made in the implementation of the recommendations adopted in the previous country reports. In this respect, the report may congratulate a State Party on specific progress made or urge it to comply; in those cases where there has been no progress made in regards to previous country reports.

Article 32. Visits for follow-up. In following up on the provisions reviewed and recommendations made within the framework of a round, as part of the methodology and cooperation efforts in accordance with provisions 3 and 7(b)(i) of the Report of Buenos Aires, the Committee may establish visits by the members of the subgroups to all reviewed States Parties in future rounds.

In addition, visits may be undertaken when the reviewed State Party requests said visit.

V. Civil Society Organizations Participation

Article 33. Civil Society Organizations participation. Upon the publication of draft questionnaires, instruments of methodology and any other documents which the Committee deems appropriate, civil society organizations, taking into account the Guidelines for the Participation of Civil Society Organizations in OAS activities CP/RES. 759 (1217/99), and in accordance with the internal legislation of the respective State Party, may:

a. Present, through the Secretariat, specific proposals to be considered in the drafting process referred to in Article 18 of these Rules. These proposals should be presented with a copy in electronic format, within a time frame established by the Secretariat, which time frame will be made public.

b. Present, through the Secretariat, documents with specific and direct information related to the questions that are referred to in the questionnaire with respect to the implementation, by a State Party under review, of the provisions selected for review within the framework of a round. These documents shall be presented, with a copy in an electronic format, within the same time period given to the State Party in responding to the questionnaire.

The Secretariat shall forward the documents that comply with the aforementioned conditions and terms before mentioned, to the State Party under review as well as to the members of the subgroup in charge of the preliminary review.

c. Present proposal documents related to the collective interest issues that the Committee has included in their annual working plan, in accordance with the provision in article 36 (b) of these Rules. These documents shall be presented, through the Secretariat, with a copy in electronic format, no later than a month before the date of the meeting in which the Committee shall consider these issues.

The Secretariat shall forward a copy of these documents to the lead experts via electronic mail.

Article 34. Distribution of documents from civil society organizations. The documents presented by civil society organizations, in accordance with the provisions in the previous article, shall be distributed in the language in which they were presented. Civil society organizations may, along with the document, annex a translation of it in the official languages of the Follow-up Mechanism, in electronic format, for distribution.

The documents presented by civil society organizations that are not in electronic format shall only be distributed among the Committee members during the meeting when their length is no greater than ten (10) pages. If the length is greater than 10 pages, civil society organizations shall forward enough copies to the Secretariat for distribution.

Article 35. Participation of civil society organizations in Committee meetings. The Committee may invite or accept the request from civil society organizations, within the framework of its meetings, to give a verbal presentation of the documents they presented in accordance with the provision in article 33 (c) of these Rules.

VI. Cooperation

Article 36. Cooperation. Within the framework if its responsibilities, the Committee shall always take into account that the Convention and the Follow-up Mechanism have as their purposes the need to promote and strengthen cooperation among the States Parties for preventing, detecting, punishing and eradicating corruption.

Taking into account the previous paragraph, the Committee:

a. Mindful of the information that it receives from the States Parties for its review of the implementation of the measures foreseen in the Convention and, in its country and final reports, shall prepare specific recommendations on programs, projects and types of cooperation that will allow States to progress in those specific areas that are referred to in the reports or to search for more effective review measures.

b. In addition to the consideration and adoption of the country and final reports in accordance with the procedures prescribed in these Rules, shall also include the consideration of those collective interest issues related to the Committee's responsibilities in trying to determine specific actions that will allow the strengthening of cooperation among them within the framework of the Convention.

In achieving this purpose, may invite specialists to present the results of their research or investigations in specific areas or recommend the preparation of certain studies, researches or analyses that will allow a greater number review criteria to be available for the consideration of a specific issue.

c. Based on the information received as a result of the review of the implementation of the provisions of the Convention by the States Parties and the issues that are referred to in the previous paragraph, shall consider and prepare recommendations in regards to the areas in which technical cooperation activities; the exchange of information, experience and best practices; and the harmonization of the legislation of the States Parties should be facilitated to promote the implementation of the Convention and contribute to its purposes established in article II.

d. In accordance with the provision 7(c) of the Report of Buenos Aires, and mindful of the purposes of the Follow-up Mechanism and in the framework of the Inter-American Program for Co-operation in the Fight against Corruption, shall strive to cooperate with all OAS Member States, taking account of the activities already under way within the Organization, and shall report to the Conference of States Parties thereon.

Likewise, it shall undertake a systematic consideration of the issues involved in cooperation and assistance among States Parties in order to identify the areas where technical cooperation is needed and the most appropriate methods for the collection of useful data to review such cooperation and assistance. This work shall take into account of the provisions of Articles XIII through XVI and XVIII of the Convention.

VII. Entry Into Force and Amendment of the Rules

Article 37. Entry into force, publicity and amendment of the Rules. These Rules shall enter into force upon their adoption by the Committee and the Committee may amend these Rules through the consensus of the lead experts of the Follow-up Mechanism, or in the event that no consensus is reached, these Rules may be amended through a vote of two-thirds of the said lead experts present in favor of said amendment.

The Secretariat shall communicate these Rules to the Permanent Mission to the OAS of each State Party, and shall publish them via the Internet and by any other means of communication.


 APPENDIX F

WEBSITE LISTING: CONVENTION-RELATED DOCUMENTS

1. Compilation of Responses to the June 2000 OAS Questionnaire:
http://www.oas.org/juridico/english/tabla%203%20co%20detalle%201eng.doc

2. Individual Country Responses:
http://www.oas.org/juridico/english/replies_to_the_questionnaire_on_.htm

3. OAS Link to Convention Documents:
http://www.oas.org/juridico/english/FightCur.html

WEBSITES LISTINGS: MATERIALS ON CORRUPTION IN LATIN AMERICA

1. Aid Anti-Corruption Accountability Project:
http://www.respondanet.com/

2. Probidad Annual Report (August 2000-September 2001):
http://probidad.org/english/annual_report2001.html

3. Journalists Against Corruption:
www.portal-pfc.org/english/index.html

4. Transparency International -The Americas:
www.transparency.org



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