The document discusses the implementation of the OECD Anti-Bribery Convention and lessons that can be applied to implementing UNCAC Article 16. It provides an overview of the convention and the OECD Working Group on Bribery's four-phase peer review process to monitor implementation. It then examines some key cross-cutting challenges in enforcement, international cooperation, and addressing corporate liability and settlements, and offers solutions used by the OECD like bi-annual law enforcement meetings and regional anti-corruption programs. It concludes with some statistics on investigations, sanctions, and fines resulting from implementation of the OECD Anti-Bribery Convention from 1999 to 2014.

1. IMPLEMENTATION OF THE
OECD ANTI-BRIBERY CONVENTION
SHARING EXPERIENCES FOR
IMPLEMENTING UNCAC ARTICLE 16
Patrick Moulette
Head, OECD Anti-Corruption Division
6th Conference of the States Parties to the United Nations
Convention Against Corruption, St. Petersburg, Russia
The views expressed in this presentation do not necessarily represent those of the OECD
Member countries or States Parties to the OECD Anti-Bribery Convention.

2. • The OECD Anti-Bribery Convention
• Monitoring implementation of the Convention – the
OECD Working Group on Bribery
• Phase 3: Cross-cutting issues for implementation
• Key facts
Overview
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3. • 1977 US Foreign Corrupt Practices Act (FCPA)
• 1997: OECD Anti-Bribery Convention adopted
• 1999: Entry into force of the OECD Anti-Bribery Convention
• 1999: OECD Working Group on Bribery Phase 1 evaluations begin
• 2002: OECD Working Group on Bribery Phase 2 evaluations begin
• 2005: Entry into force of the UNCAC
• 2010: First session of the UNCAC Implementation Review Group; OECD Working
Group on Bribery Phase 3 evaluations begin
• 2015: OECD Working Group on Bribery Phase 4 evaluations begin
• 16 March 2016 Ministerial Meeting on the OECD Anti-Bribery Convention
OECD Anti-Bribery Convention in Context
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4. Phase 1
•Review of legal framework and implementing legislation
•Peer review by experts from two examining countries
Phase2
•Review of legislative and practical implementation and the efficacy of institutional framework
•On-site visit with government, parliamentarians, judiciary, legal and accounting professions,
private sector, media and civil society
Phase 3
•Focus on enforcement and cross-cutting issues
•On-site visit
•Current phase
Phase 4
•Focus on enforcement and cross-cutting issues
•On-site visit
•Next Phase
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Peer review by the
OECD Working Group on Bribery

5. Challenges:
– Definition of foreign public official (as
highlighted in the UNODC State of
Implementation Report).
– Liability of intermediaries.
– Low prioritisation of foreign bribery
investigations and prosecutions.
– Inadequate resources and capacity for
law enforcement.
– Only 17 out of 41 WGB member
countries have ever successfully
concluded a foreign bribery case.
Solutions:
– Biannual Meetings of Law Enforcement
Officials from Parties to the Convention
– Launch of Global Network of Law-
Enforcement Officials against
Corruption, 8-9 December 2015, OECD
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Cross-cutting issues: Enforcement

6. Challenges:
– Delays in obtaining mutual legal
assistance.
– Bank secrecy and national
economic interest remain
obstacles.
– MLA requests rarely used as a
source of information in opening
foreign bribery investigations (in
only 13% of cases).
Solutions:
- OECD regional programmes
(Africa, Asia-Pacific, Eastern
Europe and Central Asia, Middle
East and North Africa, Latin
America).
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Cross-cutting issues: International
Cooperation

7. Corporate Liability:
– Liability for the acts of intermediaries
and related legal persons.
– Autonomous liability (independent from
liability of natural persons).
– Liability of State-owned or controlled
enterprises (SOEs).
– How to assess pre-existing compliance
measures in countries where these can
be taken into consideration in mitigation
of sentence or to avoid liability.
Plea-bargaining and settlements:
– Need to make main facts publicly
available.
– The issue of self-reporting/cooperation
with investigations and immunity from
liability (as highlighted in the UNODC
State of Implementation Report on
immunities)
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Cross-cutting issues: Corporate liability
and settlements

8. From entry into force of the OECD Anti-Bribery Convention
(1999) to June 2014:
– 393 investigations are ongoing in 25 Parties to the Anti-Bribery
Convention;
– 80 individuals were imprisoned after a foreign bribery
conviction;
– 261 fines imposed on individuals and companies;
– A record of EUR 1.8 billion being the highest combined fine
against a single company;
– 69% of cases had sanctions imposed through settlement
procedures.
Key facts:
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9. To find out more…
OECD Anti-Bribery Convention and Working Group on Bribery
www.oecd.org/corruption/anti-bribery/
OECD Anti-Bribery Ministerial Meeting, Paris, 16 March 2016
www.oecd.org/corruption/anti-bribery/OECD-anti-bribery-
ministerial-2016
Global Network of Law Enforcement Officials against Corruption
www.oecd.org/corruption/anti-bribery/global-law-enforcement-
network-meeting-dec-2015.htm
Regional Programmes
www.oecd.org/corruption/anti-bribery/
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