A/HRC/44/47
offences are described in a long list.29 The other particularly powerful obligation deriving
from the Convention concerns joint investigations. 30 Under most domestic legislation,
prosecutors and prosecution services are responsible for any action taken.
38.
Mutual assistance and cooperation imply, in their own right, an effective exchange
of information and institutional efforts. According to the experts who attended the seventh
open-ended intergovernmental expert meeting to enhance international cooperation under
the Convention, guidance, templates and information are useful in facilitating the
formulation of effective international cooperation requests.31
39.
This is directly aligned with the Guidelines on the Role of Prosecutors as a
conceptual framework for the independence and integrity of prosecutors, which are the
fundamental preconditions set forth in article 11 of the Convention as the basis for
establishing prosecutors as legitimate interlocutors with respect to mutual assistance and
joint investigations. The main objective set out in the Guidelines, of which there are 24, is
precisely to assist Member States in “securing and promoting the effectiveness, impartiality
and fairness of prosecutors in criminal proceedings”, as stated in the preamble. The
Guidelines are supplemented by the Standards of Professional Responsibility and Statement
of the Essential Duties and Rights of Prosecutors of the International Association of
Prosecutors and supported by the United Nations Commission on Crime Prevention and
Criminal Justice.
40.
The above-mentioned instruments, together with the analysis contained in the report
submitted by the Special Rapporteur in 2012, 32 set out the guarantees and minimum
standards that must be observed by prosecution services and respected by other institutions
as conditions ensuring their independence and impartiality. These include areas related to
professional qualifications, selection and training, status and conditions of service, freedom
of expression and of association, the role of prosecutors in criminal proceedings,
discretionary functions, alternatives to prosecution, relations with other government
agencies or institutions and disciplinary proceedings.
41.
In the sphere of cooperation, there are several criminal matters that to a large extent
concern prosecutors, namely extradition, the transfer of sentenced persons, mutual legal
assistance, the transfer of criminal proceedings and cooperation in law enforcement and
joint investigations.
42.
These are not ancillary or incidental elements of the Convention; rather, they are
essential matters which are closely related to the powers of prosecutors. Following an
assessment it conducted in 2017 to review the reports submitted by countries during the
first cycle of the mechanism to evaluate the implementation of the Convention, 33 the United
Nations Office on Drugs and Crime found that in matters of international cooperation
countries generally regard the bilateral and regional frameworks by which they are
bound as “priority” legal bases for extradition and mutual legal assistance on
corruption-related offences.34
43.
Under this normative and conceptual logic, the actions of prosecution services must
be based on objectivity, impartiality, coherence and respect for the law and aligned with
29
30
31
32
33
34
8
Ibid.
Art. 49.
CAC/COSP/EG.1/2018/4, Report of the seventh open-ended intergovernmental expert meeting to
enhance international cooperation under the United Nations Convention against Corruption, held in
Vienna on 8 June 2018, para. 18.
A/HRC/20/19. See also the report of the 23rd Annual Conference of the International Association of
Prosecutors, held in Johannesburg, South Africa. The report addresses particular issues of
prosecutorial independence and is available at https://www.iap-association.org/Conferences/AnnualConferences/23rd-Annual-Conference.
Chapter VII of the Convention regulates the mechanisms for implementation. Article 63 (1)
establishes a Conference of States Parties to the Convention to “promote and review” its
implementation.
United Nations Office on Drugs and Crime, State of Implementation of the United Nations
Convention against Corruption: Criminalization, Law Enforcement and International Cooperation,
2nd ed., 2017, p. 211.
GE.20-04343
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