CAC_COSP_IRG_2015_2_EC
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CAC/COSP/IRG/2015/2 V1502030.doc (English)CAC/COSP/IRG/2015/2 V1502029.doc (Chinese)
Review of implementation of the United Nations Convention against Corruption审议《联合国反腐败公约》实施情况
Progress report on the implementation of the mandates of the Implementation Review Group关于实施情况审议组任务授权实施工作的进度报告
Note by the Secretariat秘书处的说明
The present document contains updated information on the conduct of country reviews in the first review cycle of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption and on activities of the Implementation Review Group in the context of its function of overseeing the review process and submitting policy recommendations to the Conference of the States Parties to the Convention for its consideration and approval.本文件载有联合国反腐败公约实施情况审议机制第一个审议周期的国别审议开展情况的最新信息,以及实施情况审议组在履行监督审议进程和向《公约》缔约国会议提交政策建议供其审议和批准的职能方面开展的活动的最新信息。
I. Organization and conduct of country reviews in the first to fourth years of the first review cycle一. 第一个审议周期第一至第四年国别审议的安排和进行
A. Drawing of lotsA. 抽签
In accordance with paragraph 14 of the terms of reference of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption, the selection of States parties participating in the review process in a given year of a review cycle should be carried out by the drawing of lots at the beginning of each review cycle. Furthermore, paragraph 19 of the terms of reference provides that “the selection of the reviewing States parties shall be carried out by the drawing of lots at the beginning of each year of the cycle, with the understanding that States parties shall not undertake mutual reviews”.根据联合国反腐败公约实施情况审议机制职权范围第14段,每个审议周期开始时,应当通过抽签选定在审议周期某一年参加审议进程的缔约国。 此外,职权范围第19段规定,“应当本着缔约国不得相互审议这一谅解,在审议周期每一年年初通过抽签选定审议缔约国。”
In its resolution 4/1, the Conference endorsed the practice followed by the Implementation Review Group with regard to the procedural issues arising from the drawing of lots.缔约国会议第4/1号决议核可了实施情况审议组对于抽签所产生的程序问题采取的做法。
At its fourth session, the Group requested the secretariat to prepare a compilation of procedural requirements and practice regarding the drawing of lots, for the Conference at its fifth session (that compilation is contained in document CAC/COSP/2013/16).审议组第四届会议请秘书处编写一份关于抽签的程序性要求和做法的汇编,供缔约国会议第五届会议审议(该汇编载于CAC/COSP/2013/16号文件)。
Sixty-two country reviews began on 1 July 2013, following the drawing of lots held at the first part of the fourth session of the Implementation Review Group.在实施情况审议组第四届会议第一部分会议进行了抽签之后,2013年7月1日开始了62项国别审议。
A drawing of lots was held for two new States parties at the resumed fourth session of the Group, held during the fifth session of the Conference.在缔约国会议第五届会议期间举行的审议组第四届会议续会上,为两个新的缔约国举行了抽签。
Lots were drawn at the fifth session of the Group and again at its resumed fifth session to select the States parties reviewing the States parties under review in the fourth year of the current review cycle that had become party to the Convention since the fifth session of the Conference.在审议组第五届会议和第五届会议续会上,抽签选定了缔约国会议第五届会议之后加入《公约》并在本审议周期第四年接受审议的缔约国的审议缔约国。
Eight additional States are thus under review in the fourth year of the current review cycle, two of which will begin their reviews at the sixth session of the Group.这样,在本审议周期第四年,另有8个国家接受审议,对其中两个国家的审议将在审议组第六届会议上开始。
Six States have not yet performed a review in the current cycle, including the two States that had most recently become parties to the Convention.本周期内有6个国家尚未进行过审议,其中包括最近加入《公约》的两个国家。
Thirty-two States have performed or will have performed the maximum amount of three reviews.有32个国家已经或将要进行最多三次审议。
Those States are Germany and South Sudan.这些国家是德国和南苏丹。
Other States may become party to the Convention by the sixth session.其他国家可能在第六届会议之前加入《公约》。
In accordance with paragraph 21 of the terms of reference, each State party should appoint up to 15 governmental experts for the purposes of the review process.按照职权范围第21段,每个缔约国都应为审议进程最多指定15名政府专家。
At the time of writing the present report, five States parties, most of which had recently ratified or acceded to the Convention, had not yet submitted their list of governmental experts or were in the process of updating those lists.在撰写本报告之时,5个缔约国尚未提交政府专家名单或正在更新这些名单,这些国家几乎均是在最近批准或加入《公约》。
Communication was ongoing with all of those States.正在与所有这些国家进行联系。
B. Schedule and conduct of country reviewsB. 国别审议的日程表和进行情况
In its resolution 4/1, the Conference endorsed the guidelines for governmental experts and the secretariat in the conduct of country reviews, which had been finalized by the Implementation Review Group.缔约国会议第4/1号决议核可了经实施情况审议组最后审定的关于政府专家和秘书处进行国别审议的准则。
The guidelines set out indicative timelines for country reviews in order to ensure the consistency and efficiency of the review process.准则列有国别审议暂定时间表,目的是确保审议进程的一致性和效率。
The purpose of the present subsection is to provide updated information on the schedule of country reviews conducted in the first to fourth years.本小节的目的是提供第一至第四年进行的国别审议的日程表的最新信息。
There were 27 country reviews in the first year, 41 in the second year and 35 in the third year.第一年进行了27项国别审议,第二年进行了41项,第三年进行了35项。
The 62 States parties under review in the fourth year were officially informed that their reviews began on 1 July 2013.第四年接受审议的62个缔约国已得到正式通知,对其审议于2013年7月1日开始。
Six further States began their reviews after the fifth session of the Conference.另外6个国家已在缔约国会议第五届会议之后开始接受审议。
Two States have been informed in advance that their reviews will begin with the drawing of lots after the sixth session of the Group.两个国家提前得到通知,对其审议将在审议组第六届会议之后随着抽签而开始。
Initial steps of country reviews国别审议的初始步骤
Confirmation of readiness to undergo review确认是否准备接受审议
Although, in accordance with the terms of reference, they could not defer their reviews, some of the 70 States whose reviews were scheduled for the fourth year had expressed their need to delay preparations for their reviews either because they were new States parties or because they wished to take advantage of being reviewing States first in order to gain experience.虽然根据职权范围,预定于第四年接受审议的70个国家不得推迟其审议,但其中有些国家表示需要推迟其审议筹备工作,或者因为它们是新的缔约国,或者因为它们希望利用先担任审议国取得经验。
Those included two new States parties whose reviews were scheduled for the fourth year and would commence after the sixth session of the Group.这些国家包括其审议预定于第四年进行并将在审议组第六届会议之后开始的两个新的缔约国。
Appointment of a focal point to coordinate the participation of a State party under review指定负责协调受审议缔约国参加审议的联络点
In accordance with paragraph 17 of the terms of reference and paragraph 13 of the guidelines, within three weeks of officially being informed, a State party under review should appoint a focal point, and should inform the secretariat accordingly, to coordinate its participation in the review.根据职权范围第17段和准则第13段,受审议缔约国在正式获知后三个星期内应当指定一个负责协调其参加审议事宜的联络点,并相应通知秘书处。
Late nominations of focal points have caused considerable delays in country reviews.过迟提名联络点使国别审议严重延迟。
In its resolution 4/1, the Conference urged States parties under review to ensure the timely nomination of their focal points in accordance with the guidelines.缔约国会议在第4/1号决议中促请受审议缔约国确保按照准则的规定及时提名联络点。
At the time of writing, two States under review in the fourth year had not yet nominated their focal points (see figure I), and several States parties changed their focal points during the course of the review.在编写本文件之时,两个第四年接受审议的国家尚未提名其联络点(见图一),7个缔约国在审议过程中变更了联络点。
Some previously nominated focal points had become unresponsive and steps were being taken by the secretariat to re-establish contact or bring the matter to the attention of the States concerned by note verbale.一些以前提名的联络点不作回应,秘书处正在采取步骤重新建立联系,或通过普通照会提请有关国家注意此事。
With regard to the background of the focal points, they were from national anti-corruption bodies, ministries of justice and other national authorities, including ministries for foreign affairs or modernization.关于联络点的背景,它们来自国家反腐败机构、司法部和其他国家主管机关,包括外交部或现代化部。
In the second, third and fourth years, several States established interministerial or coordination committees to oversee and conduct the review process at the national level.在第二、第三和第四年,若干国家建立了部际委员会或协调委员会,以在国家一级监督和开展审议进程。
Several focal points made their contact details available at the national level.若干联络点提供了在国家一级的详细联络信息。
Nomination of focal points提名联络点情况
Communication of contact details of governmental experts by reviewing States parties and organization of the initial teleconference审议缔约国发送政府专家详细联系信息和初始电话会议的组织安排
Paragraph 16 of the guidelines provides that a telephone conference or videoconference should be held within one month of the State party under review officially being informed of the beginning of the conduct of the country review.准则第16段规定,应当在受审议缔约国正式获知开始进行国别审议之后一个月内举行一次电话会议或视频会议。
The teleconference involves the State party under review, the reviewing States parties and the secretariat staff assigned to the country review.该电话会议涉及受审议缔约国、审议缔约国和给国别审议分派的秘书处工作人员。
With a view to organizing the initial teleconference, the secretariat requests reviewing States parties to designate contact persons among their governmental experts and to communicate their contact details.为了组织初始电话会议,秘书处请审议缔约国在其政府专家当中指定一些联系人,并发送其详细联系信息。
In most reviews, delays were experienced in the organization of the initial teleconference.在大多数审议中,初始电话会议的组织安排出现了延迟。
Such delays were due, inter alia, to the late communication of contact details of the governmental experts or changes of reviewing experts after the beginning of the review, and in some cases because of redraws.此类延误除其他外是由于政府专家详细联系信息发送过迟,或在审议开始之后变更审议专家,一些情况下,是由于重新抽签。
Where feasible, introductions took place on the margins of the sessions of the Group, and in some reviews where time differences between the States did not enable direct contact, the teleconferences were replaced by an exchange of e-mails.在可行情况下,在审议组届会间隙举行了几次介绍会,在有些审议中,国家之间有时差,使得无法进行直接联系,电话会议被交换电子邮件所取代。
Self-assessment自评
According to paragraph 15 of the guidelines, the State party under review, within two months of being officially informed of the beginning of the conduct of the review, is to provide the secretariat with its response to the comprehensive self-assessment checklist.根据准则第15段,受审议缔约国在接到关于开始进行审议的正式通知后两个月内,应向秘书处提供其对综合自评清单的答复。
The date for the submission of the self-assessment checklist is discussed during initial teleconferences.在初始电话会议期间讨论了提交自评清单的日期。
In several cases, States parties under review indicated that they would require more time to complete the self-assessment, taking into account, inter alia, technical constraints and the need for inter-agency coordination.有几次,受审议缔约国表示,除其他外考虑到技术上的限制及机构间协调的需要,需要用更多的时间完成自评工作。
This was often the case for States under review in the fourth year that had recently become parties to the Convention.最近加入《公约》的第四年受审议国往往是这种情况。
For the 35 reviews that were initiated in the third year of the current review cycle, two completed responses to the self-assessment checklist were pending at the time of writing this report.在本审议周期第三年启动的35项审议中,在本报告撰写之时,还有两份对自评清单的完整答复尚未收到。
For the reviews in the fourth year, 53 responses to the checklist had been received.关于第四年的审议,已收到对清单的答复53份。
The rest were still pending and active follow-up was being undertaken to ensure their submission, including by providing assistance through United Nations Office on Drugs and Crime (UNODC) field offices and partners.其余的则仍未完成提交,正在积极采取后续行动,以确保提交这些答复,包括为此通过联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)各外地办事处以及合作伙伴提供援助。
Several States parties had sought assistance from the secretariat in order to complete their checklist responses in accordance with paragraph 16 of the terms of reference.一些缔约国根据职权范围第16段寻求秘书处帮助完成其清单答复。
In 2014, for example, 12 States parties availed themselves of such assistance.例如,2014年,有12个缔约国利用了此类帮助。
States parties under review in the third and fourth years were taking longer than provided for by the terms of reference and longer than in previous years to complete their responses to the self-assessment checklist (see figure II).第三和第四年受审议缔约国完成对自评清单的答复花费的时间比职权范围规定的时间要长,比往年花费的时间更长了(见图二)。
However, in general their responses contained more complete information, including case law and statistics.不过,总体而言,它们的答复所载信息更为完备,其中包括案例法和统计数据。
Several States had set up coordination committees and held drafting and validation workshops for their responses.若干国家建立了协调委员会,就其答复举办了起草和确认讲习班。
Self-assessment checklist submissiona提交自评清单答复情况a
a The fact that a higher percentage of States parties under review during the fourth year submitted their responses to the self-assessment checklist more than six months after being officially informed of the review was partially due to the fact that substantive work on some reviews had been staggered and was partly conducted during the second half of the year, for instance in the case of new States parties.a第四年受审议缔约国有较高比例在得到关于审议的正式通知之后超过六个月提交了对自评清单的答复,其中部分原因是一些审议的实质工作被错开,这些工作有一部分是在下半年进行的,例如新的缔约国就是这样。
With regard to consultations with national stakeholders and publication of responses to the comprehensive self-assessment checklist, several States parties under review in the first to fourth years informed the secretariat of such consultations.关于同各国利益攸关方之间的协商以及公布对综合自评清单的答复,第一至第四年的几个受审议缔约国向秘书处通报了此类协商的情况。
Several more had circulated their responses to relevant stakeholders and/or posted the responses on national websites for comment, or on the UNODC website.另有几个受审议缔约国向相关利益攸关者分发其答复,并(或)在国家网站上刊载答复以供评论,或在毒品和犯罪问题办公室网站上公布。
Several States had included national stakeholders in the national committees set up to coordinate and oversee the review process.若干国家在其设立的负责协调和监督审议进程的国家委员会中纳入了国家利益攸关方。
Desk review桌面审议
According to paragraph 21 of the guidelines, within one month of the receipt of the response to the comprehensive self-assessment checklist and any supplementary information provided by the State party under review, governmental experts should submit to the secretariat the outcome of the desk review.根据准则第21段,在收到对综合自评清单的答复以及受审议缔约国提供的任何补充信息后的一个月内,政府专家应当向秘书处提交桌面审议的结果。
At the time of writing, a few desk reviews of the responses to the self-assessments for the second and third years were pending, owing, inter alia, to the late submission of information and translation difficulties.在撰写本报告之时,由于信息提交过迟及翻译上的困难等原因,对第二和第三年自评答复的几项桌面审议还未进行。
The desk reviews of responses to the self-assessments for four country reviews in the fourth year were pending even though the responses to the self-assessment checklist had been provided to the experts.对第四年4项国别审议的自评答复的桌面审议尚未进行,尽管已将对自评清单的答复提供给专家。
The desk reviews were increasingly being submitted in the blueprint format, thus allowing the reviewers and the secretariat to work on a single consolidated document.越来越多的桌面审议是以蓝图格式提交的,从而使得审议国和秘书处能够在单一合并文件基础上开展工作。
While that practice was welcomed by States, in cases where the review was carried out in more than one language, maintaining parallel language versions of working documents was at times not practicable.虽然这一做法受到各国欢迎,但在以一种以上语文进行审议的情况下,保持各平行语文版本的工作文件有时不可行。
Further means of direct dialogue进一步的直接对话手段
Pursuant to paragraph 24 of the guidelines, if agreed by the State party under review, the desk review should be complemented by any further means of direct dialogue, such as a country visit or a joint meeting at the United Nations Office at Vienna.依照准则第24段,如受审议缔约国同意,桌面审议应当辅之以任何进一步的直接对话手段,例如国别访问或在联合国维也纳办事处举行联席会议。
Out of 173 countries under review, including the 8 additional countries whose reviews had started after the fourth session of the Group, 122 countries that had agreed to further means of direct dialogue had already carried out country visits or joint meetings.在173个受审议国中,包括其审议将在审议组第四届会议之后开始的另外8个国家在内,同意采取进一步直接对话手段的122个国家已经落实国别访问或举行联席会议。
At the time of writing this report, a further 11 country visits had already been scheduled.在撰写本报告之时,已安排了另外11次国别访问的日程。
For the 27 States parties under review in the first year, 24 country visits and two joint meetings in Vienna had taken place.在第一年的27个受审议缔约国中,进行了24次国别访问,在维也纳举行了两次联席会议。
For the 41 States parties under review in the second year, 34 country visits and three joint meetings in Vienna had taken place, and another four States under review had agreed to further means of direct dialogue, one of which was to be held before the sixth session of the Group.在第二年的41个受审议缔约国中,进行了34次国别访问,在维也纳举行了三次联席会议,另有4个受审议国同意采取直接对话手段,其中一次将于审议组第六届会议之前举行。
For the 35 States parties under review in the third year, 26 country visits and three joint meetings had taken place, and most States had agreed to further means of dialogue, of which several were in various stages of planning.在第三年的35个受审议缔约国中,进行了26次国别访问,举行了三次联席会议,大多数国家同意采取进一步的直接对话手段,其中几个处于不同的规划阶段。
For States under review in the fourth year, 28 country visits and two joint meetings had taken place (see figure III).在第四年的受审议缔约国中,进行了28次国别访问,举行了两次联席会议(见图三)。
Further means of direct dialogue between countries国家间进一步的直接对话手段
In accordance with paragraph 24 of the guidelines, a country visit is planned and organized by the State party under review.根据准则第24段,国别访问由受审议缔约国规划和组织。
Focal points draft the agenda and submit it to the reviewers and the secretariat prior to the country visit.各个联络点起草议程并在进行国别访问之前提交审议国和秘书处。
Out of all country visits conducted, 85 per cent included sessions with other stakeholders (see figure IV), in accordance with paragraph 30 of the terms of reference.根据职权范围第30段,有已进行的所有国别访问中,85%包括与其他利益攸关方之间的会议(见图四)。
In some cases those sessions were organized in the form of panels that included representatives of civil society, the private sector, academia, trade associations and other national stakeholders.在一些情况下,这些会议是以讨论小组形式组织的,其中包括民间社会、私营部门、学术界、行业协会和其他国家利益攸关方的代表。
In other cases such stakeholders were represented by members of national coordinating committees.在另一些情况下,这些利益攸关方由国家协调委员会的成员代表。
Engagement with stakeholders during country visits在国别访问中与利益攸关方接触
Pursuant to paragraph 33 of the terms of reference and paragraph 30 of the guidelines, the reviewing governmental experts are to prepare a country review report, and an executive summary of that report, in close cooperation and coordination with the State party under review and assisted by the secretariat.依照职权范围第33段和准则第30段,负责审议的政府专家将与受审议缔约国密切合作和协调,在秘书处帮助下编拟一份国别审议报告和该报告内容提要。
The report should identify successes, good practices and challenges, and make observations for the implementation of the Convention.该报告应当列举成功经验、良好做法和挑战,并就《公约》的实施情况发表意见。
Where appropriate, the report should include the identification of technical assistance needs for the purpose of improving the implementation of the Convention.该报告应当视情况为改进《公约》实施情况而列明技术援助需要。
A total of 83 executive summaries and 72 country reports had been completed at the time of writing.在撰写本报告之时,已完成了内容提要共计83份、国别报告共计72份。
The executive summaries of the country review reports had been placed online, both as part of the documentation of the Group and on the country profile page (www.unodc.org/unodc/en/treaties/CAC/country-profile/index.html) for ease of reference.国别审议报告的内容提要已在线发布,既作为审议组文件的一部分,又在国家概况页面(www.unodc.org/unodc/en/treaties/CAC/country-profile/index.html)上发布,以便于参考。
At the time of writing, 25 executive summaries had been finalized and made available to the Group for the reviews in the first year and the remaining two were in process.在撰写本报告之时,关于第一年的审议,25份内容提要已审定并提交审议组,剩余的两份正在处理当中。
For reviews in the second year, 31 executive summaries had been finalized and made available to the Group, with several more to be submitted for processing.关于第二年的审议,31份内容提要已审定并提交审议组,还有几份将提交处理。
For the third year, 20 executive summaries had been finalized and made available to the Group and several more were to be submitted for processing, and for the fourth year, 8 executive summaries had been finalized and made available and several more were to be submitted for processing.关于第三年,20份内容提要已审定并提交审议组,还有几份将提交处理,关于第四年,8份内容提要已审定并提交,还有几份将提交处理。
In several cases, agreement had been reached on the findings contained in the draft executive summary before finalization of the full country review report.在有些情况下,在最后审定正式国别审议报告之前已就内容提要草案所载结论达成共识。
The final agreement on the reports had been delayed in some cases by the need for further consultation at the national level, or for validation by parliaments or councils of ministers.在有些情况下,由于需要在国家一级进一步协商或需要议会或部长理事会确认,关于报告的最终共识有所延迟。
The length of the country review reports, depending on the language and number of annexes, ranged from approximately 100 pages to over 500 pages.国别审议报告的长度取决于语文和附件数目,从大约100页到超过500页不等。
While many governmental experts agreed to conduct the review in a language other than their preferred language, 105 out of 173 reviews involved at least two official languages of the United Nations.虽然许多政府专家同意用首先语文以外的一种语文进行审议,但173项审议中有105项涉及至少两种联合国正式语文。
Of the States that had completed their review, 34 requested the secretariat to post their country review reports on their profile page on the UNODC website, and several more informed the secretariat that they had made their reports available at the national level.在已完成审议的国家当中,有34个国家请秘书处将其国别审议报告刊载于毒品和犯罪问题办公室网站上本国概况页面,还有几个国家告知秘书处已在国家一级公布其报告。
For details on the cost of translation see CAC/COSP/IRG/2015/4.关于翻译费的详细情况,见CAC/COSP/IRG/2015/4。