Table Of ContentADB/OECD Anti-Corruption Initiative for Asia and the Pacific
MUTUAL LEGAL
ASSISTANCE,
EXTRADITION
AND RECOVERY
OF PROCEEDS
OF CORRUPTION
IN ASIA AND
THE PACIFIC
Frameworks and Practices in 27 Asian and Pacific Jurisdictions
Thematic Review – Final Report
Australia – Bangladesh – Cambodia – P.R. China – Cook Islands – Fiji Islands
Hong Kong, China – India – Indonesia – Japan – Republic of Kazakhstan
Republic of Korea – Kyrgyz Republic – Macao, China – Malaysia – Mongolia
Nepal – Pakistan – Palau – Papua New Guinea – Philippines – Samoa – Singapore
Sri Lanka – Thailand – Vanuatu – Vietnam
Asian Development Bank
Organisation for Economic Co-operation and Development
Publications of the ADB/OECD Anti-Corruption Initiative for Asia and the Pacific:
– Curbing Corruption in Public Procurement in Asia and the Pacific: Progress and
Challenges in 25 Countries. Manila: ADB/OECD, 2006.
– Denying Safe Haven to the Corrupt and the Proceeds Corruption: Enhancing Asia-
Pacific Cooperation on Mutual Legal Assistance, Extradition, and Return of the Proceeds
of Corruption. Manila: ADB/OECD, 2006.
– Anti-Corruption Policies in Asia and the Pacific: Progress in Legal and Institutional Reform
in 25 Countries. Manila: ADB/OECD, 2006.
– Knowledge – Commitment – Action against Corruption in Asia and the Pacific.
Proceedings of the 5th Regional Anti-Corruption Conference held in Beijing, People’s
Republic of China, in September 2005. Manila: ADB/OECD, 2006.
– Anti-Corruption Action Plan for Asia and the Pacific with country endorsing statements.
Manila: ADB/OECD (2002; reprinted 2005).
– Curbing Corruption in Tsunami Relief Operations. Manila: ADB/OECD/TI, 2005 (available
in English, Bahasa, Sinhala, and Tamil languages).
– Controlling Corruption in Asia and the Pacific: Proceedings of the 4th Regional Anti-
Corruption Conference held in Kuala Lumpur, Malaysia, in December 2003. Manila:
ADB/OECD, 2005.
– Anti-Corruption Policies in Asia and the Pacific: The Legal and Institutional Frameworks.
Manila: ADB/OECD, 2004.
– Effective Prosecution of Corruption. Manila: ADB/OECD, 2003.
– Taking Action against Corruption in Asia and the Pacific: Proceedings of the 3rd
Regional Anti-Corruption Conference held in Tokyo, Japan, in 2001. Manila: ADB/OECD,
2002.
– Progress in the Fight against Corruption in Asia and the Pacific: Proceedings of the 2nd
Regional Anti-Corruption Conference held in Seoul, Korea, in 2000. Manila: ADB/OECD,
2001.
– Combating Corruption in Asia and the Pacific: Proceedings of the Manila workshop held
in 1999. Manila: ADB/OECD, 2000.
These documents are available for download from the Initiative’s Web site at
http://www.oecd.org/corruption/asiapacific/publications
2008 Asian Development Bank, Organisation for Economic Co-operation and
Development
All rights reserved
ISBN 978-92-64-04370-1
This publication was prepared by the Secretariat of the ADB/OECD Anti-Corruption
Initiative for Asia and the Pacific, composed of Asian Development Bank (ADB) and
Organisation for Economic Co-operation and Development (OECD) staff. The
findings, interpretations, and conclusions expressed in it do not necessarily represent
the views of ADB or those of its member governments or of the OECD or its member
countries. ADB and OECD do not guarantee the accuracy of the data included in this
publication and accept no responsibility whatsoever for any consequences of their
use. The term “country” does not imply any judgment by the ADB or the OECD as to
the legal or other status of any territorial entity.
Contents
List of Tables ................................................................................................................... 7
Abbreviations and Acronyms ................................................................................... 11
Foreword ....................................................................................................................... 15
Executive Summary .................................................................................................... 19
Part 1 Mutual Legal Assistance, Extradition and Recovery of Proceeds
of Corruption in the Asia-Pacific Region—a comparative
overview ......................................................................................................... 23
Introduction .................................................................................................................. 25
I. The Legal Basis for Rendering Extradition and MLA ....................................... 27
A. Treaty-based Cooperation ............................................................................ 27
1. Bilateral Treaties.......................................................................................... 28
2. Multilateral Treaties .................................................................................... 28
a. United Nations Convention against Corruption ............................. 29
b. OECD Convention on Combating Bribery of Foreign Public
Officials in International Business Transactions ................................ 30
c. Southeast Asian Mutual Legal Assistance i
n Criminal Matters Treaty .................................................................... 30
d. United Nations Convention against Transnational
Organized Crime .................................................................................. 30
e. Commonwealth of Independent States Conventions
on Legal Assistance and Legal Relationship
in Civil, Family and Criminal Matters ................................................. 31
B. Non-treaty Based Arrangements.................................................................. 32
1. Cooperation Based on Domestic Law .................................................. 32
2. Cooperation among Commonwealth Countries ................................ 33
3. Cooperation among Member Countries of the Pacific
Islands Forum .............................................................................................. 33
4. Judicial Assistance and Letters Rogatory .............................................. 33
C. MLA in Extradition Treaties and Legislation ................................................. 34
II. Legal Limitations and Preconditions to Cooperation .................................... 37
A. Extradition of Nationals ................................................................................... 37
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4 Mutual Legal Assistance, Extradition and Recovery of Proceeds of Corruption
B. Extradition and MLA Offenses—Severity and Dual Criminality ............... 39
1. Severity ......................................................................................................... 40
2. Dual Criminality .......................................................................................... 42
C. Reciprocity ........................................................................................................ 45
D. Evidentiary Tests ............................................................................................... 45
E. Specialty and Use Limitation ......................................................................... 48
F. Grounds for Denying Cooperation .............................................................. 49
1. Essential and Public Interests ................................................................... 49
2. Political Offenses ........................................................................................ 51
3. Double Jeopardy/On-going Proceedings and Investigations in
the Requested State ................................................................................. 53
4. Offense Committed Wholly or Partly in the Requested State ........... 55
5. Nature and Severity of Punishment ........................................................ 57
6. Bank Secrecy .............................................................................................. 58
III. Procedures and Measures to Facilitate Extradition and MLA ...................... 61
A. Preparing, Transmitting and Executing Requests ...................................... 61
1. Preparation of Outgoing Requests ......................................................... 61
2. Language of the Request and Translation ........................................... 62
3. Formal Transmission of Requests for Cooperation and Evidence..... 63
a. Transmission through the Diplomatic Channel ............................... 63
b. Transmission through Central Authorities ......................................... 64
c. Transmission between Law Enforcement Agencies ...................... 66
4. Urgent Procedures for Extradition and MLA.......................................... 66
a. Provisional Arrest as an Emergency Measure for Extradition ....... 66
b. Urgent MLA Requests ........................................................................... 68
5. Approval and Execution of Incoming Requests .................................. 69
6. Participation of Foreign Authorities in Executing Requests ................ 70
7. Use of Liaison Personnel ............................................................................ 71
B. Procedural Measures for Enhancing Extradition and MLA ...................... 73
1. Simplified Extradition through Endorsement of Warrants and
Consent Extradition ................................................................................... 73
2. Appeals........................................................................................................ 75
3. Time Requirements .................................................................................... 75
C. Alternatives to Formal MLA and Extradition ............................................... 77
IV. Recovery of Proceeds of Corruption in Criminal Proceedings .................... 79
A. Legal Basis for Assistance ............................................................................... 80
B. Procedures ........................................................................................................ 81
1. Tracing and Identification of Assets ....................................................... 82
2. Freezing and Seizure .................................................................................. 82
3. Confiscation to the Requested State .................................................... 84
4. Repatriation to the Requesting State .................................................... 86
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Contents 5
Conclusions and Recommendations ...................................................................... 89
Part 2 Frameworks and Practices for Mutual Legal Assistance,
Extradition and Recovery of Proceeds in 27 Asian
and Pacific Jurisdictions .............................................................................. 93
Australia ................................................................................................................. 95
Bangladesh ......................................................................................................... 107
Cambodia ........................................................................................................... 113
P.R. China ............................................................................................................ 117
Cook Islands ........................................................................................................ 125
Fiji Islands .............................................................................................................. 133
Hong Kong, China ............................................................................................. 143
India ...................................................................................................................... 153
Indonesia ............................................................................................................. 161
Japan ................................................................................................................... 169
Kazakhstan .......................................................................................................... 177
Korea .................................................................................................................... 183
Kyrgyz Republic .................................................................................................. 191
Macao, China .................................................................................................... 197
Malaysia ............................................................................................................... 207
Mongolia.............................................................................................................. 219
Nepal .................................................................................................................... 225
Pakistan ................................................................................................................ 229
Palau .................................................................................................................... 237
Papua New Guinea .......................................................................................... 245
Philippines ............................................................................................................ 253
Samoa .................................................................................................................. 261
Singapore ............................................................................................................ 269
Sri Lanka ............................................................................................................... 277
Thailand ............................................................................................................... 287
Vanuatu ............................................................................................................... 297
Vietnam ............................................................................................................... 305
Annexes ...................................................................................................................... 311
A. Matrix on Extradition Arrangements between Members of the
ADB/OECD Anti-Corruption Initiative ......................................................... 312
B. Matrix on MLA Arrangements between Members of the
ADB/OECD Anti-Corruption Initiative ......................................................... 314
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6 Mutual Legal Assistance, Extradition and Recovery of Proceeds of Corruption
C. Matrix on Extradition Arrangements between Members
of the ADB/OECD Anti-Corruption Initiative and Parties
to the OECD Convention ............................................................................. 316
D. Matrix on MLA Arrangements between Members
of the ADB/OECD Anti-Corruption Initiative and Parties
to the OECD Convention ............................................................................. 319
ADB/OECD Anti-Corruption Initiative for Asia-Pacific
Secretariat Contacts ................................................................................................ 321
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List of Tables
Table 1: Selected Members of the Initiative with Legislation Allowing
Extradition and MLA without a Treaty ................................................ 32
Table 2: Selected Extradition Legislation and Treaties in Asia-Pacific
Which Permit Search, Seizure and Transmission of Evidence
and Property Derived from Corruption and Related
Offenses ................................................................................................... 35
Table 3: Selected Legislation and Treaties which Deny Extradition of
Nationals .................................................................................................. 38
Table 4: Selected Extradition Treaties and Legislation with a Severity
Criterion .................................................................................................... 40
Table 5: Selected Extradition Legislation and Treaties with a
Conduct-Based Definition of Dual Criminality .................................. 42
Table 6: Dual Criminality in Selected MLA Arrangements ............................. 43
Table 7: Selected Legislation which Requires Reciprocity for MLA
without a Treaty ...................................................................................... 45
Table 8: Evidentiary Tests in Selected Extradition Legislation and
Treaties ..................................................................................................... 46
Table 9: Selected Extradition Legislation and Treaties which Require
Specialty .................................................................................................. 48
Table 10: Selected MLA Legislation and Treaties which Impose Use
Limitation for Incoming Requests ........................................................ 49
Table 11: Selected MLA Legislation and Treaties in which Essential
Interests Are Considered ....................................................................... 50
Table 12: Selected Extradition Legislation and Treaties which Allow
Denial of Cooperation for Political Offenses .................................... 51
Table 13: Selected MLA Legislation and Treaties which Allow Denial of
Cooperation for Political Offenses ...................................................... 52
Table 14: Selected Extradition Legislation and Treaties which Exclude
the Political Offenses Exception Due to Obligations under
Multilateral Instruments ......................................................................... 53
Table 15: Selected Legislation and Treaties which Deny Extradition on
Grounds of Double Jeopardy and/or Concurrent
Proceedings ............................................................................................ 54
Table 16: Selected Legislation and Treaties which Deny MLA on
Grounds of Double Jeopardy .............................................................. 54
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8 Mutual Legal Assistance, Extradition and Recovery of Proceeds of Corruption
Table 17: Selected Legislation and Treaties which Allow MLA to Be
Denied or Delayed Because of On-going Proceedings in
the Requested State .............................................................................. 54
Table 18: Selected Legislation and Treaties which May Deny
Extradition for an Offense Committed Wholly or Partly in the
Requested State ..................................................................................... 56
Table 19: Selected Legislation and Treaties which May Deny
Extradition for an Offense over which the Requested State
Has Jurisdiction to Prosecute ............................................................... 56
Table 20: Selected Legislation and Treaties which Deny Extradition
Because of the Death Penalty (Unless the Requesting State
Provides Assurances) ............................................................................. 57
Table 21: Selected Legislation and Treaties which Deny Extradition
Because of Torture or Cruel, Inhuman or Degrading
Punishment .............................................................................................. 57
Table 22: Selected Legislation and Treaties which Deny MLA in
Relation to an Offense Punishable by Death ................................... 58
Table 23: Selected Members of the Initiative that Accept Incoming
MLA Requests in English (Subject to Treaty) ...................................... 62
Table 24: Selected Extradition and MLA Legislation and Treaties which
Require Communication through Diplomatic Channels
(Except Possibly in Urgent Cases) ....................................................... 64
Table 25: Selected MLA Legislation and Treaties which Allow Direct
Transmission of Requests between Central Authorities ................... 64
Table 26: Information Available on the Internet (See Part 2 for Web
Site Addresses) ........................................................................................ 65
Table 27: Selected Extradition Legislation and Treaties which Provide
for Provisional Arrests ............................................................................. 67
Table 28: Selected MLA Legislation and Treaties with Urgent
Procedures .............................................................................................. 69
Table 29: Selected MLA Legislation and Treaties which Allow
Requesting State to Participate in Proceedings to Take
Evidence .................................................................................................. 71
Table 30: Selected Legislation and Treaties that Provide for Consent
Extraditions............................................................................................... 74
Table 31: Selected Extradition Legislation which Gives Requesting
States a Right of Appeal ....................................................................... 75
Table 32: Selected Legislation that Imposes Time Limits for the
Government on Surrender ................................................................... 76
Table 33: Selected Legislation and Treaties which Expressly Provide
MLA in Relation to Proceeds of Crime ................................................. 80
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List of Tables 9
Table 34: Selected Legislation and Treaties under which Signatories
Endeavor to Trace and Identify Proceeds of Crime upon
Request .................................................................................................... 82
Table 35: Selected Legislation and Treaties under which Signatories
Must Freeze Proceeds upon Discovery .............................................. 83
Table 36: Prerequisites for Enforcing a Foreign Freezing Order in
Selected Members of the Initiative ..................................................... 84
Table 37: Prerequisites for Enforcing a Foreign Confiscation Order in
Selected Legislation and Treaties ....................................................... 85
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