Basel Institute on Governance Working Papers
The Basel Institute on Governance Working Paper series (ISSN: 2624-9650) publishes research and analysis on corruption, asset recovery, anti-money laundering, business integrity and anti-corruption Collective Action, public governance, environmental crime and related fields. Established in 2003, the series combines scholarly rigour with the practical experience of the Basel Institute and its partners working on anti-corruption and asset recovery around the world. Working Papers are aimed at policymakers, practitioners and researchers.
Working Paper 62: Corruption sanctions: What governments need to know
How can governments respond to serious corruption when those responsible are beyond the reach of the law? Some governments have turned to corruption sanctions to address this issue. This Working Paper examines how corruption sanctions – tools that allow governments to impose asset freezes and travel bans on individuals suspected of corruption without any finding of guilt in a court – have evolved over the past decade, and offers recommendations for their more effective and legitimate use. Advantages and limitations of corruption sanctions Corruption sanctions emerged primarily to address situations where notoriously corrupt individuals enjoy impunity within their own legal systems. Their key strengths lie in their flexibility and versatility: p:first-child]:mt-0">they can be applied regardless of any geographical link between the sanctioning state and the alleged corruption, based on relatively low evidentiary thresholds; and p:first-child]:mt-0">they can serve a wide range of objectives – from disrupting and deterring corrupt activity to condemning corruption, facilitating asset recovery and signalling support for another country’s law enforcement efforts. However, the paper also highlights important limitations. Corruption sanctions are often wielded without a clear post-imposition strategy. And: their inherent flexibility comes with due process trade-offs, including broad governmental discretion and limited judicial oversight. Recommendations Drawing on an extensive analysis of the experiences of key jurisdictions – including the US, UK, EU, Canada and Australia – the author puts forward nine recommendations for governments on how to design and maintain credible and effective corruption sanctions regimes. These include publishing clear criteria for high-priority targets, strengthening transparency around licensing and delisting decisions, and exploring sanctions against professional enablers in major financial centres. The paper is aimed primarily at policymakers but will also be of interest to anti-corruption activists, private-sector financial crime specialists and academics. About this paper This paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. This is a publication of the International Centre for Asset Recovery (ICAR) at the Basel Institute on Governance. ICAR receives core funding from the Governments of Jersey, Liechtenstein, Norway, Switzerland and the UK. The contents are the sole responsibility of the author and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Moiseienko, Anton. 2026. 'Corruption sanctions: What governments need to know.' Working Paper 62, Basel Institute on Governance. Available at: https://baselgovernance.org/resources/publications/wp-62
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At the 8th session of the Conference of the States Parties to the United Nations Convention against Corruption (UNCAC), in December 2019, States Parties adopted a resolution recognising the relationship between corruption and environmental crimes. Resolution 8/12 – Preventing and combating corruption as it relates to crimes that have an impact on the environment – is a landmark Resolution. With its 23 operative paragraphs (OPs), it underlies the importance of addressing corruption linked to crimes that have an impact on the environment. It urges States Parties to prevent, investigate and prosecute corruption offences where they may be linked to crimes that have an impact on the environment. Saplings of hope presents an updated overview of emerging and promising prevention and enforcement actions, initiatives and measures implemented by UNCAC States Parties to combat corruption as it pertains to crimes that have an impact on the environment. It focuses specifically on initiatives from 2024 and 2025. The Working Paper also underscores the valuable contributions made by non-state actors, in particular civil society, academia and the media, in this collective endeavour. Finally, it makes the case for a paradigm shift, moving from "corruption as it relates to crimes that have an impact on the environment" to "corruption that has an impact on the environment". The shift is necessary, because corruption can harm the environment without being linked to a crime that has an impact on the environment. Section 5 thus explores two interconnected issues which have a devastating impact on the environment: corruption linked to climate finance and renewable energy as well as corruption tied to the exploitation of critical minerals. About this Working Paper This report is part of the Green Corruption programme at the Basel Institute on Governance and was prepared in the context of the 11th Conference of the States Parties to the UN Convention against Corruption in Doha, Qatar, from 14–19 December 2025. It provides an update to Working Paper 50, 'Seedlings of hope: Addressing corruption linked to crimes that impact the environment in line with UNCAC Resolution 8/12’, which was prepared in the context of CoSP10 in Atlanta, Georgia, US in 2023. The report is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650. You may share or republish the report under a Creative Commons CC BY-NC-ND 4.0 licence. It was made possible by the generous support of the Principality of Liechtenstein. The contents are the sole responsibility of the authors and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Lemaître, Sophie. 2025. ‘Saplings of hope: Addressing corruption that has an impact on the environment in line with UNCAC Resolution 8/12 and beyond.’ Working Paper 61, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-61.
Working Paper 60: Understanding the enemy
Corruption is not simply about individual misconduct. It is a networked phenomenon that arises from entrenched social, economic and political interactions. It is orchestrated through coordination between groups and clusters of individuals. This Working Paper explores the networked nature of corruption and the opportunities this presents for anti-corruption efforts. The aim is to understand how shifting the unit of analysis from individuals to networks helps to understand the persistence and resilience of corruption, while opening up new anti-corruption perspectives. A meta-analysis of findings from more than 15 years of research on informal networks and corruption underpins the conceptualisation of corrupt networks. The paper argues that a focus on networks helps to shed light on the functionality of corruption – from petty bribery to large-scale public procurement fraud – and the underlying social norms that enable it. Understanding the structures, functions and modus operandi of the informal networks associated with corruption and applying the network logic to anti-corruption strategies can help to achieve better outcomes. The paper specifically looks at anti-corruption Collective Action initiatives, suggesting that these should emulate positive aspects of informal networks. About this Working Paper This paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. The contents are the sole responsibility of the authors and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Baez Camargo, Claudia, and Jacopo Costa. 2025. 'Understanding the enemy: Insights from corrupt networks to improve anticorruption Collective Action initiatives.'Working Paper 60, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-60.
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Working Paper 59: Using corrupt proceeds to fight corruption
Only a handful of states have been actively pursuing the enforcement of foreign bribery. Switzerland is one of them and its efforts to crack down on this offence is commendable. Between 2011 and 2024, Switzerland issued 14 final judicial orders at a federal level against Swiss-linked companies that engaged in foreign bribery. In these proceedings, the companies were ordered to hand over approximately CHF 730 million (combined) in illicit profits that they had obtained through their foreign bribery schemes, and an additional CHF 30 million in fines. This paper contends that Switzerland could further leverage this success to reinforce its status as a world anti-corruption leader. It examines how Switzerland could repurpose the illicit profits obtained from companies in foreign bribery cases to benefit the countries and people most affected by these corrupt acts and to enhance global anti-corruption efforts. It outlines arguments as to why Switzerland should consider legislative action to enable the sharing of these profits in this way and the potential methodology for doing so. About this Working Paper This paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. This is a publication of the International Centre for Asset Recovery (ICAR) at the Basel Institute on Governance. ICAR receives core funding from the Governments of Jersey, Liechtenstein, Norway, Switzerland and the UK. The contents are the sole responsibility of the author and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Dornbierer, Andrew. 2025. ‘Using corrupt proceeds to fight corruption: Rethinking how Switzerland uses illicit profits from foreign bribery.’ Working Paper 59, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-59.
Working Paper 58: Corruption as a facilitator of drug trafficking in the port of Rotterdam
This Working Paper explores the drivers and strategies of corruption as a facilitator of drug trafficking in the port of Rotterdam, with a specific focus on cocaine trafficking. Through in-depth interviews with stakeholders, a review of judicial cases and desk research, it aims to: deepen understanding of the systems and mechanisms of corruption that enable drug trafficking; show how trafficking and corruption strategies are changing in response to increased enforcement pressure; and provide practical insights on how to further strengthen port resilience. It contributes to the growing body of work that looks at corruption from a systemic viewpoint, analysing the relationships and adaptive capabilities that allow organised crime to thrive. This research supports efforts to develop more robust and foresight-focused approaches to combat corruption and drug trafficking. About this Working Paper This paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. This Working Paper was written as part of the FALCON (Fight Against Largescale Corruption and Organised Crime Networks) project. FALCON is funded under the European Union’s Horizon Europe Framework Program Grant Agreement ID 101121281. The Basel Institute on Governance, as an associated partner without the right to receive funds directly from the European Research Executive Agency, has received funding from the Swiss State Secretariat for Education, Research and Innovation (SERI). The contents of this document are the sole responsibility of the authors and do not necessarily reflect the views of the European Union, the European Research Executive Agency or SERI. Suggested citation: Kassa, Saba and Jacopo Costa. 2025. ‘Corruption as a facilitator of drug trafficking in the port of Rotterdam: Drivers, strategies and implications.’ Working Paper 58, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-58.
Working Paper 57: Mapping and strengthening the evidence base for anti-corruption Collective Action
This Working Paper provides a theoretical and practical contribution to strengthening the evidence base for anti-corruption Collective Action – i.e. collaborative efforts by diverse actors from the private sector, civil society and public institutions to address integrity challenges that no single actor can resolve alone. It combines a new conceptual framework for Collective Action initiatives, updated data and practical tools. Together, these will help researchers, practitioners and policymakers compare initiatives, test assumptions and design more effective collaborations. The paper provides insights into how Collective Action works in practice; the impact of different social and political environments; how to link Collective Action with real-world improvements in corruption prevention; and whether initiatives’ activities are actually contributing to their stated goals. About this report This paper is made possible through the support of the Siemens Integrity Initiative. The paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. The contents are the sole responsibility of the authors and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Binder, Lucie, Joseph Pozsgai-Alvarez and Giovanna Rodriguez-Garcia. 2025. ‘Mapping and strengthening the evidence base for anti-corruption Collective Action: Models, metrics and insights.’ Working Paper 57, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-57.
Working Paper 56: Anti-corruption Collective Action: A typology for a new era
Since its first use by the World Bank in 2008, the concept of "anti-corruption Collective Action" has evolved into a well-established best practice to prevent corruption and strengthen business integrity. This paper captures the specific characteristics of anti-corruption Collective Action that have emerged over time and translates them into an easy-to-grasp typology that reflects both the variety and unifying principles that make up the Collective Action ecosystem. It aims to: spark new impetus for engagement; open the concept to new stakeholders, topics and environments; and support existing initiatives in developing their long-term visions and aims. In addition to supporting practitioners, updating the typology will also help strengthen the case for Collective Action as a normative corruption prevention practice. About this report The paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. The contents are the sole responsibility of the author and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Wannenwetsch, Scarlet. 2025. ‘Anti-corruption Collective Action: A typology for a new era.’ Working Paper 56, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-56.
Working Paper 55: Compensating the victims of foreign bribery
The UK is a global leader in its efforts to target foreign bribery. It is one of the only countries worldwide to use negotiated settlements such as deferred prosecution agreements (DPAs) to resolve cases and extract penalties from corporations that commit corruption abroad. The UK has also laudably committed to using the proceeds of DPAs in foreign bribery cases to compensate the victims of corruption, particularly in countries that suffer its worst effects. This paper explores why the UK’s policy of compensating the victims of foreign bribery is not achieving its intended results in practice, and proposes realistic suggestions for improvement to the extant DPA regime. It examines the conceptual, practical and political difficulties inherent in this undertaking, shining a light on how victim compensation operates in the UK and analysing judicial decisions on this issue. Finally, the paper proposes reform recommendations to strengthen the DPA regime to ensure appropriate compensation is made in foreign bribery settlements. About this report The paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons BY-NC-ND 4.0 International Licence. The paper is intended for general informational purposes and does not constitute and/or substitute legal or other professional advice. The contents are the sole responsibility of the author and do not necessarily reflect the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel. Suggested citation: Hickey, Sam. 2025. ‘Compensating the victims of foreign bribery: UK legislation, practice and recommended reforms.’ Working Paper 55, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-55. A version of this paper is also published by the Transnational Criminal Law Review.
Working Paper 54: Targeting illicit wealth through non-conviction based forfeiture
This paper explores the wide variety of non-conviction based (NCB) forfeiture laws in Latin America, with a special focus on the region’s predominant model, Extinción de dominio. It argues that NCB forfeiture legislation, which allows for the recovery of stolen assets outside of criminal proceedings, can contribute significantly to a state’s policy response to rampant economic and organised crime. The paper emphasises the importance of critically reviewing and harmonising domestic practices of NCB forfeiture around emerging standards, so that they can reach their large potential. Ensuring their alignment with international human rights and other recognised norms and rules ultimately builds trust, lends legitimacy and fosters judicial cooperation in international NCB forfeiture cases. About this report This paper is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish the Working Paper under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Suggested citation: Solórzano, Oscar. 2024. ‘Targeting illicit wealth through non-conviction based forfeiture: Identifying human rights and other standards for Latin America.’ Working Paper 54, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-54. Disclaimer This Working Paper is intended for general informational purposes and does not constitute and/or substitute legal or other professional advice. The contents are the sole responsibility of the author and do not necessarily reflect the views and the official position of the Basel Institute on Governance, its donors and partners, or the University of Basel.
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Working Paper 53: Good governance and the just transition
There is broad agreement that ensuring a just energy transition is key for achieving the trust and support from citizens needed to succeed with the green transition and the COP28 goal of tripling renewable energy capacity by 2030. This paper discusses the concept of a just transition, with a particular focus on the importance of achieving a transition that benefits both local communities and society at large. It examines the governance and corruption challenges that could jeopardise this goal and discusses how industry associations and companies in the renewable energy sector could step up its efforts to address these challenges to realise the ambition of a just transition. The paper draws on lessons from the experience of tackling governance and corruption risks in the extractive sector and sets out proposals on how to accelerate collective action in the renewable energy sector. About this report This is a guest Working Paper of the Basel Institute on Governance, ISSN: 2624-9650. You may share or republish the report under a Creative Commons CC BY-NC-ND 4.0 licence. The contents are the sole responsibility of the authors and do not necessarily reflect the official position of the Basel Institute on Governance, University of Basel or funding organisations. Suggested citation: de Vibe, Maja, and Mark Robinson. 2024. ‘Good governance and the just transition: Implications for renewable energy companies.’ Working Paper 53, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-53.
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Working Paper 52: Navigating the political context
Politics matters for the success of anti-corruption and asset recovery efforts. This Working Paper: discusses the political and governance factors that affect the performance of the justice system in relation to anti-corruption and asset recovery; provides guidance on assessing these factors systematically, including through a novel Assessment and Monitoring Framework; reveals how to use these assessments to develop adaptive strategies to strengthen the justice chain in line with changing contexts. It fills an important gap by enabling the systematic assessment and monitoring of contextual factors that impact the effectiveness of justice systems in relation to anti-corruption and asset recovery. About this research The International Centre for Asset Recovery (ICAR) at the Basel Institute on Governance works with partner countries and their enforcement and judicial authorities to strengthen asset recovery capacity, practice and policy. Building on ICAR’s track record, this paper harnesses learning and experiences on thinking and working politically to strengthen the rule of law and deter corruption. It contributes to the global conversation on strategic anti-corruption and asset recovery reforms. Feedback is welcome as ICAR continues to develop its approach and strategies: email the author or info@baselgovernance.org. Funding for this research was provided by the ICAR core donor group: the Government of Jersey, Principality of Liechtenstein, Norwegian Agency for Development Cooperation (Norad), Swiss Agency for Development and Cooperation (SDC), UK Foreign, Commonwealth & Development Office (FCDO) and UK Home Office.
Working Paper 51: Good practices in asset recovery legislation in selected OSCE participating States
Asset recovery tools are integral to combating corruption, organised crime, sanctions evasion and other profit-motivated crimes. However, in many participating States of the OSCE, the range of asset recovery tools available to law enforcement and criminal justice agencies is limited. This Working Paper identifies legislative mechanisms in OSCE participating States that empower the state to confiscate suspected or proven proceeds of crime. The overall objective is to ascertain: Established good practices with regard to the design of these legislative mechanisms. Any unique approaches that particular countries have taken in this context that could be replicated and tested in other jurisdictions. It covers: Conviction-based asset recovery mechanisms. Non-conviction based mechanisms including civil recovery. Additional mechanisms such as illicit enrichment laws and other laws that reverse the burden of proof regarding the legitimacy of assets. Considerations regarding the adoption of broader asset recovery laws. Approaches to the disposal of confiscated assets. Common challenges in the implementation of asset recovery mechanisms. About this report This comparative study was conducted and drafted by the International Centre for Asset Recovery at the Basel Institute on Governance for the Organization for Security and Co-operation in Europe (OSCE). The paper was commissioned under the extra-budgetary project ‘Strengthening asset recovery efforts in the OSCE region’ implemented by the OSCE Secretariat’s Transnational Threats Department and the Office of the Co-ordinator of OSCE Economic and Environmental Activities. It is published as part of the Basel Institute on Governance Working Paper series, ISSN: 2624-9650. You may share or republish it under a Creative Commons CC BY-NC-ND 4.0 licence. Suggested citation: Dornbierer, Andrew. 2024. ‘Good practices in asset recovery legislation in selected OSCE participating States.’ Working Paper 51, Basel Institute on Governance and Organization for Security and Co-operation in Europe (OSCE). Available at: baselgovernance.org/publications/wp-51. Disclaimer This Working Paper is intended for general informational purposes and does not constitute and/or substitute legal or other professional advice. The contents are the sole responsibility of the author and do not necessarily reflect the views and the official position of the Basel Institute on Governance, the OSCE and its participating States.
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Working Paper 50: Seedlings of hope: Addressing corruption linked to crimes that impact the environment in line with UNCAC Resolution 8/12
At the 8th session of the Conference of the States Parties to the United Nations Convention against Corruption (UNCAC), in December 2019, States parties adopted a resolution recognising the relationship between corruption and environmental crimes. Resolution 8/12 – Preventing and combating corruption as it relates to crimes that have an impact on the environment – is a landmark Resolution. With its 23 operative paragraphs (OPs), it underlies the importance of addressing corruption linked to crimes that have an impact on the environment. It urges States parties to prevent, investigate and prosecute corruption offences where they may be linked to crimes that have an impact on the environment. This Working Paper report presents a concise overview of prevention and enforcement actions, initiatives and measures implemented by UNCAC States parties between 2019 and 2023 to combat corruption as it pertains to crimes that have an impact on the environment. Section 2 focuses on prevention and Section 3 on enforcement actions. Section 4 underscores the valuable contributions made by non-state actors, in particular civil society, academia and the media in this collective endeavour. The conclusion includes a list of promising initiatives for corruption prevention and enforcement.
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Working Paper 49: Dirty deals – Case studies on corruption in waste management and trade
Waste management is a huge industry at the local, national and international levels. Public services play a key role in dealing especially with waste generated by households. Getting waste management right is essential if we are to achieve a circular economy and the Sustainable Development Goals. Complex legal frameworks and their weak implementation open up spaces for criminals to profit from illegally managing or trading in waste. The consequences on the environment and human health can be severe. The role of corruption in crimes involving waste is unexplored. An initial analysis shows the potential for corruption to play a role in: influencing policy decisions involving waste management; corrupt deals involving the selection of waste management companies linked to powerful elites; schemes to gain lucrative waste management contracts through systematic bribery; illegal imports of hazardous substances for profit, avoiding or suppressing formal controls. The report explores five case studies (Albania, Lebanon, North Macedonia, Canada–Philippines, US–South America) and proposes a typology of corruption patterns in crimes involving waste management and trade.
Working Paper 48: A collaborative approach to improve business integrity in ASEAN
This working paper provides an overview and analysis of anti-corruption Collective Action case studies in the ASEAN region. It builds on the 2014 paper: Collective Action against Corruption: Business and Anti-Corruption Initiatives in ASEAN, which was published by the ASEAN CSR Network and the Asian Institute of Management. This 2023 paper reviews the initiatives featured in the 2014 paper and highlights new initiatives that have emerged in the region since then. It covers: Indonesia: Indonesia Business Links Malaysia: Corporate Integrity System Malaysia Philippines: Integrity Initiative and project SHINE Thailand: Collective Action Against Corruption Thailand: Anti-Corruption Organization of Thailand Vietnam: Vietnam Chamber of Commerce & Industry and its Office for Business The analysis identifies several success factors, while noting that Collective Action is a flexible approach that can and must be tailored to different contexts.
Working Paper 47: Conflict of interest legislation in Brazil, South Korea and the European Union
This Working Paper presents international case studies of legal frameworks addressing conflicts of interest and highlights common challenges, opportunities and lessons for practitioners and other interested stakeholders. The report covers three contexts: two national (South Korea, Brazil) and one supranational (the European Union). The analysis is based on the international standards in the 2020 guide Preventing and Managing Conflicts of Interest in the Public Sector, produced by the World Bank Group, OECD and UNODC at the request of the G20 Anticorruption Working Group. The Working Paper is published in the context of the USAID Indonesia Integrity Initiative (INTEGRITAS) project, which supports the Government of Indonesia in preventing corruption via enhancing civic engagement and strengthening integrity in the public and private sectors. The case studies and analysis will be of value to anyone interested in drafting, revising or monitoring conflict of interest legislation in any context.
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Working Paper 46: Incrementando el impacto de los Pactos de Integridad en la contratación pública
Este documento de trabajo analiza cuatro Pactos de Integridad en España implementados entre abril de 2017 y enero de 2019. Basándose en el análisis, ofrece recomendaciones específicas para medir y mejorar el impacto de los Pactos de Integridad, especialmente para lograr cambios a largo plazo. ***English*** Enhancing the impact of Integrity Pacts in public procurement: an analysis from Spain‘s experience This Working Paper analyses four Integrity Pacts in Spain implemented between April 2017 and January 2019. Based on the analysis, it offers specific recommendations to measure and enhance the impact of Integrity Pacts, especially in achieving long-term change.
Working Paper 45: Strategic anti-corruption communications
This Working Paper is intended to guide practitioners who are seeking to complement conventional anti-corruption measures by adopting a behavioural communications approach. It aims to connect a typology of anti-corruption messages with behavioural change theories, and discuss their impact. Subsequently, it suggests practical implications for designing anti-corruption communication as part of behaviour change interventions. This includes outlining how to develop a robust Theory of Change as a means to enhance the success of such efforts. The guidance is based on a review of seven key topically pertinent studies that have been recently published. This publication is prepared as guidance for the USAID Indonesia Integrity Initiative (USAID INTEGRITAS).
Working Paper 44: Perceptions of corruption and anti-corruption efforts in Bulgaria
The Working Paper presents the results of a nationwide survey of 1,209 individuals in Bulgaria, conducted in February to early March 2023. The survey examined how corruption is perceived in Bulgaria by different types of respondent, and what kind of behaviour is considered acceptable. It also looked at respondents’ perceptions of anti-corruption efforts and under which circumstances they would be more likely to report corruption to the authorities.
Working Paper 43: How corruption threatens the forests of Ukraine
This report offers a detailed deep dive into how corruption fuelled illegal logging in Ukraine during the period before the full-scale war. It explains how the Russian invasion has raised the risks of illegal logging, by increasing demand for wood and its relative value as a resource, and by reducing inspections and civil society oversight. Building on pre-war case studies, selected interviews and a review process with various stakeholders, the report outlines the widespread corruption challenges in Ukraine's forestry sector and proposes relevant interventions in the war and reconstruction contexts. The report identifies specific corruption patterns linked to three main types of illegal logging: By private actors such as communities and criminal groups, who can evade justice by corrupting law enforcement officials. By forest management officials, who sometimes obtain false paperwork to fell trees – thus easing their export abroad. Following the illegal appropriation of forests through manipulation of land documents. A significant proportion of wood illegally logged in Ukraine comes with (illegally obtained) permits, so can be "legally" exported to foreign markets in the European Union and elsewhere. Both governments and the private sector in countries that import wood and/or support Ukraine's reconstruction efforts have a role to play in preventing the illegal destruction of Ukraine's forests.
Working Paper 42: From sanctions to confiscation while upholding the rule of law
Written in the light of Russia's war of aggression in Ukraine, the Working Paper explores whether it is justifiable to confiscate assets frozen under financial sanctions in order to redirect them to the victims of state aggression. The paper first explores the concept of sanctions and financial sanctions (asset freezes) and what they mean in practice. Using the example of Canada, which has introduced a legislative mechanism for this purpose, the paper analyses whether states should be able to confiscate sanctioned assets purely on the basis that they have been sanctioned. It then looks at more established measures that states could adopt and apply to target sanctioned assets, including: Traditional conviction based confiscation measures, including 'extended confiscation' mechanisms Non-conviction based confiscation (forfeiture) measures Unexplained wealth laws The paper recommends ways to maximise the effectiveness of these alternative avenues for recovering assets, which are much less controversial and can arguably be applied without infringing on legal rights. Opting for mechanisms that abide by established legal rights will not only significantly increase the chance of recovering assets without subsequent legal challenges. It will also ensure that the very reason for targeting the assets in the first place – namely to seek justice and compensation for acts of aggression – is not undermined through the erosion of the rule of law.
Working Paper 41: Targeting unexplained wealth in British Columbia
The final recommendation of the Commission of Inquiry into Money Laundering in British Columbia (‘the Commission’) urged the government to legislate an unexplained wealth order (‘UWO’) as part of a wider approach to counter the prevalence of money laundering and proceeds of crime in the province. This document analyses the feasibility of this recommendation. It: briefly explains the concept of unexplained wealth and how it can be targeted through legislative instruments; outlines the reasons for which the Commissioner proposed a UWO for British Columbia; explains how a UK-style UWO works and assess the probability that a mechanism of this kind would successfully recover unexplained wealth in British Columbia; addresses the constitutional issues that may arise if a UK-style UWO was introduced, as outlined by former Supreme Court Justice, the Honourable Thomas A. Cromwell C.C., in his annexed opinion to the report; explains other legislative options that target unexplained wealth (including those in Western Australia and Ireland) and assess their constitutional compatibility and potential effectiveness as compared to a UK-style UWO; explores the legal rights issues that may arise if either a UK-style UWO or a traditional UWO was introduced; and outlines the legislative safeguards that could be put in place to reduce the risk that any such mechanisms would negatively impact on established legal rights. This document has been prepared by experts working with the Basel Institute on Governance, an independent not-for-profit organisation dedicated to countering corruption and other financial crimes, and the Vancouver Anti-Corruption Institute, an organisation devoted to anti-corruption efforts and legislative change.
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Working Paper 40: Developing anti-corruption interventions addressing social norms
This Working Paper provides guidance on developing anti-corruption interventions based on a Social Norms and Behaviour Change (SNBC) approach. Still a relatively nascent field, SNBC interventions typically address social norms that make corruption acceptable or expected, and attempt to influence behaviours away from corrupt practices. The guidance is based on lessons learned from a largely successful pilot project in Tanzania that targeted social norms fuelling bribery ("gift giving") in health facilities and attempted to change the behaviours of both health care providers and users away from exchanging gifts. Survey results showed a 14–44% decrease in gift-giving intentions, attitudes and positive beliefs among hospital users following the pilot intervention. The guidance covers: How to identify when a SNBC approach is suitable Essential background research needed to design anti-corruption SNBC interventions Frameworks to formulate theories of change Specific elements to build into SNBC interventions What practitioners should expect when embarking on an SNBC intervention Ways they can help build evidence and understanding of SNBC approaches in the anti-corruption field. About and acknowledgements This publication was supported by the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH on behalf of the Federal Ministry for Economic Cooperation and Development (BMZ). The contents of this publication do not represent the official position of either BMZ or GIZ. The pilot intervention that serves as the basis for most of the reflections included in this document was funded by the Global Integrity Anti-Corruption Evidence Programme (GI-ACE), funded with UK aid from the UK government.
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Working Paper 39: Behavioural drivers of corruption facilitating illegal wildlife trade
This Problem Analysis is a review of the efficacy and opportunities for using social norm and behaviour change (SNBC) approaches to combat illegal wildlife trade (IWT) and other natural resource-related corruption. Behavioural science is a rich and expansive field that has received prominent coverage in recent years for the promise it offers as a foundational yet underutilised approach to achieving biodiversity conservation. Extensive literature shows how SNBC initiatives can help combat diverse corruption problems, although for those related to natural resource management the evidence for doing so is sparse. This report synthesises the available information and suggests the next steps to redress this current lack of evidence. It seeks to: Understand what SNBC approaches might or might not work in fighting corruption. Identify entry points for designing SNBC interventions that can effectively reduce corruption related to IWT. This Analysis has been produced in association with the Targeting Natural Resource Corruption (TNRC) project. The TNRC project is working to improve biodiversity outcomes by helping practitioners to address the threats posed by corruption to wildlife, fisheries and forests. TNRC harnesses existing knowledge, generates new evidence, and supports innovative policy and practice for more effective anti-corruption programming. Learn more at tnrcproject.org. This publication is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of the authors and do not necessarily reflect the views of USAID, the United States Government, or individual TNRC consortium members.
Copyright (c) 2022 Basel Institute on Governance Working Papers https://creativecommons.org/licenses/by-nc-nd/4.0
Working Paper 38: Cryptocurrencies in Asia and beyond: law, regulation and enforcement
The crypto industry has exploded in recent years, and authorities in different countries have been reacting in very different ways. Some have banned cryptocurrencies, while others are embracing them to varying degrees. Some are working hard to align their anti-money laundering regulations with FATF standards, while others are turning a blind eye. A few countries have confiscated huge quantities of crypto assets linked to crime and money laundering. Others are at square one in terms of enforcement, risking becoming a hub for crypto crime and money laundering and posing a serious vulnerability in the world’s financial system. This Working Paper draws on a detailed analysis of how selected countries are addressing legal, regulatory and enforcement issues around cryptocurrencies and other virtual assets. The analysis is focused on Asia, but set in the context of global trends in crypto law, regulation and enforcement. It explores critical questions that will shape policies around virtual assets at the corporate, national and international levels: What is working in terms of crypto regulation and enforcement? What are the implications of different policy choices on crypto assets – for the industry, for the countries themselves and for global financial integrity as a whole? What would the crypto wave possibly bring next? The Paper also highlights broader developments needed to bring light and clarity to laws, policies and practices around the crypto industry, such as collaboration between both market players and governments. Jurisdictions touched upon in this Working Paper alphabetically include Bhutan, Central African Republic, El Salvador, Hong Kong SAR, India, Indonesia, Japan, Kazakhstan, Malaysia, Myanmar, Russia, Singapore, South Korea, the Philippines, the People’s Republic of China, Thailand, Ukraine and Vietnam. A list of key terms and abbreviations have been prepared in the Annex to this Working Paper for the readers’ easy reference. About this Working Paper This Working Paper is a collaboration between Dorothy Siron, Co-Managing Partner, Zhong Lun Law Firm LLP and Federico Paesano, Senior Financial Investigation Specialist, Basel Institute on Governance. Dorothy Siron provided the bulk of the analysis and discussion, while Federico Paesano provided a selection of case studies and was co-author of the seven recommendations contained in section 4. The collaboration was facilitated by the International Academy of Financial Crime Litigators, an independent, non-partisan global centre that shapes and advances financial crime litigation practices for the future.
Working Paper 37: The Green Corruption paradox
This Working Paper details the findings of a survey of Indonesians’ perceptions of corruption, the economy and the environment in July 2021. The survey was a joint initiative of the Green Corruption team at the Basel Institute on Governance and leading Indonesian pollster Lembaga Survei Indonesia (LSI). It consisted of a national public opinion survey covering 2,580 respondents and in-depth interviews with 30 private-sector representatives working in various natural resource sectors. The survey reveals what we call the Green Corruption paradox: Conflicting, and arguably mutually exclusive, views on all three topics can co-exist. Despite seeing the presence of and being deeply concerned about corruption and environmental degradation, people tend to focus on livelihoods when times are hard. People also, according to the survey data, favour economic structures that appear to channel the benefits of natural resource utilisation more directly to citizens. In Indonesia, this means rejecting private companies – particularly foreign-owned – in favour of state-owned enterprises (SOEs) and people’s cooperatives. The report ends with five key recommendations that can inform Indonesian policy and the interventions of donors and civil society organisations concerned with conservation, anti-corruption and sustainable development. This research was made possible with the generous support of the American people through the USAID CEGAH programme.
Copyright (c) 2021 Basel Institute on Governance https://creativecommons.org/licenses/by-nd/4.0/legalcode
Switzerland is frequently accused of being reluctant to take thorough measures to fight money laundering. Both the Swiss authorities and the banks in Switzerland strongly reject such accusations. We are convinced that our anti-money laundering measures are best market practice. What are the reasons for these markedly different viewpoints? Can they be explained by conceptual differences? Are the negative statements the result of insufficient knowledge of our legal provisions, or are they simply motivated by the political desire of the respective commentators to divert public attention from the deficient anti-money laundering policies in their own countries? A comparison of our measures with the most important competing financial centres could help to answer these questions. The SFS Stiftung Finanzplatz Schweiz – a foundation initiated by the foreign banks in Switzerland – commissioned Professor Mark Pieth of the Basel Institute on Governance to conduct a comparative study of anti-money laundering regulations in the UK, the US and Singapore, the three financial centres which closely compete with the Swiss private banking sector. Professor Pieth is a renowned expert in the field and has close contacts with the international experts who also contributed to the project with in-depth country studies.
Copyright (c) 2003 Basel Institute on Governance https://creativecommons.org/licenses/by-nd/4.0/legalcode
Working Paper 2: Multistakeholder initiatives to combat money laundering and bribery
Intensified economic globalisation has had positive and negative effects. It has left nation states struggling to deal with the negative fall-out. National regulation against abuses has, however, proven increasingly ineffective, especially since companies have the freedom to move their hazardous activities to under-regulated areas. States have stepped up cooperation and coordination on a bilateral as well as a multilateral basis: international organisations and treaties become more and more relevant to the regulation of international trade relations. However, the traditional instruments of international law are frequently considered too cumbersome and slow. Increasingly international law is created by unconventional means: ‘task forces’ prove to be far more expedient, since they prefer ‘soft law’ to treaty law. Political enforcement by peer-pressure becomes more relevant than by juridical instruments (e.g. courts and tribunals). Furthermore, regulation goes well beyond law-making by legislators and government bodies; non-state actors contribute extensively, especially in the area of regulating international trade relations.
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Working Paper 3: Verhaltensregeln für die Verwaltung von Vorsorgeeinrichtungen
Eine ganze Reihe von Problemfällen hat zu einer breiten Diskussion über das Verhalten der Verantwortlichen für Vorsorgeeinrichtungen geführt, insbesondere bei der internen und externen Verwaltung der Vorsorgevermögens, und aufgezeigt, dass beachtliche Defizite bestehen, vor allem wenn Vergleiche mit anderen professionellen Vermögensverwaltern, wie Banken, gezogen werden. Im Vordergrund muss der Schutz des guten Rufs der einzelnen Vorsorgeeinrichtung sowie das Vertrauen der Begünstigten in die Integrität der mit der Verwaltung dieses Sozialkapitals Betrauten stehen. Grundsätzlich sollten deshalb an Vorsorgeeinrichtungen, was den guten Ruf ihrer obersten Organe und die Gewährleistung der Ordnungsmässigkeit angeht, vergleichbare Anforderungen gestellt werden.
Copyright (c) 2007 Basel Institute on Governance https://creativecommons.org/licenses/by-nd/4.0/legalcode
Working Paper 4: An evaluation of national integrity systems from a human rights perspective
In the past decade the prevention of corruption has been recognised as a prerequisite for sustainable and equitable development. Academics, policy-makers and activists working towards such governance reforms have come a long way in the relatively short period since corruption has been actively addressed both in the North and the South. However, corruption remains a serious problem in many societies, sectors and international transactions, affecting the lives of millions of people who go about their daily business. Transparency International, an international non-governmental organisation against corruption, was one of the first and certainly the most influential NGO to break the spell and speak out against corruption worldwide. In order to support and inform its policy approaches, Transparency International framed an approach called the National Integrity System to better understand the interdependent causes of corruption and to address them more effectively. Strikingly, however, this approach does not draw from or have any linkages with the rights-based approach to development, which has gained tremendous momentum in the same period. This is all the more noteworthy as both the causes and consequences of corruption have obvious linkages with human rights violations. Given this disconnection between the two discourses, the following contribution is aimed at illuminating both approaches individually with regard to their merits in preventing corruption, and trying to define synergies and potential areas of dialogue and interaction. It is structured in the following way: first, the rights-based approach to development will be outlined briefly; second, the concept of the National Integrity System will be elaborated, with particular emphasis on, thirdly, the NIS country reports, and fourthly conclusions will be drawn from the comparison of the two approaches.