The global anti corruption regime

The Law of Financial Crime THE GLOBAL ANTICORRUPTION REGIME THE CASE OF PAPUA NEW GUINEA Hannah Harris The Global Anti-Corruption Regime This book tackles the challenging topic of corruption It explores the evolution of a global prohibition regime against corrupt activity (the global anti-corruption regime) It analyses the structure of the transnational legal framework against corruption, evaluating the impact of global anti-corruption efforts at a national level The book focuses on the United Nations Convention against Corruption (UNCAC) as the primary tool of the global anti-corruption regime It provides new and engaging material gathered in the field, including first-hand accounts from actors at international, regional, and domestic levels By documenting the experiences of diverse actors, the book makes a substantial contribution to literature on corruption and anti-corruption efforts Synthesising empirical research with an exploration of theoretical literature on corruption and regime evolution results in novel suggestions for improvement of the global anti-corruption regime and its legal tools The Global Anti-Corruption Regime is a well-rounded text with a wealth of new information that will be valuable to both academic and policy audiences It clarifies the factors that prevent current anti-corruption efforts from successfully eliminating corrupt activity and applies the five-stage model of global prohibition regime evolution to the global anti-corruption regime It will be of interest to researchers, academics, policymakers, and students interested in anti-corruption law, comparative law, transnational criminal law, international law, international relations, politics, economics, and trade Dr Hannah Harris is a legal academic, freelance data scientist and Research Fellow at the Centre for Law Markets and Regulation, University of New South Wales Her research area is transnational law and the implementation and enforcement of regulatory regimes, focusing on financial crime, bribery, and corruption The Law of Financial Crime Series Editor: Nicholas Ryder Available titles in this series include: Fighting Financial Crime in the Global Economic Crisis Nicholas Ryder, Umut Turksen and Sabine Hassler The Financial War on Terror A Review of Counter-Terrorist Financing Strategies Since 2001 Nicholas Ryder The Financial Crisis and White Collar Crime- Legislative and Policy Responses A Critical Assessment Edited by Nicholas Ryder, Jon Tucker and Umut Turksen Countering Economic Crime A Comparative Analysis Axel Palmer The Global Anti-Corruption Regime The Case of Papua New Guinea Hannah Harris Financial Crime and Corporate Misconduct A Critical Evaluation of Fraud Legislation Edited by Chris Monaghan and Nicola Monaghan For more information about this series, please visit: www.routledge.com/TheLaw-of-Financial-Crime/book-series/FINCRIME The Global Anti-Corruption Regime The Case of Papua New Guinea Hannah Harris First published 2019 by Routledge Park Square, Milton Park, Abingdon, Oxon OX14 4RN and by Routledge 711 Third Avenue, New York, NY 10017 Routledge is an imprint of the Taylor & Francis Group, an informa business  2019 Hannah Harris The right of Hannah Harris to be identified as author of this work has been asserted by her in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988 All rights reserved No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data A catalog record for this title has been requested ISBN: 978-1-138-29892-7 (hbk) ISBN: 978-1-315-09828-9 (ebk) Typeset in Galliard by Swales & Willis Ltd, Exeter, Devon, UK This book is dedicated to my husband, Drew Without you, there would be no book Thank you for being my best friend, my partner in love and adventure, my constant support, and my inspiration Contents Acknowledgements List of Abbreviations xii xiii Introduction 1 Setting the stage – corruption and the global anti-corruption regime Corruption: in search of a definition  The global anti-corruption regime  11 Introducing the five-stage model: the theory of Nadelmann and Andreas  14 Applying the five-stage model to the global anti-corruption regime 17 Theoretical expansion: emphasising values and interests in the evolution of the global anti-corruption regime  20 Introducing the United Nations Convention against Corruption: a transnational criminal law tool of the global anti-corruption regime  25 Transnational criminal law: concerns and critique  27 Criticisms of UNCAC and the global anti-corruption regime  28 Four primary risk factors  34 Summary and research agenda: four key research questions  38 References 46 The United Nations Convention against Corruption – the primary tool of the global anti-corruption regime Introduction  49 Developing UNCAC: background and context  50 Early transnational discussion  52 Associating corruption with other transnational crimes  53 Continued discussion and early transnational legal action against corruption  54 49 viii Contents Agreement on the need for an independent anti-corruption convention  55 What came before? Influential ideas and existing multilateral legal instruments that pre-date UNCAC  56 Collective action  56 Criminalisation  57 Variation in approaches to prevention  58 Before UNCAC: summarising the historical context  59 Draft terms of reference for UNCAC: meetings of the expert group  60 Missing voices: under-representation of the South Pacific region in negotiation of UNCAC  61 Early points of conflict and contestation  61 Extensive opportunities for prevention and points of consensus  63 Finalising the Convention: resolving conflict and establishing structure for UNCAC  64 Articles of interest: resolving conflict and contestation  65 Application and adaption: Chapter VII and the implementation review mechanism for UNCAC  78 Conclusion: how has UNCAC evolved within the global anti-corruption regime?  82 References  90 Corruption and anti-corruption in the South Pacific Context – key actors, values, and interests Introduction and justification  92 The relevance of the South Pacific region  92 Chapter structure  92 Introducing the South Pacific region  93 Diversity and imbalance: South Pacific geography and economy  93 Colonial history and post-colonial law and politics  94 Understanding corruption in the South Pacific  96 Corruption as an emergent challenge in the South Pacific region  96 Corruption, aid, and development  97 Corruption, crime, and security  100 Corruption, environment, and economy  101 UNCAC and the South Pacific anti-corruption framework  103 Introducing the anti-corruption framework in the South Pacific: a ‘soft’ approach and substantial external influence  103 Key policy documents and initiatives: reflecting UNCAC and the global anti-corruption regime  104 Risks and challenges for implementation and enforcement of UNCAC in the South Pacific  109 92 Contents ix Deviant actors  110 Inapplicability and non-compliant states  110 References  116 The case study of Papua New Guinea 120 Introduction and chapter structure  120 The value of the PNG case study  121 Historical background and context of corruption in Papua New Guinea  123 Government structure and political dynamics  124 Aid and external influence  125 Political dynamics and resource and capacity limitations  128 Papua New Guinea as an influential South Pacific state  129 The anti-corruption framework in Papua New Guinea  130 Placing the international into the domestic: UNCAC and Papua New Guinea  140 Initial hypotheses and points for further exploration  143 References  150 Experience from the field – insight into the implementation and enforcement of the United Nations Convention against Corruption in Papua New Guinea 154 Introduction  154 Key findings from the empirical research  155 Critical risk factors in the context of Papua New Guinea  158 Definitional complexity  159 Criminal law and enforcement focus  160 Links to other forms of criminality  161 Domestic approaches to anti-corruption in Papua New Guinea – is there a place for UNCAC?  164 Engagement with UNCAC in Papua New Guinea: missed opportunity?  166 Other transnational dynamics  169 Preliminary summary and implications  172 References  176 Seeking answers – understanding the United Nations Convention against Corruption and its role in Papua New Guinea Introduction  178 What impact has UNCAC had on Papua New Guinea’s approach to combatting corruption?  179 Key findings  179 Placing UNCAC within the theoretical framework of transnational law  180 178 Annex E: interview participant details Table of interview participants Participant Name Transcript Number and Details Dimitri Vlassis UNODC Executive [Transcript No 1] Charmaine Rodrigues UNDP Official with experience in PNG working on the National Anti-Corruption Strategy [Transcript No 2] Effery Dademo Act! Now PNG [Transcript No 3] Tony Prescott UNDP South Pacific Democratic Governance Branch [Transcript No 4] Anonymity Requested Member of an Australian Law Enforcement Agency with Experience in PNG [Transcript No 5] Sam Koim Head of Task Force Sweep PNG [Transcript No 6] Anonymity Requested Royal Papua New Guinean Constabulary, Fraud and AntiCorruption Directorate [Transcript No 7] Lawrence Stephens Chairman of Transparency International Papua New Guinea [Transcript No 8] Anonymity Requested Attorney Generals Department PNG, Legal Policy and Governance Branch [Transcripts No.9] Christopher Asa Director of Social Policy and Governance for PNG National Executive Council [Transcript No 10] Anonymity Requested National Executive Council [Transcript No 11] Annex E 239 Mary Boni Eco Forestry Forum PNG [Transcript No 12] Paul Barker Executive Director, Institute of National Affairs PNG [Transcript No 13] Michael Wilson Australian Federal Police Transnational Crime Unit PNG [Transcript No 14] Anonymity Requested Office of the Public Prosecutor PNG [Transcript No 15] Anonymity Requested Previously Employed at AusAID working in PNG [Transcript No 16] Lorraine Kershaw Legal Advisor for Pacific Islands Forum Secretariat [Transcript No 17] Annex F: interview question structure Views of self and organisational affiliation Can you describe your background and current position? What is your organisation’s main role and your role within that organisation? Views of corruption How would you define corruption? Example? Has your understanding of corruption ever changed or developed? Do you believe corruption to be morally wrong? Expand? Is corruption ever justifiable? Why/why not? What you think about attempts to justify corruption? (eg on the basis of culture and tradition, or because of government institutions failing to efficiently or effectively provide necessary goods and services) What you think causes corruption? Expand? What you see as the consequences of corruption? Expand? Should all countries seek to eliminate corruption? Why/why not? Role in combatting corruption (experiences, successes, challenges) What role have you played in combatting corruption? What were some of the challenges you faced? How did you overcome these challenges? What has been your greatest success in combatting corruption? Have you interacted with other nations or foreign organisations in your anticorruption efforts? How and to what effect? Annex F 241 Have other organisations or countries achieved successes in combatting corruption which you find to be particularly noteworthy? If you could change one thing about the context in which you operated, in order to achieve further success in combatting corruption, what would you change? Views of UNCAC (purpose, value, limitations) Are you aware of UNCAC? What you see as UNCAC’s primary purpose? Whose values and interests you think UNCAC most accurately reflects? Is UNCAC relevant to you and your anti-corruption efforts? Expand Does UNCAC reflect your views of corruption and methods for combatting corruption? Expand Are there any differences between your view of corruption and anti-corruption methods, and those of UNCAC? What would you say is UNCAC’s greatest strength? What you think are some of UNCAC’s limitations? Experiences with UNCAC Did you or your organisation engage in the negotiation of UNCAC? Why and How/Why not? Have you engaged with UNCAC in your anti-corruption efforts since its adoption? Expand? (specific example) Would you say that your engagement with UNCAC has been productive? In what way? Has UNCAC engagement ever resulted in a change to the way you understand corruption or your approach to combatting corruption? Expand Has your engagement with UNCAC ever resulted in a change to the way others view or seek to combat corruption? Expand Improvements to UNCAC If you could change one thing about UNCAC, what would you change? Why? If you could change one thing about the way you engage with UNCAC what would you change? Why? 242  Annex F Improvements to overall approach to combatting corruption, beyond UNCAC What single change you think would most significantly reduce corruption levels in your sector? Why? Do you think this change would benefit all sectors seeking to combat corruption? Why? Do you think this change is possible? How? Index Note: Tables are indicated in bold and Figures in italics Abbott, KW 20–23, 180 abuse of office: and defining corruption 10, 67, 83; in PNG legislation 132, 141, 185, 236 ActNow! PNG (NGO) 139, 171 Ad Hoc Committee on the Negotiation of a United Nations Convention against Corruption, sessions 60–61, 61, 66, 67–68, 69, 71, 72 adaptability of UNCAC 4, 223, 225 ADB/OECD Anti-Corruption Initiative for the Asia Pacific (2001) 106–107, 143, 183, 190, 202 AFP TNCU (Australian Federal Police Transnational Crime Unit) 161–162, 165, 168, 170 Ampratwum, EF 98, 99 Andreas, P: challenges and risks in regime evolution 32, 110, 186, 187, 216–217; on drug prohibition regime 29–30, 194–195; evolution of global prohibition regimes 8, 11–12, 14–17, 26; the model applied to the anticorruption regime 180, 193, 214; on role of moral entrepreneurs 17, 218–219; on role of technology 189; on states and illicit markets 13 apathy 144, 165, 166, 184 applicability of single solution to corruption: as addressed in UNCAC 65–66, 73, 82–83; the case of PNG 123, 130, 140, 144, 157–161, 213; evaluation and improvements of UNCAC 163, 197–198, 217–218, 222, 223, 224; interviewee perceptions of 172–173; as regime risk factor 37–38, 51, 59–60, 110, 194–195; as risk in South Pacific 50, 61, 92, 108–109 Asian Development Bank (ADB), aid provided by 97, 143; see also ADB/ OECD Anti-Corruption Initiative for the Asia Pacific asset recovery: initiatives supporting 190; lack of implementation 127; within UNCAC 63, 64, 70, 77–78, 230 AusAid 125, 157, 171, 185, 202 Australia: and anti-corruption efforts 2, 61, 103, 106, 232; anti-corruption score 5n17, 114n86; and corruption in PNG 146n38, 171, 176n73; development aid given by 97, 113n57, 115n119, 125, 125–127; position in South Pacific 93, 94–95, 100, 102, 108, 208n58; relations with PNG 123, 132, 148n85, 163, 189 Australian Conservation Foundation 102 Australian Federal Police Transnational Crime Unit (AFP TNCU) 161–162, 165, 168, 170 awareness of corruption 31, 130, 131 awareness of UNCAC: in PNG 155–158, 156, 166–169, 189, 190, 220–221; in South Pacific 103, 107, 108 bank secrecy 62, 63, 65, 75–76 Barcham, M 96, 109 Barker Paul (Executive Director, INA) 159, 167, 171, 238 Barnett Report on timber industry in PNG (1990) 1, 101, 147n53 Beare, ME 10, 28, 34, 36–37, 45n197 Boister, N 25–27, 54, 180, 181, 194 Bougainville 122, 124, 145n6, 170 244 Index bribery: criminalisation in PNG laws 132, 133, 141, 185, 196, 237; criminalisation in UNCAC 69–71, 69, 229; domestic laws criminalising 81, 104, 232; extent/prevalence of 17, 21, 54; in PNG 127–128, 144, 170; see also OECD Convention (Convention on Combating Bribery of Foreign Public Officials in International Business Transactions) Bridenthal, R 31, 37, 194 Bukovansky, M 99 Bulldozing progress 102 burden of proof, reversal of 62, 63, 65, 71–72 Carr, I 31, 42n86 CCA see Criminal Code Act of PNG (CCA, 1974) Centre for Environmental Law and Community Rights (CELCOR, PNG) 102, 139 Centre for the Study of Democracy (CSD) 35 challenges to final stage of regime evolution: according to model 16–17; and anti-corruption in PNG 172–174, 193–199; applied to UNCAC 51, 82–83, 180–184, 215–219; values and interests as 20–25 China: aid and influence in PNG 125, 127–128, 144; aid and influence in South Pacific 94, 98, 200 China Development Bank 125 China/Taiwan diplomacy scandal 127, 129, 144 civil society: anti-corruption efforts in PNG 130–131, 137–140, 167–169, 174, 200, 201; empowering 215, 220–221; motivating action on UNCAC 163, 178, 187–188, 190, 226n17; supported in anti-corruption conventions 58, 97, 107; supported in UNCAC 31, 61, 63, 74 co-opting prohibition regimes: risk to success of 10–11, 194; and UNCAC 77, 79, 172–173, 199–205, 214–215, 222, 223; UNCAC in PNG 141, 213, 224–225 Code of Conduct for Law Enforcement Officials, A/Res 34/169 (1979) 52 collective action against corruption see cooperation against corruption colonialism, impact of 93–96, 121–124, 132, 144, 170, 206 Commission on Crime Prevention and Criminal Justice (UN) 22, 52–53, 54–55, 84n11 complaints mechanism for UNCAC 223 concealment of activity and success of law enforcement 16, 18–19, 29, 195, 216, 230 Conference of States Parties (CoSP) to UNCAC 78–79, 222 Constitution of Papua New Guinea, Section III, Division 2, Leadership Code (1975) 109, 131–132, 132, 160, 164–165, 233–235 controlled delivery in UNCAC 76 Convention on Combating Bribery of Foreign Public Officials in International Business Transactions (OECD Convention) see OECD Convention (Convention on Combating Bribery of Foreign Public Officials in International Business Transactions) Convention on the Protection of the European Communities’ Financial Interests (1995) 56, 57 Convention on Transnational Organised Crime see UNTOC (UN Convention on Transnational Organised Crime) cooperation against corruption: importance for UNCAC 83, 84; as justification for prohibition regime/UNCAC 19, 26–27, 52, 57; normative arguments for 10, 50, 51, 54, 58, 180; in PNG initiatives 138, 140, 141, 142, 164, 165; and pre-UNCAC instruments 56–57; in South Pacific initiatives 105, 107, 108–109; in UNCAC 35, 64, 70, 73, 74–78, 218; in UNCAC implementation review mechanism 78–79, 80, 230 corporate actors: and corruption 18, 101, 122, 170; and corruption in PNG 1–2, 128, 144, 174, 183–184, 203–204; and neoliberal policies 201–202; as target for anti-corruption efforts 102; see also bribery ‘corrupt act’ approach in UNCAC: benefits of 83, 159–160, 195–196, 200; and resulting implementation 81, 82, 104; as way of dealing with definitional controversy 50, 68–73 Index 245 corruption: attempted UN definition of 52; defining 8–11; lack of clear definition as risk factor 34, 195–196; PNG and defining 159–160, 164; as threat to development 53–54; UNCAC and defining 50, 67–68, 82–83 Corruption Perceptions Index (CPI, TI) 3, 5n17, 140, 159, 204–205 Corva, D 31 CoSP (Conference of States Parties) to UNCAC 78–79, 222 Council of Europe Civil Law/Criminal Law Conventions on Corruption 54, 57, 58–59, 86n45, 228 country reviews in UNCAC 80–81, 107, 140, 157 CPI (Corruption Perceptions Index, TI) 3, 5n17, 140, 159, 204–205 Crime Prevention and Criminal Justice programme (UN) 22, 52–53, 54–55, 84n11 Criminal Code Act of PNG (CCA, 1974): aspects of 131, 132–133, 140, 185, 196; extract from 235–237; predating UNCAC 160, 179; in relation to other legislation 164–165 criminalisation (fourth) stage of regime evolution 15, 17, 18, 41n58, 51 criminalising corruption: critique of UNCAC approach to 50, 191, 196; in implementing UNCAC domestically 81–82, 82, 104; in non-UNCAC instruments 17, 40n14, 56–59; in PNG legislation 133, 136, 140–141, 164; as risk factor 36–37, 160–161, 197–198; in UNCAC 25, 64, 67–73, 69, 80, 83–84, 213; unintended consequences of focus on 27, 28, 30–31; universal approach to 8, 9–11 criminogenic asymmetries: and anticorruption regime 20, 28, 34, 74, 76–77; defining 12–14; in PNG 122, 127, 170; role of states and corporates in 101–102, 181–182, 186, 194, 207n19 Crocombe, R 97 CSD (Centre for the Study of Democracy) 35 decentralization and anti-corruption efforts 29, 202 Declaration against Corruption and Bribery in International Commercial Transactions (A/RES/51/191) 54, 56 Declaration on the Granting of Independence to Colonial Countries and Peoples (A/RES 1514, 1960) 123 definitional clarity as risk factor see corruption delegitimation (second) stage of regime evolution 15, 18, 22, 51 demand for target activity: in the case of corruption 19, 216; as factor in regime success 12, 16, 18, 32, 181 Department of Finance scandal (PNG) 126–127, 128 Department of Foreign Affairs and Trade (DFAT, Australia) 125, 171 development see socio-economic development development aid: and anti-corruption 102, 143, 189–190; and corruption 97–100, 122; in PNG 125–129, 144, 161–164, 171–172, 200; to implement UNCAC 188, 222 deviant/dissident actors: as regime challenge 16–17, 144, 216, 219; in South Pacific 109, 110; and UNCAC 51, 74, 163, 187–188, 199, 223 dissemination (third) stage of regime evolution 15, 18, 22, 24, 51 dissident actors see deviant/dissident actors Dobell, G 108 domestic context see applicability of single solution to corruption donor states: aid and corruption 97–100; competition among 125–128; influence on anti-corruption 171–172, 183, 185, 200–201, 204; and UNCAC in PNG 104, 138, 142–143, 144, 189–191, 192 drugs: prohibition regime on 15, 16, 29–30, 44n155, 194–195; in South Pacific 97, 100 dual criminality 75–76 Dualist legal systems 95 Eco Forestry Forum (EFF) 158, 160, 165, 170 ‘Economic/Market’ centred approach to corruption 9–10 education: about corruption 31, 135, 138, 165–166, 166, 184; about UNCAC 4, 173, 189, 220–221, 223, 225 EFF (Eco Forestry Forum) 158, 160, 165, 170 246 Index enforcement see law enforcement focus engagement with UNCAC: enhancing 4, 214–215, 219–223, 224, 225; PNG initiatives for 121, 139–140, 142, 144; research findings for PNG 155–158, 156, 166–169, 179, 185–189; South Pacific initiatives for 108–109; through implementation review mechanism 31, 79–82, 92 EU Joint Action on Corruption in the Private Sector 58 European Union and associated European States 62, 63 Existing Legal Instruments, Recommendations and other Documents Addressing Corruption (UN Report, 2001) 55, 59–60, 85n36, 181 Expert Group Meeting on Corruption (1997) 54 Expert Group Meeting on Corruption and its Financial Channels (1999) 55, 56 Expert Group on the Negotiation of the Future Legal Instrument against Corruption 60–61 expertise required to commit target activity 16, 18, 29, 195, 216, 217 extortion by public officers (CCA of PNG) 132, 236 extractive industries and corruption 1–2, 101–102, 122, 125, 144, 162–163, 183–184 extradition of offenders 70, 75, 141 Farrales, M 2, 9–10 FATF (Financial Action Task Force) 55, 192, 204, 208n38 FCPA (US Foreign Corrupt Practices Act, 1977) 21–22, 36, 180 feedback loops 4, 130, 182–183, 223 Fiji 93, 95, 97, 103, 109, 112n27, 232 Finance Department scandal (PNG) 126–127, 128 Financial Action Task Force (FATF) 55, 192, 204, 208n38 Financial Intelligence Unit (FIU, PNG) 141, 170 Findlay, M 102 fisheries sector and corruption 101 FIU (Financial Intelligence Unit, PNG) 141, 170 five-stage model of regime evolution see regime evolution foreign investors see corporate actors forestry sector see logging industry Forum Island Countries see Pacific Islands Forum Framework for Pacific Regionalism (FPR) 105 global legal pluralism 24; see also applicability of single solution to corruption Global Organisation of Parliamentarians against Corruption (GOPAC) 108 global prohibition regimes, definition and purpose 11, 19; see also regime evolution good governance: aid and investment 33, 97–99, 201, 203; and anti-corruption regime in South Pacific 95, 96, 104–107, 108–109; excluded from UNCAC 66; and PNG 129, 138 GOPAC (Global Organisation of Parliamentarians against Corruption) 108 grant-based aid 125, 126, 127 Grant-in-Aid of Economic and Technical Cooperation Agreement (2013) 125 Graycar, A 65, 79, 83 Group of 77 and China 62, 63, 67, 87n112 Group of African States 62, 63, 67, 87n112 Group of Asian and Pacific States 62, 181 Group of Latin American and Caribbean States 62, 63 Hakobyan, A 143 Harfield, C 28, 35, 37 hegemonic states, role in regime evolution 15, 18, 21, 30 Henshaw, C 32, 37 Hughes, R 104 ICAC see Independent Commission Against Corruption (ICAC) illicit enrichment 31, 71–72, 138, 141, 166, 184 Implementation Review Mechanism (UNCAC): challenges and concerns 30–31, 62; critique of 179, 187–189, 192, 198, 215; extract from 230–231; in PNG 121, 129–130, 140–141, 144, 157; and regime evolution Index 247 12, 18, 49, 50, 51; as set out in UNCAC 78–82, 90n202; suggested improvements to 221–223 improvements to UNCAC, suggestions for 219–224 Independent Commission Against Corruption (ICAC): establishment of 2, 121, 129, 136, 141; supporting legislation for 137; views on 140, 164, 188 Indonesian Corruption Eradication Commission (KPK) 32–33 initial (first) stage of regime evolution 15, 17–18, 51, 53 Institute of National Affairs, PNG 159, 168, 176n54 Inter-American Convention against Corruption (OAS Convention) 22, 42n85, 56, 57, 58, 71–72, 228 interests and values shaping anticorruption regime 20–25 Intergovernmental Open-Ended Expert Group on the Negotiation of the Future Legal Instrument against Corruption (2001) 54–55, 60–63 interlegality 24, 182 International Chamber of Commerce 22 International Code of Conduct for Public Officials (A/RES/51/59) 54, 56 international cooperation see cooperation against corruption international embarrassment see perceptions International Monetary Fund (IMF) 9, 126 Interregional Seminar on Corruption in Government (1989) 52–53, 84n11 Joint Action on Corruption in the Private Sector (EU) 58 Joutsen, M 65, 79, 83 jurisdiction: and transnational criminal acts 13, 21, 26–27, 54; within UNCAC 69–70, 76; see also sovereignty Kama, Nimo Walter (suspended director, PNG Media Council) 139 Kiribati 93, 94, 95, 103 Koh, HH 23, 180, 181, 182 Koim, Sam 136, 164, 171; see also Task Force Sweep (PNG anti-corruption body) KPK (Indonesian Corruption Eradication Commission) 32–33 Krasner, SD 11–12 Larmour, P 45n184, 195 Lasslett, K 122 laundering of proceeds of crime, UNCAC on 230 law enforcement focus: as risk factor 36–37, 57, 193–195, 216; and UNCAC 83, 160–161png, 197–198, 199, 217–218 law enforcement, susceptibility of target activity to 16–17, 18, 32, 51, 187 Lea, John 28 Leadership Code, Constitution of PNG (1975) 109, 131–132, 132, 160, 164–165, 233–235 legal overlap: as concern 8, 27, 69, 78, 181; in PNG 132–133, 164–165 legal pluralism 24 legalistic approach to defining corruption 9–10, 67 lending institutions see multilateral lending institutions Levinson, J 201 logging industry: corporates and corruption in 101–102; in PNG 1–2, 126, 128, 146n38, 162, 204; PNGChina trade 125 McCulloch, J 30–31, 35 mandatory criminalisation under UNCAC 64, 69–71, 69, 198; see also corrupt act approach in UNCAC ‘Market/Economic’ centred approach to corruption 9–10 Mechanism for the Review of Implementation of UNCAC (CAC/ COSP 4/1) 222 Media Council for PNG 139 Mineral Resource Authority AntiCorruption Plan 190 misappropriation of property by officials, UNCAC on 229–230 MNCs see corporate actors model of regime evolution see regime evolution money laundering: and corruption 35, 55, 56, 57; and UNCAC 64, 69, 70, 74, 81, 230 Monist legal systems 95 248 Index monitoring mechanisms see Implementation Review Mechanism (UNCAC) moral entrepreneurs: and anti-corruption regime 21, 51, 97, 187, 197, 218–220; role of 15, 17–18, 180 moralist position on corruption 9, 11, 28, 33, 36–37, 51 Morauta, Sir Mekere (former PNG Prime Minister) 98 Multilateral Funding Agencies (MFAs) see multilateral lending institutions multilateral lending institutions: and anti-corruption 97–100, 183, 184, 204; effects of promoting own agenda 126, 201, 202; and UNCAC 189–191, 192 multinational corporations see corporate actors NACA (National Anti-Corruption Alliance, PNG) 136, 148n108 NACS (National Anti-Corruption Strategy, PNG) 137–139, 142, 184, 185, 198 Nadelmann, EA: challenges and risks in regime evolution 32, 110, 186, 187, 216–217; on drug prohibition regime 29–30, 194–195; evolution of global prohibition regimes 8, 11–12, 14–17, 19, 26, 41n58; the model applied to the anti-corruption regime 193, 214; on role of moral entrepreneurs 17, 218–219; on role of technology 189, 199, 224 Namaliu, Sir Rabbie L (PNG former Prime Minister) 124 National Anti-Corruption Alliance (NACA, PNG) 136, 148n108 National Anti-Corruption Strategy (NACS, PNG) 137–139, 142, 184, 185, 198 National Institute of Justice 35 Nauru 93, 94, 103, 232 neoliberalism and anti-corruption 30, 126, 201–202 New Zealand: anti-corruption efforts 100, 103–104, 103, 108, 185, 232; anti-corruption score 2, 5n17, 114n86; colonialism and 94–95; development aid paid by 97, 115n119; economy 94; as South Pacific state 61, 93 NGOs (non-government organisations): anti-corruption efforts in PNG 131, 139–140, 167–169, 174; empowering 190, 215, 220–222; role in anti-corruption efforts 22, 107, 109, 187, 200–201; supported in UNCAC 61, 74, 78 non-compliant states: addressing issue of 66, 74, 79–80, 105–106, 163; and appearance of compliance 34, 179, 200, 203, 219, 225; and PNG 140, 141, 143, 144, 155; as regime challenge 16–17, 216; and UNCAC 51, 80, 83, 109, 110 non-government organisations see NGOs (non-government organisations) non-mandatory criminalisation under UNCAC 64, 71–78, 198; see also corrupt act approach in UNCAC OAS Convention (Inter-American Convention against Corruption) 22, 42n85, 56, 57, 58, 71–72, 228 obstruction of justice 69, 71, 81 OECD Convention (Convention on Combating Bribery of Foreign Public Officials in International Business Transactions): combining values and interests 20, 22–23, 106; various aspects of 40n14, 57, 58, 59, 103, 228 OLDRL (Organic Law on the Duties and Responsibilities of Leadership, 1975) 131–132, 132, 234–235 OLIPPAC (Organic Law on the Integrity of Political Parties and Candidates, 2001) 133–136, 148n95 Ombudsman Commission of PNG 131–132, 134, 136, 234 O’Neill, Peter C.P (Prime Minister) 2, 124, 128–129, 137, 145n22, 171 Open Parliament Project 189, 224 OPP (Office of the Public Prosecutor of PNG) see Public Prosecutor of PNG Organic Law on the Duties and Responsibilities of Leadership (OLDRL, 1975) 131–132, 132, 234–235 Organic Law on the Integrity of Political Parties and Candidates (OLIPPAC, 2001) 131, 133–136, 148n95 Index 249 Organisation of Inter-American States Convention against Corruption (OAS Convention) 22, 42n85, 56, 57, 58, 71–72, 228 organised crime and corruption: effects of counter-measures 28–29, 30–32; in PNG 161–164, 218; in preUNCAC instruments 50–55, 57, 61; as risk factor 34–36, 45n197, 57, 197; in South Pacific 100; and UNCAC 64, 75–77, 76, 194, 217 Pacific Basin Economic Council (PBEC) 109 Pacific Island Countries see South Pacific Pacific Islands Forum (PIF) 32, 61, 93, 96, 104–106, 108, 232 Pacific Judicial Development Programme 108 Pacific Plan (Pacific Plan for Strengthening Regional Cooperation and Integration) 98, 104–105, 183 Pacific Regional Anti-Corruption Project (UN-PRAC) 107–108, 142, 183 Papua New Guinea: colonial history/ independence 95, 122, 123, 148n85; economy and development aid 120, 125–128, 143, 144, 190; geography and population 123; government and politics 124–125, 128–129, 131, 145n22; institutions and actors combating corruption 2, 136–140, 199; leadership in South Pacific 129–130; legal instruments against corruption 131–136, 185, 233–237 Paraka, Paul (PNG lawyer) 126–127, 128, 137, 147n56 Passas, N: on criminogenic asymmetries 12–14, 180–182, 194, 207n19; economic asymmetries 101, 122, 127, 170; legislative asymmetries 30, 60, 66, 68, 76; on role of embarrassment 22 ‘Peak Organisations’ 108–109 perceptions: in global prohibition regimes 10, 19; impact on investors 162–163, 184; motivating anticorruption action 22, 179, 190, 215; as risk factor for UNCAC 168, 169, 172–173, 199–205, 218–219, 219–220; role in PNG 159, 170, 185–187, 226n17 PIF (Pacific Islands Forum) 32, 61, 93, 96, 104–106, 108, 232 piracy, regime against 14–15, 42n67, 216–217 pluralism, legal 24 PNG-Australia Aid Partnership Arrangement (2016-2017) 125 POCA see Proceeds of Crime Act (POCA, 2005, PNG) policy laundering: consequences of 34; definition 158; and UNCAC 66; using anti-corruption drive for 30–31, 32, 33, 35, 53–54, 100 political will: interviewee perceptions of PNG and 165, 166, 169; manipulating image and lack of 172–173, 186–187, 190, 192, 201; and success of prohibition regimes 32, 73; and success of UNCAC 80–82, 187–188, 213, 225; for UNCAC in PNG 129, 137, 139, 141, 199, 200 preventing corruption 58–59, 63–64, 73–75 Principles of Good Leadership and Accountability (PIF, 2004) 104–106, 115n96 Proceeds of Crime Act (POCA, 2005, PNG): as anti-corruption legislation 131, 140, 179, 186, 192; external influence on development 170, 204, 208n38 ‘Public Interest’ approach to corruption 9–10 ‘Public Office’ approach to corruption 9–11, 131 public opinion see perceptions Public Prosecutor of PNG: interviewee opinions 156, 167, 199; role 132, 136, 170 reduction (fifth) stage of regime evolution: goal and challenges 15, 16–17, 19, 39, 180, 191; and UNCAC 51, 186, 193, 205–206, 213, 215–216 Reed, Q 28–30, 32, 35–36 regime evolution: applying model to anti-corruption 17–20, 25–33; expanding the model of 20–25; five-stage model of 15–17; risk factors 34–38 regime theory 11–12 250 Index reporting of target activity: mechanisms in legislation 138, 237; and regime success 16, 18, 19, 29–30, 216 reputation see perceptions research methodology: interviews and interviewees 154–155, 238–239, 240–242; questions 3, 38 Resolution 4/1 (24-28 October 2011) 222 Resolution 51/59 (12 December 1996) 54, 56 Resolution 51/191 (16 December 1996) 54, 56 Resolution 55/61 (22 January 2001) 55, 60 Resolution 56/260 (21 January 2002) 60 Resolution 1514 (14 December 1960) 123 resources: available for committing corruption 16, 18, 216; available for UNCAC in PNG 143–144, 156–157, 160–161, 164, 166, 170, 173; implementing UNCAC and lack of 4, 73, 83, 141; for implementing UNCAC and political will 82, 128– 129, 130, 199, 217; mitigating lack of 74, 188, 215, 218; to implement UNCAC in South Pacific 93, 110 review mechanism see Implementation Review Mechanism (UNCAC) revisionist position on corruption 9, 36–37, 40n8 Rimbunan Hijau (Malaysian logging company) 128, 139, 162, 204 risk factors: in regime evolution 34–38; and UNCAC 82–84, 109–111, 193–205, 214, 217–219; and UNCAC in PNG 143, 158–166, 170–174, 225 Rodrigues, C (interviewee) 160, 167, 169 Royal Papua New Guinea Constabulary 136, 141 SABLs (Special Agricultural Business Leases) 1–2, 162, 183–184 Samoa (was Western Samoa) 93, 94–95, 103, 104, 110, 232 Schacter, M 29 Schloenhardt, A 72 Schutte, SA 32–33 SEC (Securities and Exchange Commission, US) 21 Secretariat of the Pacific Community (SPC) 93 Securities and Exchange Commission (SEC, US) 21 security concerns: and corruption in South Pacific 100, 102, 171; in global prohibition regimes 14, 30; in UNCAC 35, 50, 55, 64, 106 self-assessment of UNCAC compliance 79–80, 140 Seminar on Corruption in Government (1989) 52–53, 84n11 services: corporates providing 101, 170; corruption and lack of access to 93–94, 96, 110, 130, 161, 169 Shah, A 29 SIDS (Small Island Developing States) 93, 97, 121, 191 slavery, regime against 14–15, 42n67, 182, 216–217, 218 Small Island Developing States (SIDS) 93, 97, 121, 191 Snidal, D 20–23, 180 socio-economic development: anticorruption as promoting 53–54; corruption as threat to 9, 13, 21, 55, 59, 60, 122; UNCAC as supporting 64, 106; see also development aid; Special Agricultural Business Leases (SABLs) ‘soft law’ instruments against corruption 104–106, 110, 114n87, 120 Solomon Islands 93, 95, 101, 103, 109, 113n57, 232 Somare, Sir Michael T (former Prime Minister of PNG) 129, 148n92 South Pacific: anti-corruption measures 93, 103–109, 120, 155, 182–183; colonial influence in 94–96; corruption and aid in 96–100, 113n57, 121, 127; crime and political stability 100; geography and economy 93–94; list of domestic anti-corruption laws 232; risks and challenges for UNCAC in 32, 33, 109–111, 172, 191; role of corporate interests in 101–102; role of PNG in 129–130, 200; signatories to UNCAC 103; under-representation in UNCAC 61, 83–84, 167, 179; WGI Control of Corruption score 114n86 sovereignty: as concern for UNCAC 30, 62–63, 69, 75–78, 79; and criminogenic asymmetries 13, 101; and global prohibition regimes 26–27, 36, 181; protection in UNCAC Index 251 66, 68, 105–106; and transnational corporations 101–102; vacuums of 15, 32, 110 SPC (Secretariat of the Pacific Community) 93 Special Agricultural Business Leases (SABLs) 1–2, 162, 183–184 special investigative techniques (UNCAC Article 50) 76 StAR initiative 190 State Implementation and Review of UNCAC (2017) 81–82 Strategic Principles and Operational Activities of the Pacific AntiCorruption Initiative (2010) 106, 107; see also ADB/OECD AntiCorruption Initiative for the Asia Pacific (2001) substitutability of target activity 16, 19, 32, 216 Symeonidou-Kastanidou, E 72 Taiwan, aid and influence 98, 127, 129, 144, 200 Task Force Sweep (PNG anticorruption body) 2, 128–129, 136–137, 199 TCL (Transnational Criminal Law) see Transnational Criminal Law (TCL) technical assistance: to PNG 144, 157, 191; to support implementation 141, 188, 222; within UNCAC 64, 76–79, 215, 230 technology: as challenge for regime implementation 110, 187, 193, 199, 223; in support of regime implementation 110, 189, 215, 216–217, 224 terms of reference for UNCAC 60–64, 86n70 Thurer, D 105 TI see Transparency International (TI) Tiensten, Paul (PNG politician) 129 Tonga 93, 94, 103, 104, 110, 232 trading in influence: in PNG legislation 141, 196; in UNCAC 71, 81 transfer of criminal proceedings (UNCAC Article 47) 76; see also jurisdiction transnational corporations see corporate actors Transnational Criminal Law (TCL): as approach to anti-corruption 16, 25–27, 31; and UNCAC 54, 74, 80, 181 transnational legal process 23 Transparency International (TI): Corruption Perceptions Index (CPI) 3, 5n17, 140, 204–205; as moral entrepreneur 11, 17–18, 42n76, 108, 109, 190, 221; in PNG 139, 159, 160, 162, 202, 224 Travaux Preparatoires (UNCAC) 66 Tusikov, N 28 Twining, W 23, 24, 180, 181, 182, 185 UN Commission on Human Rights 53, 85n20 UN Convention against Transnational Organised Crime see UNTOC (UN Convention against Transnational Crime) UN Declaration on the Granting of Independence to Colonial Countries and Peoples (1960) 123 UN-PRAC (Pacific Regional AntiCorruption Project) 107–108, 142, 183 UNCAC Coalition 190, 208n58, 221 UNCAC (United Nations Convention Against Corruption): draft terms of reference 60–64; extracts from 229–231; finalisation of text and processes 64–82; ideas and conventions informing 50–60; impact in PNG 155–158, 156, 179–180, 184–189; ratification and signing 24–25, 50–51, 82, 103, 140; stage of development 51, 186, 193, 205–206, 213, 215–216; suggestions for improving UNCAC 219–224; see also Implementation Review Mechanism (UNCAC) UNDP (United Nations Development Programme) 107, 142, 169, 185 United Nations Development Programme (UNDP) 107, 142, 169, 185 United Nations Office on Drugs and Crime (UNODC) 16, 64, 81, 140, 190 United States of America (US): role in evolution of UNCAC 18, 21–22, 180; war on drugs 30, 44n155, 195 United States Foreign Corrupt Practices Act (FCPA, 1977) 21–22, 36, 180 UNODC (United Nations Office on Drugs and Crime) 16, 64, 81, 140, 190 252 Index UNTOC (UN Convention against Transnational Organised Crime): differences from UNCAC 56–57, 58; informing UNCAC 35, 53, 55, 63, 64, 76, 228 US see United States of America (US) values and interests shaping anticorruption regime 20–25 Vanuatu 93, 95, 97, 103, 109, 232 Vlassis, Dimitri (UNODC Executive) 80, 155, 160 Walton, GW 201–202 ‘war on’ model 29–30, 44n155 Western Samoa (now Samoa) 93, 94–95, 103, 104, 110, 232 WGI (World Bank Governance Index) 114n86, 202 whistle-blowers: conventions providing protection to 58, 63, 107, 216; empowering 223; protection in PNG 141, 166, 189, 198 Windybank, S 33 Wolfensohn, James D (World Bank president 1995-2005) World Bank: development aid to South Pacific and PNG 97, 126, 189–190; governance and corruption indicators 114n86, 202; position on anticorruption 11, 31, 99; position on corruption 9, 18, 184 World Ministerial Conference on Organised Transnational Crime (1994) 53 Zumbansen, P 23, 24, 180, 181, 182, 185 ... Setting the stage – corruption and the global anti- corruption regime Corruption: in search of a definition  The global anti- corruption regime? ?? 11 Introducing the five-stage model: the theory of... global prohibition regime evolution (the model) to the global anticorruption regime. 22 The model assists in understanding the evolution of the global anti- corruption regime, its nature, and the. .. Applying the five-stage model to the global anti- corruption regime? ??17 Theoretical expansion: emphasising values and interests in the evolution of the global anti- corruption regime? ?? 20 Introducing the