世界银行-腐败的受害者：回报（英）-2023.11.docx

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alnsoosQ-qndNOVEMBER2023.timsofCorruptionBackforPayback0<alnso-osQ-qndFelipeFreitasFaIconiJoseUgazJuanitaOlayaGarciaYaraEsquivelSotoPN-o号<alnsoosQ-qndVictimsOfCorruptionBackforPaybackFelipeFreitasFalconiJoseUgazJuanitaOlayaGarciaYaraEsquivelSotoSionAssetRecoveryMtiMThWofMBmAUNOOC©2023InternationalBankforReconstructionandDevelopment/TheWorldBank1818HStreetNW1Washington,DC20433Telephone:0Internet:star.worldbank.orgEmail:starinitiativeworldbank.orgTwitter:()returningassetsSomerightsreserved.StAR-theStolenAssetReveryInitiativeisapartnershipbetweentheWorldBankGroupandtheUnitedNationsOfficeonDrugsandCrime(UNODC)thatsupportsinternationaleffortstoendsafehavensforcorruptfunds.StARworkswithdevelopingcountriesandfinancialcenterstopreventthelaunderingoftheproceedsofcorruptionandtofacilitatemoresystematicandtimelyreturnofstolenassets.ThisworkisaproductofthestaffofTheWorldBankandtheUnitedNationsOfficeonDrugsandCrimewithexternalcontributions.Thefindings,interpretationsandconclusionsexpressedinthisworkdonotnecessarilyreflecttheviewsofTheWorldBank,itsBoardofExecutiveDirectors,orthegovernmentstheyrepresent,theUnitedNations,oritsMemberStates.TheWorldBankandtheUnitedNationsdonotguaranteetheaccuracyofthedataincludedinthiswork.Theboundaries,colors,denominations,andotherinformationshownonanymapinthisworkdonotimplyanyjudgmentonthepartofTheWorldBankortheUnitedNationsconcerningthelegalstatusofanyterritoryortheendorsementoraeptanceofsuchboundaries.NothinghereinshallconstituteorbeconsideredtobealimitationuponorwaiveroftheprivilegesandimmunitiesofTheWorldBankortheUnitedNations,allofwhicharespecificallyreserved.RightsandPermissionsThematerialinthisworkissubjecttocopyright.BecauseTheWorldBankencouragesdisseminationofitsknowledge,thisworkmaybereproduced,inwholeorinpart,fornoncommercialpurposesaslongasfullattributiontothisworkisgiven.Anyqueriesonrightsandlicenses,includingsubsidiaryrights,shouldbeaddressedtoWorldBankPublications,TheWorldBankGroup,1818HStreetNW,Washington,DC20433,USA;fax:;e-mail:pubrightsworldbank.org.CoverillustrationbyLindsayJordanKretchenDesignbySensicalDesignContentsAbbreviations4Acknowledgments5Introduction6InternationalStandards121 .1TheUnitedNationsConventionagainstCorruption(UNCAC)1222 ThePoliticalDeclarationadoptedattheUnitedNationsSpecialSessionoftheGeneralAssembly1423 TheCouncilofEuropeCivilLawConventiononCorruption1524 TheCouncilofEuropeConventiononLaundering,Search,SeizureandConfiscationoftheProceedsfromCrimeandontheFinancingofTerrorism.1625 EuropeanUnion(EU)Directive2014/42/EUonthefreezingandconfiscationofinstrumentalitiesandproceedsofcrimeintheEuropeanUnion1626 VictimsasdefinedinInternationalandRegionalHumanRightsTreatiesandStandards1627 7AarhusConvention1828 Otherinternationalcommitments18AvenuesforReparation203.1Civilproceedings2032Criminalproceedings2133ClassActionsandRepresentativeActions233.4ConstitutionalProtectionMechanisms2435HumanRightsMechanisms253fiAdministrativeProCedUreS273.7Reparationfunds28LegalStandingandVictimStatus304.1Legalstandingacrossjurisdictions3042Legalstandingincivilproceedings3243Legalstandingincriminalproceedings324.4Legalstandinginclassactionsandrepresentativeactions3445Typesofvictims34EstablishingDamages441 .1Directandindirectdamages4452 Materialandimmaterialdamages4653 Proofandmeasurementofdamages47ConclusionandReflectionsfortheFuture526.1Enablingtheparticipationofvictimsincriminalproceedings5262Enablingtheparticipationofvictimsinnon-trialresolutions5363Aontingforthenatureofcorruptiondamages536.4Enablingtherecoveryofdamagesthroughreparationfunds5465Measuresbeyondlegislativeandpolicyframeworks:Accesstoinformation,researchandparticipationofcivilsociety,academiaandvictimsofcorruption.54TableTable4.1.CasesinwhichGovernmentshaveReveredDamagesinU.S.Courts.37BoxesBox3.1.ConsitutionofArgentina25Box3.2.ConstitutionofCostaRica25Box3.3.EnablingCollectiveRights28Box4.1.CivilSocietyandAssetRevery33Box4.2.TheGiirtelcase34Box4.3.Switzerland35Box4.4.UnitedKingdom36Box4.5.UnitedStates36Box4.6.BriberyInvestigationsUsingtheFCPA37Box4.7.CostaRica39Box4.8.TheLavaJatoCase40Box4.9.Brazil40Box5.1.RichetDamage44Box5.2.MoralDamages47Box5.3.ExistenceofHarmthroughProofofDamages48Box5.4.MoralDamages48Box5.5.Non-PecuniaryDamages49Box5.6.QuantificationofReparations49AbbreviationsCETSCOPINH COSP ECCJ ECOWAS EU FATF FCPA GFAR IACHR IBA ICE MACCIH NGO OAS OHCHR OECD SFO StAR TlUN UNCAC UNECE UNODCCouncilofEuropeConventiononLaundering,Search,SeizureandConfiscationoftheProceedsfromCrimeandontheFinancingOfTerrorismNGOCivicCouncilofPopularandIndigenousOrganizationsofHondurasConferenceofStatePartiestotheUNCACECOWASCourtofJusticeEconomicCommunityofWestAfricanStatesEuropeanUnionFinancialActionTaskForceForeignCorruptPracticesAct(UnitedStates)GlobalForumonAssetRecoveryInter-AmericanCommissionofHumanRightsInternationalBarAssociationCostaRicanElectricityInstituteMissiontoSupporttheFightagainstCorruptionandImpunityinHondurasNon-govemmentalOrganizationOrganizationofAmericanStatesOfficeoftheUnitedNationsHighCommissionerforHumanRightsOrganisationforEconomicCo-operationandDevelopmentSeriousFraudOfficeStolenAssetReveryInitiativeTransparencyInternationalUnitedNationsUnitedNationsConventionagainstCorruptionUnitedNationsEconomicCommissionforEuropeUnitedNationsOfficeonDrugsandCrimeAcknowledgmentsTheteambenefittedfrommanyperceptivecommentsfrompractitionersaroundtheworld.Theauthorswishtoextendtheirspecialthankstothefollowingpractitionersandcolleagueswhoofferedtheirreview,experience,perspectivesandnationalexpertisethroughouttheprocess:FredericRaffray(WorldBankconsultant),GreysaBarrientos(ChiefAppellateProsecutor,CostaRica),KateMcMahon(AssetReveryCommitteeoftheInternationalBarAssociation),MaryButler(ChiefoftheInternationalUnitoftheMoneyLaunderingandAssetRecoverySectionoftheUnitedStatesDepartmentofJustice),MelanieChabert(AssociateCrimePreventionandCriminalJusticeOfficer,UNODC),MirenEscos(WorldBankEconomist),RadhaIvory(SeniorLecturerinLawattheUniversityofQueensland,Australia),RobertDelonis(ManagerofSpecialLitigationsUnitoftheIntegrityVicePresidencyattheWorldBank).TheteamalsobenefitedfromextensivecontributionsfromRichardE.Messick(WorldBankConsultant)andtheguidanceandinsightfulcommentsfromMr.EmileVanderDoesdeVillebois(StARcoordinator).1IntroductionCorruptionharmscommunitiesandimpactstheglobaleconomy.Itdiscouragesbusinessopportunities,hindersforeignaidandinvestment,andexacerbatesinequality.Itvictimizessociety'smostvulnerableandmarginalizedindividualsbyaffectingtheirabilitytomeettheirbasicneeds,aswellasreducingtheirchancesofovercomingpovertyandexclusion.Forexample,corruptioncostslivesintheconstructionindustry'andinthehealthcaresector.2Thedivestingofpublicfundsleadstodecreasedspendingonpublicservices,suchaseducationandtheprotectionoftheenvironment.3Whencorruptioniscommittedthroughcriminalgroupsthatareconnectedtoinfluentialeconomicorpoliticalactors,4itincreasestheriskofinstabilityandviolence,whichinturnposesathreattointernationalpeaceandsecurity.Inrecentyearstherehasbeenanincreasingrecognitionoftherelationshipbetweencorruptionandhumanrights,asreflectedbytworesolutionsadoptedbytheUnitedNations(UN)HumanRightsCouncilin2021.5Whereassocial,economicandculturalrightsareaffectedwhencorruptionimpactstheprovisionandqualityofgoodsandservices,civilandpoliticalrightsareimpactedwhencorruptionpreventstheproperfunctioningofinstitutions,underminestheruleoflawandultimatelyharmstrustinthelegitimacyofgovernment.6Despitethisgeneralunderstandingandtheresearcheffortsengagedingeneratingdataonthismatter,7becauseofitscovertnatureandperniciousconsequences,thestofcorruptionismarkedlydifficulttomeasureandquantify.Similarly,victimizationinthiscontextisoftencomplexbecause,asinthecaseofenvironmentalcrime,8itsvictimsarenotalwayseasilyidentifiable.Inmanycases,theymaynotevenbeawareoftheirvictimization.Thepreventionandcounteringofcorruptionhaveattractedsignificantpoliticalattention.However,itisalsoincreasinglyacknowledgedthatpreventiveapproachesandrepressivecriminalresponsesareincompleteifthedamagesarisingfromtheactsinquestionareleftunaddressed.Thus,thispublicationisfocusedonexploringsuchdamages,includinghowvictimscanbecompensated.Thereparationofdamagesexistsasageneralprincipleoflawinalllegalsystems.Inbothcommonlawandcivillawsystems,itisunderstoodastheremediationofaharmoriginatingfromanunlawfulconductinordertoreestablishthesituationthatwouldhaveexistedhadtheharmnotoccurred(Restitutioadintegrum).9Differentlegalsystemsresorttodifferenttermstorefertothevariousconceptsrelatedtoremedyingdamages.Therefore,thetermsrecovery,restitution,reparation,compensation,remedyandredressmayhavedifferentmeaningsindifferentjurisdictions.Moreover,therecoveryofcorruptiondamagesmaybegroundedintwodistinctconceptualregimes:the,*anti-corruptionregime'5ontheonehand,andhumanrightslawontheother.Humanrightsareunderstoodas'Internationallyguaranteedlegalentitlementsofindividualsvis-a-visthestate."10Assuch,theyarethefoundationforaclaims-basedandvictim-centeredapproachthatisfocusedonensuringreparationfortheaggrieved(individualorcollective)victims.Thiscontrastswitharepressiveanti-corruptionanglethatisfocusedonprosecutingtheoffendersandensuringaccountability.However,bothregimeshaveincommonthattheyaregroundedintheruleoflaw,ortheideathat*,allpersonsandauthoritiesWithinthestate,whetherpublicorprivate,shouldbeboundbyandentitledtothebenefitoflawspubliclyandprospectivelypromulgatedandpubliclyadministeredinthecourts."11Inotherwords,bothapproachesrequireanapplicationofthelawthatisfair,consistentandpredictable.TheUnitedNationsConventionagainstCorruption(UNCAC),theonlylegallybindinguniversalanti-corruptioninstrument,incorporatesprovisionsaimedatpromotingdomesticlegalframeworksthatprovidevictims(andpriorlegitimateowners)withthemeanstorecoverthedamagesandassetsimplicatedinrruptionoffences.Inthiscontext,theUNCAC,sChapterVisdevotedtoassetrecovery,whichgoesbeyondthearchetypalandnarrowanti-corruptionfocusonlawenforcementwithregardtotheoffenders,specifically,toreturningthestolenassetstotheirrightfulowners,includingcountriesfromwhichtheyhadbeenillicitlytaken.Theinclusionofclaims-basedprovisionsrelatedtothecompensationofvictimswithintheUNCAC,ifonlysparselyandbroadlyconsidered,showsthattheanti-corruptionregimeandthehumanrightsapproachdoinfactinterlockandmutuallyreinforceoneanother.Notwithstanding,conceptssuchasthatoftheuvictim1,'whenintegratedintoanti-corruptiontreaties,dorequireashiftinperspectivefromthedefaultobjectiveofensuringaccountabilitybyavertingimpunitytotheobjectiveofensuringthereparationoftheharmscausedtovictims-whethertheseareindividuals,particulargroupswithinsocieties,orentirestates.Despitetheinternationalconsensusreflectedinregionalandinternationalinstrumentsanddeclarations(seechapter2),nosystematicresearchhasbeenconductedconcerningthereparationofvictimsofcorruption.Furthermore,theexistingresearch66 Despite the international consensus reflected in regional and international instrumentsand declarations, no systematic research has been conductedconcerning the reparation of victims of corruptionsbyacademics,12civilsocietyorganizations,13andtheUnitedNationsOfficeonDrugsandCrime(UNODC)showsthatinonlyasmallnumberofcountrieshavevictimsofcorruptionoffencesbeencompensated.Inmostcasesinwhichembezzledfundsarerecovered,noreparationisreceived.Also,inmostothercases,thereisnoinformationaboutthematter.Whatismore,theredonotappeartobemanysuchattemptstorecoverthedamagesengenderedbyactsofcorruption.ThisdearthofcaseswasdiscussedbytheUNCACsStatespartiesattheSixthSessionoftheConferenceofStatePartiestotheUNCAC(COSP)heldin2015.ItculminatedintheadoptionofaresolutiondirectingtheCOSP,sOpen-endedIntergovernmentalWorkingGrouponAssetRecoverytocompilealistofbestpracticesforidentifyingvictimsofcorruptionandtheparametersforcompensation.14Discussionscontinuedatthe2017and2019sessions.TheStatespartiesalsopassedadditionalresolutionsinstructingtheWorkingGrouptoredoubleitseffortstoidentifybestpractices.15Thispublicationwasdevelopedaspartofthateffortandwithinthelargerobjectiveofstimulatingfurtherresearchandexchangeonthematter.Itisaimedatprovidinganoverviewofthecurrentstateoflawandpracticeregarding:(i)therecoveryofcorruptiondamages;(ii)outliningthedifferenttypesoflegalframeworksandavenuesavailableindifferentlegalsystems;and(iii)therespectivelegalbarriersandotherchallengesthatmayarise.Thispublicationdrawsontheresponsesof56jurisdictionsreceivedinresponsetotwoquestionnaires16concerningcountries'legislationandtheirimplementation.ItwasconductedbytheUNODCandtheAssetRecoveryCommitteeoftheInternationalBarAssociation.Despitethebreadthofthegeographicscope,theresponsescoveringeveryregion,thestageofdevelopmentandadiversityoflegalsystems,thesamplewasconsideredtoosmalltodrawdefinitiveconclusionsfrom-especiallyastheresponsesreflectedthelackofavailableinformationconcerningpracticalcasesofimplementation.Forthisreason,referencestotheresponsesarelimitedtocertaininstances.Thesurveysarereferredtoas',thequestionnaires"throughoutthepublication.Totheextentnecessary,theanalysisalsoreliesonexistingresearchconcerningtherecoveryofdamagesforcorruptionandthecomparativelawliteratureontortsandcivilliabilitiesandcriminalprocedures,17aswellastheoutcomesoftheUNCACscountryreviewsconductedunderitsImplementationReviewMechanism.Intermsofscope,thefollowingpointsrequireattention.Firstly,althoughthemostfrequentlyoccurringtypeofcorruptionissmall-scalecorruptionthroughwhichnaturalorlegalpersonsareharmedbyagencyactionsordecisions,thescopeofthispublicationisfocusedonaddressingquestionsofrecoveryrelatingtocasesofgrandcorruption.Thesignificantsumsinvolvedinsuchcases,aswellastheircomplexity,meanthatthepossibilityforrecoveryinsuchcasesmeritsparticularattention.Moreover,thispublicationfocusesontheexistinglegalavenues.Therefore,itdoesnotaddressthechallengesassociatedwithenforcingjudgmentsoncetheyareadjudicated.Judgmentenforcementisapotentiallysignificantchallengeintransnationalcorruptioncaseswheretheperpetratororthestolenassetsmayresideoutsideofthejurisdictionhostingthelegalproceedings,sothatthematterwouldmeritapublicationofitsown.18Finally,thelimitationsofthisstudyrelatetothemostsalientfeatureofthecountriessurveyedthroughthequestionnaires,whichistheabsenceofpublicinformationabouttheparticipationofvictimsofcorruptionincriminalproceedings.Thecountries'responsestothequestionnairesdemonstratethedifficultyofaccessingandsharinginformationrelatedtocorruptioncases.Ofthe56countriessurveyed,onlythree(theCaymanIslands,GreeceandSouthAfrica)indicatedthattheywereawareofcasesinwhichthecompensationofdamageswasgrantedtovictimsofcorruption.Also,onlythree(Brazil,SouthAfricaandSwitzerland)knewa