世界银行-腐败的受害者：回报（英）-2023.11.docx

《世界银行-腐败的受害者：回报（英）-2023.11.docx》由会员分享，可在线阅读，更多相关《世界银行-腐败的受害者：回报（英）-2023.11.docx（60页珍藏版）》请在课桌文档上搜索。

1、P N-on alnsoosQ-qndNOVEMBER2023.timsofCorruptionBackforPayback0alnso-osQ-qndFelipeFreitasFaIconiJoseUgazJuanitaOlayaGarciaYaraEsquivelSotoPN-o号alnsoosQ-qndVictimsOfCorruptionBackforPaybackFelipeFreitasFalconiJoseUgazJuanitaOlayaGarciaYaraEsquivelSotoSionAssetRecoveryMtiMThWofMBmAUNOOC2023Internation

2、alBankforReconstructionandDevelopment/TheWorldBank1818HStreetNW1Washington,DC20433Telephone:0Internet:star.worldbank.orgEmail:starinitiativeworldbank.orgTwitter:()returningassetsSomerightsreserved.StAR-theStolenAssetReveryInitiativeisapartnershipbetweentheWorldBankGroupandtheUnitedNationsOfficeonDru

3、gsandCrime(UNODC)thatsupportsinternationaleffortstoendsafehavensforcorruptfunds.StARworkswithdevelopingcountriesandfinancialcenterstopreventthelaunderingoftheproceedsofcorruptionandtofacilitatemoresystematicandtimelyreturnofstolenassets.ThisworkisaproductofthestaffofTheWorldBankandtheUnitedNationsOf

4、ficeonDrugsandCrimewithexternalcontributions.Thefindings,interpretationsandconclusionsexpressedinthisworkdonotnecessarilyreflecttheviewsofTheWorldBank,itsBoardofExecutiveDirectors,orthegovernmentstheyrepresent,theUnitedNations,oritsMemberStates.TheWorldBankandtheUnitedNationsdonotguaranteetheaccurac

5、yofthedataincludedinthiswork.Theboundaries,colors,denominations,andotherinformationshownonanymapinthisworkdonotimplyanyjudgmentonthepartofTheWorldBankortheUnitedNationsconcerningthelegalstatusofanyterritoryortheendorsementoraeptanceofsuchboundaries.Nothinghereinshallconstituteorbeconsideredtobealimi

6、tationuponorwaiveroftheprivilegesandimmunitiesofTheWorldBankortheUnitedNations,allofwhicharespecificallyreserved.RightsandPermissionsThematerialinthisworkissubjecttocopyright.BecauseTheWorldBankencouragesdisseminationofitsknowledge,thisworkmaybereproduced,inwholeorinpart,fornoncommercialpurposesaslo

7、ngasfullattributiontothisworkisgiven.Anyqueriesonrightsandlicenses,includingsubsidiaryrights,shouldbeaddressedtoWorldBankPublications,TheWorldBankGroup,1818HStreetNW,Washington,DC20433,USA;fax:;e-mail:pubrightsworldbank.org.CoverillustrationbyLindsayJordanKretchenDesignbySensicalDesignContentsAbbrev

8、iations4Acknowledgments5Introduction6InternationalStandards121 .1TheUnitedNationsConventionagainstCorruption(UNCAC)1222 ThePoliticalDeclarationadoptedattheUnitedNationsSpecialSessionoftheGeneralAssembly1423 TheCouncilofEuropeCivilLawConventiononCorruption1524 TheCouncilofEuropeConventiononLaundering

9、,Search,SeizureandConfiscationoftheProceedsfromCrimeandontheFinancingofTerrorism.1625 EuropeanUnion(EU)Directive2014/42/EUonthefreezingandconfiscationofinstrumentalitiesandproceedsofcrimeintheEuropeanUnion1626 VictimsasdefinedinInternationalandRegionalHumanRightsTreatiesandStandards1627 7AarhusConve

10、ntion1828 Otherinternationalcommitments18AvenuesforReparation203.1Civilproceedings2032Criminalproceedings2133ClassActionsandRepresentativeActions233.4ConstitutionalProtectionMechanisms2435HumanRightsMechanisms253fiAdministrativeProCedUreS273.7Reparationfunds28LegalStandingandVictimStatus304.1Legalst

11、andingacrossjurisdictions3042Legalstandingincivilproceedings3243Legalstandingincriminalproceedings324.4Legalstandinginclassactionsandrepresentativeactions3445Typesofvictims34EstablishingDamages441 .1Directandindirectdamages4452 Materialandimmaterialdamages4653 Proofandmeasurementofdamages47Conclusio

12、nandReflectionsfortheFuture526.1Enablingtheparticipationofvictimsincriminalproceedings5262Enablingtheparticipationofvictimsinnon-trialresolutions5363Aontingforthenatureofcorruptiondamages536.4Enablingtherecoveryofdamagesthroughreparationfunds5465Measuresbeyondlegislativeandpolicyframeworks:Accesstoi

13、nformation,researchandparticipationofcivilsociety,academiaandvictimsofcorruption.54TableTable4.1.CasesinwhichGovernmentshaveReveredDamagesinU.S.Courts.37BoxesBox3.1.ConsitutionofArgentina25Box3.2.ConstitutionofCostaRica25Box3.3.EnablingCollectiveRights28Box4.1.CivilSocietyandAssetRevery33Box4.2.TheG

14、iirtelcase34Box4.3.Switzerland35Box4.4.UnitedKingdom36Box4.5.UnitedStates36Box4.6.BriberyInvestigationsUsingtheFCPA37Box4.7.CostaRica39Box4.8.TheLavaJatoCase40Box4.9.Brazil40Box5.1.RichetDamage44Box5.2.MoralDamages47Box5.3.ExistenceofHarmthroughProofofDamages48Box5.4.MoralDamages48Box5.5.Non-Pecunia

15、ryDamages49Box5.6.QuantificationofReparations49AbbreviationsCETSCOPINH COSP ECCJ ECOWAS EU FATF FCPA GFAR IACHR IBA ICE MACCIH NGO OAS OHCHR OECD SFO StAR TlUN UNCAC UNECE UNODCCouncilofEuropeConventiononLaundering,Search,SeizureandConfiscationoftheProceedsfromCrimeandontheFinancingOfTerrorismNGOCiv

16、icCouncilofPopularandIndigenousOrganizationsofHondurasConferenceofStatePartiestotheUNCACECOWASCourtofJusticeEconomicCommunityofWestAfricanStatesEuropeanUnionFinancialActionTaskForceForeignCorruptPracticesAct(UnitedStates)GlobalForumonAssetRecoveryInter-AmericanCommissionofHumanRightsInternationalBar

17、AssociationCostaRicanElectricityInstituteMissiontoSupporttheFightagainstCorruptionandImpunityinHondurasNon-govemmentalOrganizationOrganizationofAmericanStatesOfficeoftheUnitedNationsHighCommissionerforHumanRightsOrganisationforEconomicCo-operationandDevelopmentSeriousFraudOfficeStolenAssetReveryInit

18、iativeTransparencyInternationalUnitedNationsUnitedNationsConventionagainstCorruptionUnitedNationsEconomicCommissionforEuropeUnitedNationsOfficeonDrugsandCrimeAcknowledgmentsTheteambenefittedfrommanyperceptivecommentsfrompractitionersaroundtheworld.Theauthorswishtoextendtheirspecialthankstothefollowi

19、ngpractitionersandcolleagueswhoofferedtheirreview,experience,perspectivesandnationalexpertisethroughouttheprocess:FredericRaffray(WorldBankconsultant),GreysaBarrientos(ChiefAppellateProsecutor,CostaRica),KateMcMahon(AssetReveryCommitteeoftheInternationalBarAssociation),MaryButler(ChiefoftheInternati

20、onalUnitoftheMoneyLaunderingandAssetRecoverySectionoftheUnitedStatesDepartmentofJustice),MelanieChabert(AssociateCrimePreventionandCriminalJusticeOfficer,UNODC),MirenEscos(WorldBankEconomist),RadhaIvory(SeniorLecturerinLawattheUniversityofQueensland,Australia),RobertDelonis(ManagerofSpecialLitigatio

21、nsUnitoftheIntegrityVicePresidencyattheWorldBank).TheteamalsobenefitedfromextensivecontributionsfromRichardE.Messick(WorldBankConsultant)andtheguidanceandinsightfulcommentsfromMr.EmileVanderDoesdeVillebois(StARcoordinator).1IntroductionCorruptionharmscommunitiesandimpactstheglobaleconomy.Itdiscourag

22、esbusinessopportunities,hindersforeignaidandinvestment,andexacerbatesinequality.Itvictimizessocietysmostvulnerableandmarginalizedindividualsbyaffectingtheirabilitytomeettheirbasicneeds,aswellasreducingtheirchancesofovercomingpovertyandexclusion.Forexample,corruptioncostslivesintheconstructionindustr

23、yandinthehealthcaresector.2Thedivestingofpublicfundsleadstodecreasedspendingonpublicservices,suchaseducationandtheprotectionoftheenvironment.3Whencorruptioniscommittedthroughcriminalgroupsthatareconnectedtoinfluentialeconomicorpoliticalactors,4itincreasestheriskofinstabilityandviolence,whichinturnpo

24、sesathreattointernationalpeaceandsecurity.Inrecentyearstherehasbeenanincreasingrecognitionoftherelationshipbetweencorruptionandhumanrights,asreflectedbytworesolutionsadoptedbytheUnitedNations(UN)HumanRightsCouncilin2021.5Whereassocial,economicandculturalrightsareaffectedwhencorruptionimpactstheprovi

25、sionandqualityofgoodsandservices,civilandpoliticalrightsareimpactedwhencorruptionpreventstheproperfunctioningofinstitutions,underminestheruleoflawandultimatelyharmstrustinthelegitimacyofgovernment.6Despitethisgeneralunderstandingandtheresearcheffortsengagedingeneratingdataonthismatter,7becauseofitsc

26、overtnatureandperniciousconsequences,thestofcorruptionismarkedlydifficulttomeasureandquantify.Similarly,victimizationinthiscontextisoftencomplexbecause,asinthecaseofenvironmentalcrime,8itsvictimsarenotalwayseasilyidentifiable.Inmanycases,theymaynotevenbeawareoftheirvictimization.Thepreventionandcoun

27、teringofcorruptionhaveattractedsignificantpoliticalattention.However,itisalsoincreasinglyacknowledgedthatpreventiveapproachesandrepressivecriminalresponsesareincompleteifthedamagesarisingfromtheactsinquestionareleftunaddressed.Thus,thispublicationisfocusedonexploringsuchdamages,includinghowvictimsca

28、nbecompensated.Thereparationofdamagesexistsasageneralprincipleoflawinalllegalsystems.Inbothcommonlawandcivillawsystems,itisunderstoodastheremediationofaharmoriginatingfromanunlawfulconductinordertoreestablishthesituationthatwouldhaveexistedhadtheharmnotoccurred(Restitutioadintegrum).9Differentlegals

29、ystemsresorttodifferenttermstorefertothevariousconceptsrelatedtoremedyingdamages.Therefore,thetermsrecovery,restitution,reparation,compensation,remedyandredressmayhavedifferentmeaningsindifferentjurisdictions.Moreover,therecoveryofcorruptiondamagesmaybegroundedintwodistinctconceptualregimes:the,*ant

30、i-corruptionregime5ontheonehand,andhumanrightslawontheother.HumanrightsareunderstoodasInternationallyguaranteedlegalentitlementsofindividualsvis-a-visthestate.10Assuch,theyarethefoundationforaclaims-basedandvictim-centeredapproachthatisfocusedonensuringreparationfortheaggrieved(individualorcollectiv

31、e)victims.Thiscontrastswitharepressiveanti-corruptionanglethatisfocusedonprosecutingtheoffendersandensuringaccountability.However,bothregimeshaveincommonthattheyaregroundedintheruleoflaw,ortheideathat*,allpersonsandauthoritiesWithinthestate,whetherpublicorprivate,shouldbeboundbyandentitledtothebenef

32、itoflawspubliclyandprospectivelypromulgatedandpubliclyadministeredinthecourts.11Inotherwords,bothapproachesrequireanapplicationofthelawthatisfair,consistentandpredictable.TheUnitedNationsConventionagainstCorruption(UNCAC),theonlylegallybindinguniversalanti-corruptioninstrument,incorporatesprovisions

33、aimedatpromotingdomesticlegalframeworksthatprovidevictims(andpriorlegitimateowners)withthemeanstorecoverthedamagesandassetsimplicatedinrruptionoffences.Inthiscontext,theUNCAC,sChapterVisdevotedtoassetrecovery,whichgoesbeyondthearchetypalandnarrowanti-corruptionfocusonlawenforcementwithregardtotheoff

34、enders,specifically,toreturningthestolenassetstotheirrightfulowners,includingcountriesfromwhichtheyhadbeenillicitlytaken.Theinclusionofclaims-basedprovisionsrelatedtothecompensationofvictimswithintheUNCAC,ifonlysparselyandbroadlyconsidered,showsthattheanti-corruptionregimeandthehumanrightsapproachdo

35、infactinterlockandmutuallyreinforceoneanother.Notwithstanding,conceptssuchasthatoftheuvictim1,whenintegratedintoanti-corruptiontreaties,dorequireashiftinperspectivefromthedefaultobjectiveofensuringaccountabilitybyavertingimpunitytotheobjectiveofensuringthereparationoftheharmscausedtovictims-whethert

36、heseareindividuals,particulargroupswithinsocieties,orentirestates.Despitetheinternationalconsensusreflectedinregionalandinternationalinstrumentsanddeclarations(seechapter2),nosystematicresearchhasbeenconductedconcerningthereparationofvictimsofcorruption.Furthermore,theexistingresearch66 Despite the

37、international consensus reflected in regional and international instrumentsand declarations, no systematic research has been conductedconcerning the reparation of victims of corruptionsbyacademics,12civilsocietyorganizations,13andtheUnitedNationsOfficeonDrugsandCrime(UNODC)showsthatinonlyasmallnumbe

38、rofcountrieshavevictimsofcorruptionoffencesbeencompensated.Inmostcasesinwhichembezzledfundsarerecovered,noreparationisreceived.Also,inmostothercases,thereisnoinformationaboutthematter.Whatismore,theredonotappeartobemanysuchattemptstorecoverthedamagesengenderedbyactsofcorruption.Thisdearthofcaseswasd

39、iscussedbytheUNCACsStatespartiesattheSixthSessionoftheConferenceofStatePartiestotheUNCAC(COSP)heldin2015.ItculminatedintheadoptionofaresolutiondirectingtheCOSP,sOpen-endedIntergovernmentalWorkingGrouponAssetRecoverytocompilealistofbestpracticesforidentifyingvictimsofcorruptionandtheparametersforcomp

40、ensation.14Discussionscontinuedatthe2017and2019sessions.TheStatespartiesalsopassedadditionalresolutionsinstructingtheWorkingGrouptoredoubleitseffortstoidentifybestpractices.15Thispublicationwasdevelopedaspartofthateffortandwithinthelargerobjectiveofstimulatingfurtherresearchandexchangeonthematter.It

41、isaimedatprovidinganoverviewofthecurrentstateoflawandpracticeregarding:(i)therecoveryofcorruptiondamages;(ii)outliningthedifferenttypesoflegalframeworksandavenuesavailableindifferentlegalsystems;and(iii)therespectivelegalbarriersandotherchallengesthatmayarise.Thispublicationdrawsontheresponsesof56ju

42、risdictionsreceivedinresponsetotwoquestionnaires16concerningcountrieslegislationandtheirimplementation.ItwasconductedbytheUNODCandtheAssetRecoveryCommitteeoftheInternationalBarAssociation.Despitethebreadthofthegeographicscope,theresponsescoveringeveryregion,thestageofdevelopmentandadiversityoflegals

43、ystems,thesamplewasconsideredtoosmalltodrawdefinitiveconclusionsfrom-especiallyastheresponsesreflectedthelackofavailableinformationconcerningpracticalcasesofimplementation.Forthisreason,referencestotheresponsesarelimitedtocertaininstances.Thesurveysarereferredtoas,thequestionnairesthroughoutthepubli

44、cation.Totheextentnecessary,theanalysisalsoreliesonexistingresearchconcerningtherecoveryofdamagesforcorruptionandthecomparativelawliteratureontortsandcivilliabilitiesandcriminalprocedures,17aswellastheoutcomesoftheUNCACscountryreviewsconductedunderitsImplementationReviewMechanism.Intermsofscope,thef

45、ollowingpointsrequireattention.Firstly,althoughthemostfrequentlyoccurringtypeofcorruptionissmall-scalecorruptionthroughwhichnaturalorlegalpersonsareharmedbyagencyactionsordecisions,thescopeofthispublicationisfocusedonaddressingquestionsofrecoveryrelatingtocasesofgrandcorruption.Thesignificantsumsinv

46、olvedinsuchcases,aswellastheircomplexity,meanthatthepossibilityforrecoveryinsuchcasesmeritsparticularattention.Moreover,thispublicationfocusesontheexistinglegalavenues.Therefore,itdoesnotaddressthechallengesassociatedwithenforcingjudgmentsoncetheyareadjudicated.Judgmentenforcementisapotentiallysigni

47、ficantchallengeintransnationalcorruptioncaseswheretheperpetratororthestolenassetsmayresideoutsideofthejurisdictionhostingthelegalproceedings,sothatthematterwouldmeritapublicationofitsown.18Finally,thelimitationsofthisstudyrelatetothemostsalientfeatureofthecountriessurveyedthroughthequestionnaires,wh

48、ichistheabsenceofpublicinformationabouttheparticipationofvictimsofcorruptionincriminalproceedings.Thecountriesresponsestothequestionnairesdemonstratethedifficultyofaccessingandsharinginformationrelatedtocorruptioncases.Ofthe56countriessurveyed,onlythree(theCaymanIslands,GreeceandSouthAfrica)indicatedthattheywereawareofcasesinwhichthecompensationofdamageswasgrantedtovictimsofcorruption.Also,onlythree(Brazil,SouthAfricaandSwitzerland)knewa