Basel Institute on Governance Working Papers最新文献

{"title":"Working Paper 37: The Green Corruption paradox","authors":"J. Grossmann, Taradhinta Suryandari, Rizka Halida","doi":"10.12685/bigwp.2021.37.1-49","DOIUrl":"https://doi.org/10.12685/bigwp.2021.37.1-49","url":null,"abstract":"This Working Paper details the findings of a survey of Indonesians’ perceptions of corruption, the economy and the environment in July 2021. \u0000The 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. \u0000The 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.  \u0000People 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. \u0000The 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. \u0000This research was made possible with the generous support of the American people through the USAID CEGAH programme.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"261 3","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2021-09-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"120990890","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 36: Revealing the networks behind corruption and money laundering schemes","authors":"Jacopo Costa","doi":"10.12685/bigwp.2021.36.1-35","DOIUrl":"https://doi.org/10.12685/bigwp.2021.36.1-35","url":null,"abstract":"This working paper is based on an empirical investigation of corruption and illicit exchange related to the so-called “Lava Jato” or “Odebrecht” scandal. Focusing on former Peruvian President Alejandro Toledo and his laundering of bribes obtained from the construction giant Odebrecht, the analysis aims to test the usefulness of applying a network lens to better understand the mechanisms underlying grand corruption cases. It also aims to further illuminate the nexus between corruption and money laundering and the role of hidden and offshore financial infrastructures in facilitating the illicit schemes.  \u0000The research used a combination of social network analysis and network ethnography techniques to explore the following questions:  \u0000 \u0000How do money laundering activities and offshore financial infrastructures sustain corruption?  \u0000Who are the key actors involved, how do they interact and what is their division of labour?  \u0000How do actors and clusters govern the social-financial web of relations?  \u0000 \u0000Answering these questions with empirical evidence related to a specific case makes it possible to better understand how the connection between corruption and money laundering using offshore financial infrastructure works. It also supports the emerging understanding of corruption as a collective, transnational and financially advanced phenomenon. ","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"23 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2021-07-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"125182784","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 35: Social network analysis applied to illegal wildlife trade between East Africa and Southeast Asia","authors":"Jacopo Costa","doi":"10.12685/bigwp.2021.35.1-58","DOIUrl":"https://doi.org/10.12685/bigwp.2021.35.1-58","url":null,"abstract":"This report presents the findings of a novel application of social network analysis (SNA) to study a criminal network surrounding an East Africa-based wildlife trafficker. This technique focuses on understanding structural, functional and sociometric characteristics of networks by mapping social interactions between individuals and groups.  \u0000Particularly, the research studies how wildlife trafficking happens, and, in doing so, offers several promising avenues to curb it. SNA makes it possible to deconstruct the criminal network in question and identity its key individuals, operative functions and flows of goods, information and money. In turn, this can sustain the activities of investigators and prosecutors to discover new leads and suspects, or to better understand the meaning of financial and information flows.     \u0000The research has been conducted under a project of PMI Impact aimed at stopping corruption from fuelling illegal wildlife trade (IWT) between East Africa and Southeast Asia.  The results show that by combining SNA (a primarily quantitative method) with network ethnography (a qualitative method), we can gain important new insights into the structures, functions and mechanisms of crime networks engaged in IWT.  \u0000This paper is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650. See also the abridged version. \u0000This report was funded by PMI IMPACT, a grant award initiative of Philip Morris International (PMI). In the performance of their research, the authors maintained full independence from PMI. The views and opinions expressed in this document are those of the authors and do not necessarily reflect the views of PMI. Neither PMI, nor any of its affiliates, nor any person acting on their behalf may be held responsible for any use which may be made of the information contained herein.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"10 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2021-03-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"129209271","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 34: Local certification through Collective Action","authors":"Vanessa Hans, Scarlet Wannenwetsch, G. Aiolfi","doi":"10.12685/bigwp.2021.34.1-36","DOIUrl":"https://doi.org/10.12685/bigwp.2021.34.1-36","url":null,"abstract":"How can local certification of small and mid-sized enterprises (SMEs) help to alleviate anti-corruption due diligence for SMEs as well as multinational corporations (MNC) seeking to work with them. This Working Paper by the Basel Institute's Collective Action team attempts to answer that question based on discussions and analysis of current local certification initiatives in different countries and sectors. \u0000Local certification in this context means the assessment of a company’s anti-corruption compliance standards according to a method devised through a Collective Action and developed within a domestic (local) market. The local component also involves verification (certification) by a reputable organisation based in the same country as the entity that is being certified.  \u0000The paper explores: \u0000 \u0000Due diligence dilemmas faced by both SMEs and MNCs. \u0000How local certification can help SMEs develop and demonstrate robust anti-corruption compliance procedures. \u0000How a trusted certification programme can help alleviate due diligence on third parties by MNCs, using a risk-based approach. \u0000Wider benefits, including raising standards of compliance across the board. \u0000How a Collective Action approach boosts the potential of local certification to achieve these wins. \u0000Special considerations and six practical recommendations for practitioners seeking to raise levels of anti-corruption compliance through a local certification scheme. \u0000","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"13 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2021-01-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"130551852","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 33: A worm’s-eye view of wildlife trafficking in Uganda","authors":"Saba Kassa, Jacopo Costa, Robert Lugolobi, Claudia Baez Camargo","doi":"10.12685/bigwp.2020.33.1-34","DOIUrl":"https://doi.org/10.12685/bigwp.2020.33.1-34","url":null,"abstract":"This Working Paper is a key output of the Basel Institute's Green Corruption programme, a multi-disciplinary engagement that targets environmental degradation through tested anti-corruption, asset recovery and governance methods. The research is funded by PMI Impact as part of a wider project on intelligence-led on financial crime in illegal wildlife trade (IWT). \u0000The fight against wildlife trafficking is a global one. Wildlife trafficking constitutes the fourth-largest form of illicit trade flow in the world. Its prevalence is often explained in economic terms: it is a “low-risk, high-profit” trade. Global efforts are therefore directed at increasing the “costs” of wildlife trafficking and reducing the rewards. \u0000However, rational cost-benefit calculations by individuals seeking personal economic gain do not fully explain why wildlife trafficking is so prevalent. Nor, therefore, will it be solved by passing new laws and strengthening law enforcement alone. Scholars as well as development and law enforcement practitioners increasingly recognise the importance of considering the way in which the local context and socio-cultural structures (so-called behavioural drivers) influence the behaviours of individuals and their propensity to engage in wildlife trafficking. \u0000This social context is not only an anchor for decision-making but also influences the strategies through which wildlife trafficking is organised. Individuals are part of informal networks. Social connections in and between the networks facilitate the transportation of wildlife products from poachers to buyers across vast geographical spaces. Public officials can be part of such networks too. In such cases those individuals, rather than enforcing the law, use their position to cover up the trafficking of wildlife products out of parks, cities and ports in East Africa. \u0000This approach of emphasising context-sensitive behavioural drivers anchors the research activities that the Public Governance division is leading in Uganda as part of the wider programme of work of the Institute. Uganda is a hub for wildlife trafficking in East Africa. High volumes of wild animal products are transported into, through and out of Uganda using various methods and strategies. Taking a worm’s-eye perspective, the research aims to provide further understanding on: \u0000 \u0000Why wildlife trafficking happens, by focusing on the economic and behavioural drivers of wildlife trafficking and the role of the broader governance environment in generating increased corruption risks in public offices mandated to prevent and combat wildlife trafficking. \u0000How wildlife trafficking happens, by focusing on the role and strategies employed by informal networks of poachers, middlemen and buyers to transport high volumes of wildlife products into, through and out of Uganda. \u0000 \u0000The findings are based on 47 interviews with Ugandan-based and international anti-IWT experts (IGOs, NGOs, academics and public officials) and 8 focus group discus","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"12 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2020-10-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"121939858","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 32: Private-sector engagement in the fight against illegal wildlife trade","authors":"Scarlet Wannenwetsch, G. Aiolfi","doi":"10.12685/bigwp.2019.32.1-30","DOIUrl":"https://doi.org/10.12685/bigwp.2019.32.1-30","url":null,"abstract":"This working paper explores efforts by and with private-sector organisations to combat the multibillion-dollar illegal wildlife trade (IWT) and/or strengthen their resistance to IWT risks, with a focus on the East Africa – Southeast Asia trading chain. \u0000There is widespread and growing awareness of the need for greater involvement of the private sector in efforts to prevent IWT. The transport and financial industries are the most clearly affected: the illegal products are usually trafficked via commercial land, sea and air transport services, and financial transactions take place via regulated financial services providers and the global banking system.  \u0000For their part, companies are starting to perceive of IWT not just as a conservation issue, and therefore confined to corporate social responsibility departments, but in terms of the risks this illegal trade presents to their business. These risks are tightly intertwined with other risks, particularly corruption and security. \u0000Current multi-stakeholder initiatives aimed specifically at tackling industry-specific IWT risks show great promise to create a virtuous circle of engagement and action, but are still in their infant stages. Challenges include getting all relevant stakeholders around the table and building a strong business case for engagement that takes into account companies' specific risks and needs. At the moment, key industry sectors remain unrepresented and will therefore act as a weak link that wildlife traffickers can exploit.  \u0000Companies' levels of engagement in multi-stakeholder initiatives vary wildly and most are still unclear as to which departments and job functions are the most relevant in this sphere. Action is often ad-hoc and driven by individual \"champions\", and funding is neither adequate nor sustainable.  \u0000Lastly, there is clearly difficulty in moving from commitment to action, in other words for companies to not only sign commitments on paper but operationalise them. Clearer monitoring and evaluation mechanisms would help to increase accountability in this regard. \u0000A basic but major identified need is for more reliable, targeted and actionable information and intelligence on IWT, to enable companies to take informed internal measures, co-develop industry guidelines and effect real systems change. This can best be achieved through mechanisms that allow all stakeholders to pool information and resources in pursuit of their common goals. \u0000These challenges echo some of the challenges addressed over the years by Collective Action initiatives focused on tackling shared corruption challenges.  \u0000This similarity, as well as the strong links between corruption and IWT, means that practitioners can benefit from lessons learned from anti-corruption Collective Action initiatives and do not need to reinvent the wheel.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"61 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2019-12-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"124243232","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 31: Applying the Swiss Anti-Money Laundering Act to gold refineries","authors":"Stefan Mbiyavanga","doi":"10.12685/bigwp.2019.31.1-14","DOIUrl":"https://doi.org/10.12685/bigwp.2019.31.1-14","url":null,"abstract":"Switzerland is the world leader in gold refining. Of the roughly 2,200–3,100 tonnes of raw gold imported into the country each year,  the majority is destined for Swiss gold refineries. Together these companies are estimated to refine 50–70 percent of the world’s gold production, transforming it into gold bars, semi-finished products and other goods.  \u0000The imported gold loses all traces of its origin during the refining process. Due to the high-quality manufacturing standards of Swiss refineries, and the fact that they possess all of the pertinent accreditations, the gold can afterwards be traded as \"Swiss\" gold on international financial markets without restrictions. \u0000At the same time, the international gold trade is enormously vulnerable to money laundering operations by drug cartels and other forms of organised crime networks, terrorist organisations, and kleptocrats.  As the world centre of gold refining, Switzerland is highly exposed to these money laundering risks.  \u0000This Working Paper first analyses money laundering risks in the gold trade, supported by examples. This is followed by an overview of the gold refineries' due diligence obligations under existing self-regulation and the Swiss Anti-Money Laundering Act (AMLA). It is shown that the self-regulation models have, at best, mixed success and that the core business of the refineries is not subject to the AMLA. Finally, the paper sets out the pros and cons of applying the AMLA obligations to the core business of Swiss refineries.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"1 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2019-12-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"123205679","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 30: Corruption and wildlife trafficking","authors":"Saba Kassa, Jacopo Costa, Claudia Baez Camargo","doi":"10.12685/bigwp.2019.30.1-19","DOIUrl":"https://doi.org/10.12685/bigwp.2019.30.1-19","url":null,"abstract":"As part of a multi-disciplinary programme of work focused on intelligence-led action against financial crime in illegal wildlife trade (IWT), the Public Governance division of the Basel Institute on Governance is leading research and community engagement activities in East Africa. \u0000The objective is to contribute towards the prevention and combating of IWT by developing a better understanding of the context-specific drivers of trafficking and the role of informal social networks and their associated corrupt practices in facilitating such illicit behaviours. \u0000This Working Paper presents a broad overview of relevant literature on wildlife trafficking, focused on two main questions: \u0000 \u0000Why does wildlife trafficking happen? \u0000How does wildlife trafficking happen? \u0000 \u0000It reflects on important themes and dynamics in regard to the wildlife trade in Africa; the drivers and facilitators of wildlife trafficking; the characteristics, functions and operations of trafficking networks; corruption as a cross-cutting theme; and the important role of Uganda as a transit country for the trafficking of wildlife. \u0000The literature review provides the conceptual anchor for social network analysis and field research in East Africa, in particular Uganda. The insights gained are important stepping stones to address the third main question of the wider research project: \u0000 \u0000What can be done to curb wildlife trafficking? \u0000 \u0000Developing a better understanding of the root causes of IWT, along with the application of social network analysis to support the investigation of related crimes, provides a novel and complementary approach towards the prevention and effective combating of IWT in East Africa.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"96 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2019-07-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"124502293","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 29: Recovering assets in support of the SDGs","authors":"Mike Pfister","doi":"10.12685/bigwp.2019.29.1-19","DOIUrl":"https://doi.org/10.12685/bigwp.2019.29.1-19","url":null,"abstract":"This Working Paper aims to contribute to the international policy dialogue on the link between asset recovery and countries’ pursuit of the Sustainable Development Goals. \u0000It contends that supporting countries in recovering stolen assets and promoting sustainable development are mutually reinforcing. It also aims to correct the false reputation of asset recovery as a very technical legalistic field of development cooperation, and to generate broader understanding of the far-reaching role that asset recovery can play to foster development. \u0000The paper argues that helping countries recover stolen assets, anchored in target 16.4 of the SDGs, can mobilise important resources to finance development or poverty reduction efforts.  \u0000In addition, it explores how asset recovery plays a critical role in strengthening some of the key foundations of sustainable development, such as the rule of law and strong, transparent and accountable institutions.  \u0000Combining “hard assets” in terms of actual assets recovered and the “soft assets” that are needed to do so effectively, ranging from the capacity of law enforcement institutions to the political will to fight criminal networks, provides a powerful foundation for sustainable development.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"26 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2019-05-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"125933480","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}

{"title":"Working Paper 28: Regulating cryptocurrencies: challenges and considerations","authors":"Federico Paesano","doi":"10.12685/bigwp.2019.28.1-11","DOIUrl":"https://doi.org/10.12685/bigwp.2019.28.1-11","url":null,"abstract":"Cryptocurrency regulations are developing fast. Across the world, authorities are reacting to the emerging threat posed by criminals using new payment methods to conceal and launder the proceeds of their crimes. \u0000However, as the application of anti-money laundering/combating the financing of terrorism (AML/CFT) due diligence requirements becomes stricter and more entities implement preventative measures, criminals are constantly looking elsewhere for potential havens for their illicit activities. \u0000This Working Paper offers an insight into some potential consequences of changes in AML/CFT legislation in relation to cryptocurrency exchange services and virtual assets.","PeriodicalId":447485,"journal":{"name":"Basel Institute on Governance Working Papers","volume":"3 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"2019-04-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"128292352","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}