Evaluating the global anti-corruption regime — The case of UNCAC in PNG Hannah Harris A thesis submitted for the completion of a Doctorate of Philosophy Faculty of Law December, 2015 PLEASE TYPE THE UNIVERSITY OF NEW SOUTH WALES Thesis/Dissertation Sheet Surname or Family name: Harris First name: Hannah Other name/s: Abbreviation for degree as given in the University calendar: PhD School: Law Faculty: Law Title: Evaluating the global anti-corruption regime The case of UNCAC in PNG Abstract 350 words maximum: (PLEASE TYPE) This thesis critica lly analyses the United Nations Convention against Corruption (UNCAC) using the case study of Papua New Guinea (PNG). It is the first major empirical study on the implementation of UNCAC in PNG. The thesis builds on the five-stage model developed by Nadelmann and Andreas to explain the evolution of global prohibition regimes and applies it to the evolution of the global anti-corruption regime (the regime). The goal of the thesis is to understand the diverse values and interests that have shaped the evolution of this regime and to evaluate why the regime has failed to achieve the final stage of evolution: a substantial reduction in corrupt activity globally. The thesis addresses four risk factors that critics suggest may limit the effectiveness of UNCAC, prevent regime evolution, and result in harmful social, economic and political outcomes if the regime is misapplied. Four research questions are answered, using a combination of critical legal analysis, interview research, and fieldwork in PNG: 1. How has UNCAC evolved within the emergent global anti-corruption regime? 2. What impact has UNCAC had on PNG's approach to combatting corruption? 3. Does PNG's experience with implementation and enforcement of UNCAC support the existing theoretical and practical criticisms of UNCAC and the emergent global anti-corruption regime more generally? 4. What insight does the PNG case study provide in terms of potential improvements to UNCAC and its implementation and enforcement, with the goal of securing the final stage of evolution for the global anti-corruption regime? The research identifies a new risk factor and suggests that criticism of UNCAC may overstate the Convention's coercive influence. On this basis, the thesis concludes that UNCAC is best understood as a flexible tool to support diverse anti-corruption efforts. Increased education about and engagement with UNCAC, and with governments involved in implementing and enforcing UNCAC, may be a powerful method for increasing the domestic relevance of the regime. particularly in developing state such a PNG. Such an approach may neutralise the risk factors documented by the research and support evolution of the reg ime to the final stage. substantially reducing corrupt activity globally. 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Requests for a longer period of restriction may be considered in exceptional circumstances and require the approval of the Dean of Graduate Research . FOR OFFICE USE ONLY Date of completion of requirements for Award: THIS SHEET IS TO BE GLUED TO THE INSIDE FRONT COVER OF THE THESIS ORIGINALITY STATEMENT ‘I hereby declare that this submission is my own work and to the best of my knowledge it contains no materials previously published or written by another person, or substantial proportions of material which have been accepted for the award of any other degree or diploma at UNSW or any other educational institution, except where due acknowledgement is made in the thesis. Any contribution made to the research by others, with whom I have worked at UNSW or elsewhere, is explicitly acknowledged in the thesis. I also declare that the intellectual content of this thesis is the product of my own work, except to the extent that assistance from others in the project's design and conception or in style, presentation and linguistic expression is acknowledged.’ Signed …………………………………………….............. Date …………………………………………….............. COPYRIGHT STATEMENT ‘I hereby grant the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or part in the University libraries in all forms of media, now or here after known, subject to the provisions of the Copyright Act 1968. I retain all proprietary rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstract of my thesis in Dissertation Abstract International (this is applicable to doctoral theses only). I have either used no substantial portions of copyright material in my thesis or I have obtained permission to use copyright material; where permission has not been granted I have applied/will apply for a partial restriction of the digital copy of my thesis or dissertation.' Signed ……………………………………………........................... Date ……………………………………………........................... AUTHENTICITY STATEMENT ‘I certify that the Library deposit digital copy is a direct equivalent of the final officially approved version of my thesis. No emendation of content has occurred and if there are any minor variations in formatting, they are the result of the conversion to digital format.’ Signed ……………………………………………........................... Date ……………………………………………........................... Abstract This thesis critically analyses the United Nations Convention against Corruption (UNCAC) using the case study of Papua New Guinea (PNG). It is the first major empirical study on the implementation of UNCAC in PNG. The thesis Builds on the five-stage model developed By Nadelmann and Andreas to explain the evolution of gloBal prohiBition regimes and applies it to the evolution of the gloBal anti- corruption regime (the regime). The goal of the thesis is to understand the diverse values and interests that have shaped the evolution of this regime and to evaluate why the regime has failed to achieve the final stage of evolution: a suBstantial reduction in corrupt activity gloBally. The thesis addresses four risk factors that critics suggest may limit the effectiveness of UNCAC, prevent regime evolution, and result in harmful social, economic and political outcomes if the regime is misapplied. Four research questions are answered, using a combination of critical legal analysis, interview research, and fieldwork in PNG: 1. How has UNCAC evolved within the emergent gloBal anti-corruption regime? 2. What impact has UNCAC had on PNG’s approach to combatting corruption? 3. Does PNG’s experience with implementation and enforcement of UNCAC support the existing theoretical and practical criticisms of UNCAC and the emergent gloBal anti- corruption regime more generally? 4. What insight does the PNG case study provide in terms of potential improvements to UNCAC and its implementation and enforcement, with the goal of securing the final stage of evolution for the gloBal anti-corruption regime? The research identifies a new risk factor and suggests that criticism of UNCAC may overstate the Convention’s coercive influence. On this Basis, the thesis concludes that UNCAC is Best understood as a flexiBle tool to support diverse anti-corruption efforts. Increased education aBout and engagement with UNCAC, and with governments involved in implementing and enforcing UNCAC, may Be a powerful method for increasing the domestic relevance of the regime, particularly in developing state such a PNG. Such an approach may neutralise the risk factors documented By the research and support evolution of the regime to the final stage, suBstantially reducing corrupt activity gloBally. Acknowledgement My PhD has been a fantastic, life changing experience and I am happily indebted to the extensive network of individuals who supported me throughout the journey. To my supervisors, Michael Grewcock and Sarah Williams, I feel incredibly lucky to have worked with you both. Thank you for your unwavering patience and constant support. Your guidance helped me to navigate the sea of possibilities that emerged during this adventure. I would like to thank the members of my review panel, Andrew Byrnes, Christopher Michaelsen and Christine Forster, for their valuable input throughout my thesis development. Thank you also to the kind individuals who took an interest in my work, Lucas Lixinski and Daniel Joyce. I found discussion with you both to be insightful and encouraging. To my colleagues in HDR, thanks for always being up for a coffee break and for sharing in the struggle! Thanks also to Jenny Jarrett; you are the Law Faculty’s real life Wonder Woman! I am grateful to each of the interview participants I had the privilege to engage with. Thank you for your generosity in speaking with me, for your honesty and openness, and for teaching me and inspiring me through your incredible commitment to making the world a better place. My interaction with each of you has been the highlight of my PhD journey. To Kristian Lasslett, Nancy Wonders, and Peer Zumbansen, thank you for responding to my unsolicited emails and providing me with advice on various aspects of my research. Thank you Courbois family for making Maryland so awesome! It was amazing of you to take in two homeless, unemployed Kiwis.