GIR-多邊開發(fā)銀行調(diào)查指南-第一版：在脆弱和沖突環(huán)境中應對調(diào)查挑戰(zhàn)-2025

TheGuideto

Multilateral

Development

Bank

Investigations-FirstEdition

NavigatinginvestigativechallengesinfragileandconmictenvironTents

GheuMidetoDMltilateral

peveloBTentkanIlnvestigations-Eirst:dition

Multilateraldevelopmentbanks(MDBs)arefoundationaltoemergingmarkets;however,

it’snosmalltasktoensurethatdevelopmentcnanyingisusedtransparentl.and

effeytivel.,espeyiall.inregionswhereyorruptionandmisyonduytyanundermineprogress.Yditedb.FasIroemelofIPIntegrit.ArofessionalsZssoyiationandDanielWapfof

&hiteCGase,theRI-RuidetoMultilateralDevelopmentBankInvestigationsprovidesayomprehensiveanal.sisofMDBintegrit.,bringingtogetherperspeytivesfromlegal

praytitioners,yonsultantsandMDBswiththeaimoffosteringgreaterayyountabilit.andyollaborationinthecghtagainstmisyonduytinMDB-cnanyedproTeyts.

uenerated:EeyrMar28,,858R

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YSploreonulS

RETURNTOSUMMARY

Navigatinginvestigativechallengesinfragileandconlictenvironments

Zo首Newman

,

OliverStern

and

HowardCooper

Kroll

Summary

WHYAM-HERE?-NVEST-GAT-NGABOVETHEFRAY

THENEEDFOR-NDEPENDENCE:UNDERSTAND-NGANDAL-GN-NGTHEENDGAME

KEEP-NG-NVEST-GATORSANDSOURCESOF-NFORMAT-ONSAFE

MAK-NGUSEOFD-VERSEANDSCARCEDATA

REPORT-NGANDEX-T-NG

AFTERTHE-NVEST-GATORSHAVEGONE

YSploreonG-R

Navigatinginvestigativechallengesinfragileandconmictenvironzents

RETURNTOSUMMARY

ExploreonG-R

Navigatinginvestigativechallengesinfragileandconmictenvironzents

Theworldisfraughtwithpolitical,economicandsecurityfragility.AgroundwarinEasternEurope,aseriesofcoupsacrossAfrica’ssahelbelt,civilconlictinMyanmarandabreakdownoflawandorderincentralAmericaarejustafewoftherecenteventsthatsignalthattheworldisametaphoricalmineieldofchallenges.

politicalstabilityandeffectiveruleoflawgohandinhand;however,botharetypicallyabsentinfragileandconlictenvironments.corruptionandillicitcapitallowsthatarethecauseandconsequenceofstatefragilitytendtocreatethevulnerabilitiesthatdevelopmentinanceseekstoaddress.Despitebestefforts,suchinancingisalltoooftenatriskofabusewhenitissubjecttoconstraintsintermsofoversightandthoseintentonbeneitingpersonally.

whenallegationsemerge,theneedtodemonstratearobustresponseisstrongbutnotalwayseasytoimplementinfragileandconlictenvironments.Inthischapter,wesetoutkeyareasthat,basedonourexperience,shouldbeconsideredattheoutsetinaninvestigationinthesecircumstances.Everysituationisdifferent,buttherearesomebasic‘rulesofengagement’relevanttosuchenvironments,whichrequiretheinvestigatortoadapttheirapproachtobeabletoworkeffectivelyandsafelyandtopreservetheintegrityofthework-product.

wehavestructuredthischapteraroundthecorebroadphasesofpreparation,investigatingandreporting.

WHYAM-HERE?-NVEST-GAT-NGABOVETHEFRAY

Todeliverobjective,evidence-basedindings,investigatorsmustbeinformed.Thatgoesbeyondthetermsofreferenceastothe‘what’theyareinvestigating.Beforeanyformofonsiteinvestigativeworkcommences,itisnecessaryforinvestigatorstohavefullyconsideredthe‘why’andthe‘who’,intermsoftheobjectivesoftheassignment.Furthermore,stakeholdersintheindingsmustalsobeconsidered.Thisensuresthatinvestigatorsdonotfallintothetrapoftheoftenpresetpathofpursuingtheobvious.

Infragileandconlictenvironments,peoplewhoappeartheobviousculpritscanoftenbefrontsforgreaterpoliticalpowerplayersoperatingintheshadows.Investigatorsneedtoquestioneverythingattheoutset.Doesthismakesense?whatwerethemotivationsfortheallegedwrongdoing?Dotheapparentbeneiciaries’proilesittheallegedcrime?

Inalmosteverymajorinvestigationinwhichkrollhasbeeninvolved,whereamultilateraldevelopmentbankhasbeenastakeholder,thebeneiciarieswerenotactingindependently;therewas,inpractice,agreaterpowerplayinvolvingsilentpoliticalforcesdrivingbehaviour.Thiskindofcorruptionmayappearobviouslaterdowntheline,butitisoftenearly-stagebusinessintelligencegatheringthatraisesinitialconcernsthattriggeraforensicinvestigation.Intelligencegatheredinthemarketconcerning,forexample,ambiguitysurroundingultimatebeneicialowners,dubiouslendingpractices,andsuspiciouslicensingandpermittingprocessesisoftenthestartingpointtoaninvestigationandprovidesaninitialviewofwhomightbeinvolved.understandingthiswiderbusinessintelligencecontextandpickinguponwhatisbeingsaidandnotbeingsaidinthemarketgivesinvestigatorsaheadstart.

Researchshouldbedoneinadvance.Investigatorsneedtosimultaneouslyunderstandandrespondtothepoliticalcontextinwhichtheyareworkingbutnotbeinluencedbyit.

RETURNTOSUMMARY

whenkeypartnerssuchasgovernmentoicialsarepursuingtheirownpoliticalandeconomicobjectivesorareconcernedabouttheimpactoftheinvestigationontheirowncareersandrelationships,maintainingindependenceisanongoingchallenge.

Ingenuinelychallengingenvironments,phrasessuchas‘countrycontext’and‘jurisdictionalexpertise’aremorethantriteconsultancyjargon;theyarethecornerstoneofaninvestigativemethodology.Thisisespeciallythecasewhenthetopicoftheinvestigationisoftenpoliticallycontestedandacontributingfactortoeconomicandpoliticalinstabilityin-country.

Inpoliticallyunstableenvironments,institutionsandindividualsostensiblyrepresentingthesamesidecanbeatoddswitheachotherormayoperateinanenvironmentofprofoundpowerandinluenceasymmetry.whengovernment-leveldecision-makingisdiscretionaryandhighlycentralised,agencieswithaccesstofundsorinluenceholdpoweroverothers.Theinformalarchitectureofdecision-makingisoffargreatersigniicancethantheformal.Forexample,arobustruleoflawandtheseparationofpowersisarequirementtoholdthoseinhighoicetoaccount.Theruleoflawisweakinmostfragilecountries,sotheinstitutionalandpoliticalwilltoholdpeopleinhighoicetoaccountislimited.

Inchallengingandcomplexenvironments,itisnotalwaysimmediatelyclearwhichindividualsandgroupsarelookingtofrustratetheinvestigationandwhicharelookingtosupportit.Theinvestigationteammuststrikeabalancebetweenbeingabletobuildrelationshipsandtrustwhilemaintainingaprofessionaldistancetosafeguardtheindependenceandintegrityoftheinvestigation.

THENEEDFOR-NDEPENDENCE:UNDERSTAND-NGANDAL-GN-NGTHEENDGAME

whatdothelocalstakeholderswanttoachieve?Istheirobjectivethesameasthatofthemultilateraldevelopmentbank?Someinvestigationswillbestraightforward;otherswillbehighlypoliticaland,asaresult,sensitiveandworthyofmulti-stakeholderconsiderationin-countryandoutside.Investigatorsandstakeholdersneedtobecognisantoftheriskthattheirworkcouldbecome,atbest,politicallyweaponisedanddeployedinanunethicalwayor,atworst,discredited.Initiativestodriveoutcorruptionandtoholdpeopletoaccountcaneasilybecometoolstosilenceordiscreditpoliticalopponents.

Sohowcanstakeholdersensurethattheoutputofaninvestigationiscredible?Moreimportant,howcantheyensureaction?oneoftheirstconsiderationsistoquestionwhethertheobjectivesoflocalstakeholdersandthoseofthemultilateraldevelopmentbankareconlicting.Iftheanswerisyes,thentheremaybeaneedtodemonstratetheinvestigativeteam’sindependence.Ifthereisaquestionregardingthemultilateraldevelopmentbank’sindependence,thentheremaybeaneedtobringinadifferentteam.

Thereis,ofcourse,noblueprintonhowthisrequiredobjectivitycanbeachieved.Aninternalteammayneedtoberealigned,oranexternalirmmayneedtoconductanindependentforensicaudit.keyquestionsarewhoistoanticipatetheextenttowhichtheindingsaregoingtobequestionedandbywhom.Alsoimportantistheneedtodemonstratewhetheraninvestigationoranauditismoreappropriate.

Agoodstartingpointistomakesurethattheinvestigationteamandtheengagingpartiesareclearonthenon-disclosedsuspectedobjectivesofthewrongdoing.understandingwhointendedtobeneiteitherpoliticallyoreconomicallyiskey.Thiswillinformfuturelegalstrategies,betheyassetrecoveryinthecivilcontext,debarmentortheneedtodemonstratelocalisedcriminalactions.

RETURNTOSUMMARY

InyhallengingTurisdiytionsthatarefragileorinyrisis,eSternalstakeholdersareoftenthedriverforinvestigator.work,whiletheTurisdiytionitselfisnotreyeptive.Inperiodsofeyonomiyandpolitiyalturmoil,transpareny.,ayyountabilit.andengagementwitheSternalentitiesassoyiatedwithcnanyialtranspareny.andayyountabilit.arenotalwa.spriorities.

Insuyhenvironments,listeningyarefull.tothespokenandunspokenobTeytivesoftheyountr.partnersandhowthe.differorareatoddswitheSternalpartiesiske..Zrethereredlinesthatthehostgovernmenthasdrawnaroundseytors,businessesorindividualsthatthe.wanttobe‘outsideofsyope’UIfso,wh.UZrethosethatareinsyopeseleytedbasedonanobTeytivemethodolog.oronpolitiyalmotivationUIfthereisadisyonneytbetweenobTeytivesandeSpeytationswhenaninvestigationbegins,itisbesttoagreeonaworkablewa.forwardimmediatel.ratherthanrisktheproyessandrelationshipsbreakingdownlater.

KEEP-NG-NVEST-GATORSANDSOURCESOF-NFORMAT-ONSAFE

Zsinvestigators,webuildourbusinessonourabilit.tooperateinyhallengingenvironments.Lheseenvironmentsareoftenrisk..Ghallengesassoyiatedwithroadsafet.,highlevelsofyrimeandayyesstohealthyarehavetobedealtwithandmanagedyarefull.aspartofaroutineriskmitigationstrateg..

Lheriskofviolenyeandintimidationtriggeredb.aninvestigationandtheaytivitiesofpartnersweareyollaboratingwithisfarhardertomanageandane?uall.importantriskthatwefaye.Renerall.,badaytorsinthesemarketstendnottotargetorseektointimidatetheinvestigatorsthemselves;instead,the.foyusattentiononindividualsandinstitutionsloyall.whoeitherhavedisylosedoryoulddisylosedamaginginformationaboutthem.

Zsinvestigators,weyannotbenaiveabouttheserisksorthelife-yhangingrisksourstakeholdersma.betaking.Lhe.ma.beawhistleblowerorpartofanewgenerationdeterminedtoeSposetheyorruptaytivitiesoftheoldregime.Yitherwa.,itisyritiyalfortheinvestigationteamtorememberthatthe.(t.piyall.)boarda‘ighthome.Lheiryounterpartsin-yountr.areleftbehindlongafterthecndingshavebeenreported,andoftenhavetodealwiththeyonse?uenyes.

qointermsoftheinvestigationteam,oneyanneverbetooparanoid.&hoownsthehotelthe.aresta.ingin(be.ondwhoownsitonpaper)UIsitsafetoleaveitemsrelatingtotheinvestigationintheirroomsUMightthe.sa.somethingstupidtoafriendl.approayhinabarUIstheroomthe.areworkingoutofbuggedUZllofthissoundseStraordinar.,butitisarealit.inyertainenvironments.Ynteringthemnaivel.isdestin.tofail.

Lhentherearetheloyalswhominvestigatorsma.bondwith–thenewgenerationwhohaveagenuine,altruistiydesiretobettertheiryountries.qharingsomethingasbasiyasaspreadsheetoryollaboratingonaninvestigationyanputtheirlivesorfreedomsandthoseoftheirfamiliesindanger.Balanyinghowtoleveragethisdesirewhilenottakingadvantageofitre?uiresaneSperienyedmindsetthatthinksthreestepsahead.Znawarenessofthemotivationsofdifferingyounterpartsisyruyialtoassessingwhetherthe.yanorshouldbetrusted,whilealsoretainingahumanside.

&hatyouldhappentothisindividualaftertheinvestigationU?owyantheinformationthe.havegivenbeusedinawa.thatdoesnoteSposethemULheinvestigationteamneedstobeawareoftheseissuesyonstantl..Pften,suyhindividualsareessentialtotheprogressofaninvestigationbutyaneasil.beforgotten.Pnoyyasion,wehaveworkedwiththirdparties

RETURNTOSUMMARY

toensuresafepassageandrelocationforindividualswhohavebravelysharedinformationthatincriminatespowerfulpeople.

MAK-NGUSEOFD-VERSEANDSCARCEDATA

Fastandresponsivedatacollectionandpreservationisachallengeinlow-riskjurisdictions.Inenvironmentswherethedataisstoredpoorlyandisimperfectandcontested,thechallengeisfargreater.wetakethefollowingapproaches:

ACTFAST

Fromtheearlieststagesofaninvestigation,includingbeforeformalengagement,werecommendtakingstepstocaptureandpreserverelevantdata.Afewcriticalstepstakenwhentheinvestigationisdiscreetcanavoidevidencedestruction.

BE-NNOVAT-VE

whenthedatasetsthatmaybeavailableinothermarketsarescarce,innovationisneeded.whatnon-inancialinformationisavailable?whatarethewaysinwhichopacityaroundtransactionsandcapitallowscanbeclariied?whatistheanalyticaloverlaytothelackofdata?Isthelackofinformationavailableintentionalandpartoftheconspiracy?

Thereisaneedtobepractical.Infragileandconlictenvironments,keydatasetsmaynotbeavailable.Accessmaybeobstructedbycompetingpoliticalforces.Datamayalsobedeliberatelydestroyed,‘missing’orpresentedinadisorgansiedway,deliberatelyorotherwise.Thisisthenormwheninvestigatinginsuchenvironments.

whilethissituationcanbechallengingtonavigate,therealityisthatunlessinvestigatorshaveaccesstointernalprimarysourcedata,theinformationisgoingtobelessthanreliable.successfulinvestigatorswillalsoconsiderwheredatasetsrelevanttotheinvestigationmaylieexternally:forexample,corporaterecordsandwhetheracounterpart’sproilerelectsitsroleinadeal(itoftendoesnot),whetherawell-documentedtradedealrelectscommercialrealityintermsofpricingofgoods,whetherconlictsofinterestareprevalentinasupplychainandwhetherbuyerproilesarerelectiveofreality一allareredlags,butsuchinformationthatisavailableexternallytoinvestigateoftenprovidesthecolourtoanallegedorsuspectedwrongdoing.

GETON-S-TE

Theinsights,analysisandknowledgethatcanbepickedupbygettingon-sitecannotbeoverlooked.Discovering,inrealtime,theactualstatusofabuildingprojectorthetrueoperationalpresenceofabusinessorseeingirst-handtheinventoryofassetsthatanorganisationclaimstohavecanbetransformational.sitevisitsandharddocumentretrievaloftenprovidethepivotalevidencethatresultsinamaterialconclusiontoaninvestigation.

AVO-D-NGLEAKS

Therealityofconductingsensitiveinvestigationsinfragileorconlictenvironmentsisthatitischallengingtoknowwhomtotrust.Theramiicationsofearly-stageupdateordraftreportleakscanbesigniicant.

Tohelpsafeguardagainstleaks,anagreedpopulationofindividualswithintherelevantstakeholdergroupshouldbethesourceofinformationrequestsandtherecipientofprogressupdatesandindings.

RETURNTOSUMMARY

LotheeStentpossible,sensitiveinformationshouldbesharedoutsideofemailsandinsteaduploadedtoaseyuresiteforreviewb.theinvestigationteam.Arogressupdatesyanbedeliveredinpersonorviaavirtualmeetingsothatdetailedcndingsarekepttoaminimumuntilacnalreportisproduyed.

Zllprimar.souryedoyumentsandworkingpapersshouldbestoredinanindeSedandseyureloyationwithaylearyhainofevidenyemaintained.Zyyesstothecleshouldberestriytedtotheindividualsworkingonthespeyicyassignment.

Dependingonthesensitivit.ofassignment,theinvestigationteamshouldyonsiderusing‘ylean’laptopsandshouldalwa.sfollowseyuremethodsforayyessingwirelessnetworks.Itisnotpossibletobetooparanoidinsuyhenvironments,espeyiall.whenamatterispolitiyall.yharged.

REPORT-NGANDEX-T-NG

LhenumberoneruleforreportingisthatthereportshouldbewrittenontheassumptionthatitwillbeleakedandthatthesubTeytsorunauthorisedpersonswillreadit.

&iththatinmind,thereportshouldaddressonl.thesyopeoftheworkthatwasagreed,ylearl.setoutthefaytsandbesupportedb.theinformationandevidenyethathavebeenmadeavailable.

Yver.reportwillhaveadifferentst.le,butthebestreportstellaylearstor.andyondenseoftenyompleSissuesintoanarrativethatiseas.tounderstand.

Hltimatel.,theToboftheinvestigationreportistoaytasanindependentl.yreatedtoolthattheylientorstakeholdergroupyanusetoprogressitsagenda.Riventhetimeyonstraintsofteninplayewhenyonduytinginvestigationsinfragileandyon‘iytenvironments,itisimportanttoworke:yientl.andtosetoutwherefurtherinformationmightbeavailableandthemethodsb.whiyhitmightbeobtained.

-eportswillhavetobesharedandtheirleakage(mostofthetime)yannotbeavoided.?owever,followingsomebasiyprinyiplesintermsofwatermarkingreyipients’eleytroniyyopiesyanaididenticyationofunauthorisedleaks,nomatterwherethe.originate.

AFTERTHE-NVEST-GATORSHAVEGONE

Lhever.presenyeofaninvestigationteamonthegroundinafragileoryon‘iytenvironmentplayesunderstandablestressandpressuresonthoseinvolvedloyall.,andfre?uentl.teststheabilit.ofstruyturesands.stemstosupportthesyopeofwork.Lhisyanbeatalegal,Tudiyialorregulator.level,butalsomorefundamentall.atahumanlevel,intermsofthosedepartmentsthatareresponsibleforinvestigativeorauditeffortsloyall..&efre?uentl.interaytwithindividualswhoareinyredibl.dediyatedanddiligentintheirrolesbutlaykan.ofthebasiys.stemsorinfrastruyturetosupporttheirefforts-thetoolsthatwemightotherwisetakeforgranted.

Lheyhallengesoftenfayedb.theinvestigationteaminyolleytingrelevantinformationandobtainingthesupportofloyalpartiesoftenhighlightopportunitiesforyapayit.building.Beingontheground,gatheringdataanddoyumentationandtalkingtoloyalstakeholders,providesylarit.onmethodsb.whiyhthes.stemyanbeimproved.Lheinvestigationteamwillhavelikel.seenver.similarissuesinotherTurisdiytionsandyanprovideindependentinsight,eitheraspartofaninvestigationreportorasaseparateareaoffeedbayktothe

RETURNTOSUMMARY

stakeholdergroup,intermsofpractical,remedialactionsthatmaybetakentoassistthoselocallywithregardtoinvestigativemethodsandapproaches.Thesemayinclude:

.laggingkeyskillsetsthataremissingwithinaninternalteamandhowtheseskillsmaybeacquired;

.thefundamentalsofopen-sourceintelligenceresearchtosupplementdocumentreviewandinancialanalysis;

.simpletoolsthatcanenhancedataanalyticscapabilities;and

.methodsthroughwhichinformationcanbesharedacrossjurisdictions,andhowbestthisshouldbepreparedandpresented.

Theformsthatadditionalsupportmighttakearevaried;itmightbetoaddressalackofresources,itmightbetoillaskillsgaporitmightbetointroducenewtoolsandtechniques.Invariably,however,itisoftenbestachievedbypro