反腐败的政治意愿:尼日利亚的教训

“政治意愿”通常被认为是反腐败政策成功的必要条件(点击here,here,andhere例如,然而这个术语仍然存在,as Linn Hammergrencomplained almost two decades ago,one of "the slipperiest concepts in the policy lexicon."  Derick Brinkerhoff tried to pin down what those advising on anticorruption meant by it in a2010 U4 policy brief.他得出的结论是,大多数人使用这个词是指通过控制高层政治领导人的腐败以及采取行动的能力来实现某种承诺的组合。188bet app

While a reasonable definition,a moment's reflection will show that advising developing countries that to fight corruption they must have political will is empty advice.如果一个国家的领导层承诺要处理腐败问题,并有处理腐败的工具,它不需要关于该做什么的建议,it would be in the heat of the battle.  The reason most countries remain on the sidelines is that their leaders lack the necessary commitment and capacity.  So telling developing countries that a successful anticorruption effort begins with political will assumes away the problem.

有助于提高反腐败承诺和能力的建议。Continue reading

摩根大通,儿子和女儿,以及法律规则

One of the more interesting ongoing Foreign Corrupt Practices Act investigations involves allegations that the investment banking giant JP Morgan's "sons and daughters" program in China.According to media reports,摩根大通的中国和香港办事处提供了工作机会,and in some cases consulting contracts,为了在中国市场获得利润丰厚的商业机会(见例如,hereandhere)案件仍在调查中,the facts are still in dispute,and the government enforcement agencies have not yet accused JP Morgan of any of its executives of any wrongdoing. Yet there have been hints that if the facts turn out to be as bad as they look,the U.S.government will consider JP Morgan's so-called "sons & daughters" hiring program to have violated the FCPA's anti-bribery provisions.That conclusion would depend crucially on the premise that providing a job to the (adult,non-dependent) child of a foreign official counts as providing "anything of value" to the official.(如果有证据表明官员的子女把一部分钱汇回父母,情况就不同了,但目前还没有发现这样的证据。)

188bet app大约六个月前,教授Andrew Spalding(世卫组织还向本博客发表了一些有见地的帖子——见here,here,andhere) published a provocative four-part series at the FCPA Blog (seehere,here,here,andhere)引起人们对这一法律理论的严重关注,188bet app并建议将其应用于摩根大通的案例不仅不合适,但这是对基本法律原则的严重冒犯。有点不寻常,I find myself in disagreement with Professor Spalding.的确,如果事实证明不如早期媒体报道所说的那么糟糕,我认为这是一个简单的例子。To my mind,it's straightforward that offering a benefit to a third party can count as offering "anything of value" to a foreign official under the FCPA,司法部先前发布的意见中没有任何内容会约束美国。government from applying that principle in this case.Continue reading

众包反腐败报告,2.0

Crowd-based reporting tools have被收容的 巨大的attention for their role in anticorruption efforts all around the world.当之无愧的是:这些平台的使用速度很快增加的互联网和移动接入是发达国家应对腐败的古老问题。也许是最有名的这一波众包报告工具,我行贿(从印度开始,并已成功recreated在世界其他地方,允许任何拥有智能手机或其他互联网访问权限的公民几乎在瞬间报告贿赂事件。Citizens can report the amount of a bribe,受贿者,接受或要求贿赂的机构,等等,都是匿名的。游客可以阅读报告,也可以查看一种“热点地图”,汇总报告,以证明贿赂在哪里最为普遍。把自己与贪官污吏的经历进行广播,当许多这样的报告被汇总起来时,这种命名和伪装的效果是相称的,被证明是非常强大的。

To be sure,并非所有试图利用现代互联网和移动技术进行众包反腐败报告的尝试都取得了成功。Some (perhaps most) platforms never really get off the ground.Observers on this博客and在别处have pointed out that this may be due to a mismatch between local social conditions and the platform itself. These challenges are real,但我现在想把重点放在那些收集和报告了大量腐败数据的平台上。即使在这些情况下,一些 commentatorshave pointed out,the full potential of crowd-based corruption reporting platforms has yet to be realized.他们正在收集的数据仍然是相对“原始”的,没有被真正使用它的实体(如政府反腐败机构)处理。因此,必须强调这些平台如何改进,and how they can avoid having their efforts thwarted by unwanted side-effects.As platform developers move past their early obstacles and start achieving real success in their primary goal — getting people to use their reporting system — the need now is to direct the platforms and their potential partners in such a way as to enhance their effectiveness and to avoid the possibility that their data will be misused.Continue reading

Conflict of Interest and Democratic Theory: Lessons from Bruce Cain's Democracy More or Less

Although written for Americans worried 188bet appabout what ails their democracy,非美国人将从对斯坦福大学的密切研究中获益。Professor Bruce Cain新书Democracy More or Less: America's Political Reform Quandary.Cain's thesis is that different views 188bet appabout the role of citizen participation,代表机构,利益集团,and apolitical experts in governing the United States produce sharply different prescriptions for reforming its political system.  Non-Americans will recognize that these same views inform reform in their countries,从绕过代表机构的社区驱动的发展计划,到用技术官僚内阁取代民选政府。凯恩的书如此有价值的原因是什么?无论是美国人还是非美国人,is that he shows when and why reforms inspired by these competing views improve governance and when and why they make matters worse.

GAB readers will find particularly instructive his analysis of how different theories of government influence the ongoing effort in the United States to police conflicts of interest by elected officials,civil servants,and judges

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Guest Post: How to Improve Foreign Bribery Enforcement in Korea

杰娜基姆,a lawyer withBAEKim & Lee LLC(汉城)contributes the following guest post:

South Korea was one of the first signatories to the OECD Anti-Bribery Convention in 1997,and in 1998 Korea enacted legislation–the Act on Preventing Bribery of Foreign Public Officials in International Business Transactions (Korean FBPA)–to implement the convention domestically.然而,当美国《反海外腐败法》(FPCA)颁布时,作为韩国FBPA的榜样,has been actively enforced throughout the world,the Korean FBPA is significantly under-enforced,尤其是针对公司犯罪者。According to the OECD Working Group on Bribery,到2012年底,Korea had sanctioned 16 individuals and four legal entities for foreign bribery under the Korean FBPA,鉴于美国对62个人和77个法律实体实施了刑事制裁,and had imposed civil or administrative sanctions on an additional 41 individuals and 55 legal entities.此外,only nine cases have been prosecuted and convicted under the Korean FBPA since 1999,and eight of those involved bribery related to procurements for the U.S.韩国军队——也就是说,贿赂发生在韩国而不是国外的案件。韩国正在执行《反海外贿赂法》,这不仅是韩国的问题,but also hinders multinational efforts to combat corruption,and creates many innocent victims in the host countries of bribed foreign officials.

While there are many possible explanations for the under-enforcement of the Korean FBPA,one of the most significant is the difficulty of collecting evidence of foreign bribery.美国在《反海外腐败法》的早期也遭遇了同样的问题,但美国政府通过一个双管齐下的战略有效地克服了这一障碍:(1)给予提出并提供证据的犯罪者合作利益,(二)威胁对不合作的被告人从重处罚的。Many risk-averse companies therefore had the incentive to conduct a robust internal investigation,and to turn over evidence relevant to their own prosecution to the government in exchange for lenient treatment.

The success story of the United States in enforcing prohibitions against foreign bribery suggests a possible approach for Korea,though one that would need to be implemented in a somewhat different way,through different Korean institutions.它的工作原理如下:Continue reading

瑞士一项有问题的举报法

瑞士目前不是举报人特别好客的国家。向潜在举报人提供的反报复保护相对较少——被解雇的个人可以,充其量,希望能收到相当于six months他们的薪水,而不是复职——还有few legislative incentivesin place to encourage individuals to report corruption or other forms of corporate wrongdoing.  Moreover,国家的法律不仅在鼓励和保护私营部门的举报人方面相当严厉,评论员注意到brutally hard line瑞士政府已经接受了一些备受瞩目的检举起诉。

Unfortunately,a proposed law which has passed the country's Council of States and will be considered by its National Council,initially billed as an attempt to address ambiguities within the current whistleblower system,可能出现,if enacted,to make an already hostile climate for whistleblowers even worse.

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Sua Sponte Corruption Inquiries by Arbitral Tribunals: Causing More Harm than Good?

正如本博客之前的几篇文章所讨论的那样(参见here,here,andhere),corruption has emerged as a significant and controversial issue in international investor-state arbitration proceedings,在一些备受关注的案件中,法庭拒绝提供救济,理由是基础合同是通过腐败获得的。在这些情况下,corruption allegations usually surface at the initiative of one of the parties.例如,this summer,Djibouti提出针对迪拜港口运营商DP World的仲裁,寻求取消港口特许经营权,因为DP World据称与吉布提签订了通过腐败手段运营非洲最大集装箱码头的合同。然而,在极少数情况下,corruption can enter the picture without either party raising the issue during the proceedings.在这些情况下,仲裁庭审议腐败问题苏阿·斯波特,即使双方都没有指控对方腐败。

Perhaps the most prominent example of this is the tribunal's decision inMetal-Tech v.乌兹别克斯坦.Metal-Tech,ICSID法庭,换言之,“仲裁过程中出现的可疑事实”,特别是金属技术公司支付了过高的费用,各方“需要解释”,向乌兹别基政府官员和与乌兹别基领导层有密切联系的个人提供咨询服务的金额似乎不合理。The ICSID tribunal then essentially placed the burden of反驳鉴于金属技术方面的间接证据,which could not come up with enough evidence to overcome the tribunal's presumption.ICSID法庭认为它没有管辖权,驳回了金属技术公司的索赔。

On the surface,裁决权法庭处理腐败问题的努力似乎是反腐败斗争中的积极步骤。的确,it might seem irresponsible for the tribunal to stick its head in the sand given such facially suspicious facts. AsMichael Hwangand凯文林assert in a recentpaperendorsing this裁决权实践中,“法庭必须保持警惕,警惕一方或双方隐藏腐败交易的可能性,otherwise they may become unwitting accessories to heinous acts." But in fact,法庭在年采用的方法Metal-Tech,might do more harm than good.的确,by engaging in裁决权considerations of corruption,arbitral tribunals might unwittingly perpetuate corruption under several different scenarios:Continue reading