与巴西分享FCPA惩罚的计划已经被巴西挫败:最高法院对熔岩JATO基金会的无效

对美国司法部(DOJ)如何执行《反海外腐败法》(FCPA)的经常性批评是,罚款通常归美国财政部。而不是被用来赔偿贿赂发生国的腐败造成的损害。Those who hold that view were likely encouraged by the non-prosecution agreement (NPA) that the DOJ concluded with Petrobras,巴西国有石油公司,2018年9月。The US enforcement action against Petrobras is a development of the so-called Lava Jato (Car Wash) investigation,in which firms paid off some Petrobras' senior employees to benefit them in the contracts they had with the oil company.Such senior employees also shared a portion of the briber of politicians and political parties.在巴西,Petrobras (and its shareholders,including the Brazilian federal government) are considered the victims of this scheme,but the US DOJ considered Petrobras a perpetrator (as well as a victim),因为巴西石油公司的官员促成了贿赂的支付,违反《反海外腐败法》。Thus,the DOJ brought an enforcement action against Petrobras,and the parties settled via an NPA that required Petrobras to pay over US$852 million in penalties for FCPA violations.But—and here is the interesting part—the NPA also stated that the US government would credit against this judgment 80% of the total (over US$682 million) that Petrobras would pay to Brazilian authorities pursuant to an agreement to be negotiated subsequently between Petrobras and the Brazilian authorities.

这一不寻常的协议是美国之间异常密切合作的结果。巴西当局,尤其是Lava Jato特别工作组(处理一系列与巴西石油公司有关的案件的联邦检察官小组)。在司法部和巴西石油公司之间的NPA结束后,专责小组随后与巴西石油公司进行了谈判,并达成了一项协议,根据该协议,巴西石油公司将使用6.82亿美元,否则将欠美国政府创建一个私人慈善机构,known unofficially as the Lava Jato Foundation,基金会利用一半资金赞助公益事业,and the other half to compensate minority shareholders in Petrobras.According to the agreement,该基金会由民间社会组织的五名无偿成员组成的委员会管理,to be appointed by the Task Force upon judicial confirmation.Once created,这项任务将有一个特权,让它的一个成员坐在基金会的董事会。

巴西石油公司案的这项决议似乎是一项双赢的决议,也是未来案件的一个有希望的先例:美国对违反美国法律的行为实施了严厉制裁,but most of the money would be used to help the Brazilian people,who are arguably the ones most harmed by Petrobras's unlawful conduct.但事实证明,这种安排在巴西引起了极大的争议,both politically and legally.的确,这个问题使该国自己的联邦检察官产生了分歧:总检察长(联邦检察官办公室的负责人,from which the Lava Jato Task Force enjoys a broad independence) challenged the creation of the Foundation as unconstitutional.She prevailed on that challenge in Brazil's Supreme Court (Supremo Tribunal Federal或STF)which suspended the operation of the Foundation.

What,确切地,是反对创造熔岩JATO基金会的法律论点,STF的裁决对纠正外国贿赂的影响有何影响?

继续阅读渐次

据我们所知,巴西最高法院可能已经结束了熔岩日本行动。

去年三月,Brazil's Supreme Court (theSupremo Tribunal Federal,or STF) issued an opinion that is considered one of the most significant defeats yet to the anticorruption effort known as the Car Wash (or Lava Jato) operation (seehereandhere)The case involved allegations that the former mayor of Rio de Janeiro and his campaign manager received roughly USD 4 million from the construction firm Odebrecht that was used for a campaign slush fund,以换取与某些建设项目有关的商业优势。被告胜诉的具体法律请求与实质性问题无关,而是一个管辖权问题:这个案件是否是在错误的法庭上提起的。在巴西,普通联邦法院裁决普通联邦犯罪,但也有专门的选举法庭处理违法行为,包括违反巴西选举法的犯罪行为。The use of slush funds,虽然没有明确列为《选举法》规定的刑事诉讼之一,可能会受到选举法禁止虚假陈述的起诉,因为做前市长据称做的事将导致无法报告竞选活动中使用的资金。这些指控通常由专门的选举法院审理。But taking illegal contributions to a campaign slush fund in exchange for political favors could also be charged as bribery (or associated crimes like money laundering) under Brazil's Criminal Code—crimes that would typically be adjudicated by the regular federal courts.Given that the same wrongful transaction might entail violations of both the Electoral Code and the Criminal Code,哪个法院(或法庭)应该审理这个案件?

This is the question that the STF had to resolve,它有,粗略地说,三种选择。First,STF本可以裁定整个案件(选举罪和普通罪)应由普通法院审理。The second option would be to require that the special electoral court adjudicate the whole criminal case,including the ordinary criminal charges.第三,the STF could have held that the case should be split,选举法院处理涉嫌违反选举法的指控,普通法院处理所有其他指控。在一个6-5的决定中,STF选择了第二种方案,holding that whenever an ordinary crime is committed in connection with an electoral crime,the whole criminal case must be decided by an electoral court.

这对熔岩Jato的操作非常重要,由于该行动发现的许多案件涉及潜在的违反选举法的行为,in the form of illegal or undisclosed campaign contributions made in exchange for political favors.(报纸)圣保罗报estimatesthat almost 30% of Lava Jato's rulings touch discussions of illegal campaign finance.) But although some cases related to Lava Jato have gone to the electoral courts,most of the cases,包括所有的主要刑事案件,已经在普通法庭被起诉。联邦检察官,especially the Lava Jato task force,are very concerned 188bet appabout the STF's decision and have criticized it as a significant blow to Brazil's anticorruption efforts.

他们担心是对的。Although some have maintained that there is no serious cause for concern,in fact the STF's decision poses a very serious problem,有几个原因。

继续阅读渐次

视频:拉丁美洲控制腐败贝克中心会议

几周前,我很幸运参加了莱斯大学贝克公共政策研究所举办的一个小型会议,题目是“一个有价值的使命:控制拉丁美洲的腐败。”会议以耶鲁大学教授的开场主题演讲为特色。苏珊·罗斯·艾克曼,with a brief response by BYU Professor丹尼尔·尼尔森,接下来是两个面板。The first of these panels (which I moderated) focused on anticorruption prosecutions in Latin America generally,特色Thelma Aldana(2014-2018年担任危地马拉司法部长,据说是likely presidential candidate),保罗·罗伯托·加尔瓦奥·德卡瓦略(a Brazilian Federal Prosecutor and member of the "Car Wash" anticorruption Task Force),乔治·梅森大学教授路易丝·谢利.The second panel,哥伦比亚大学教授主持保罗拉格尼斯,focused more specifically on corruption control in Mexico,和特邀教授杰奎琳·佩沙德(former chair of Mexico'sNational Anticorruption System),克劳迪奥X.冈萨雷斯(民间社会组织主席墨西哥人对腐败的控制),andMariana Campos(墨西哥另一民间社会组织的项目主管,Mexico Evalua

会议的录像是公开的,所以我将遵循我过去分享链接的实践,along with a very brief guide (with time stamps) in case anyone is particularly interested in one or more particular speakers or subjects but doesn't have time to watch the whole thing.下面是:继续阅读渐次

嘉宾贴子:世界上最大的反腐败立法机构是在巴西。188bet app

今天的嘉宾是来自里约热内卢的迈克尔·弗雷塔斯·莫哈勒姆教授(Funda_o Getulio Vargas(FGV)司法与社会中心主任,Brazil),布鲁诺品牌_o(透明国际总监,Brazil),and Guilherme France (a researcher at FGV).

透明国际巴西分会,together with scholars at FGV's Rio and Sao Paolo law schools,are leading a wide-ranging effort,在巴西社会多个部门的投入下,制定一揽子立法,institutional,以及行政改革“新的反腐败措施”——这将解决腐败的系统原因并提供长期解决方案。The project,在2017年和2018年开发了约18个月,was prompted by two related developments.First,所谓的洗车行动(Lava Jato)揭露了现代最大的腐败丑闻之一,牵连了数百名政治家,公务员,and business leaders.Second,尽管Lava Jato行动提出了一项建议,由一些熔岩日本检察官自己带头,for "Ten Measures Against Corruption," which was endorsed by over 2 million people,that effort was stymied by the National Congress.所以,尽管Lava Jato在揭露和惩罚腐败方面取得了成功,Brazil has not yet developed the necessary long-term reforms to address the underlying sources of the problem.

新的反腐败措施旨在为巴西提供前进的道路,制定大胆的改革议程,解决与预防有关的问题,detection,以及对腐败的起诉。新措施包括一个由70项反腐败措施组成的一揽子方案,其中包括联邦法案草案,proposed constitutional amendments,以及12类行政决议:

  1. Systems,councils and anticorruption Guidelines;
  2. Social accountability and participation;
  3. 预防腐败;
  4. 选举和政党的反腐败措施;
  5. Public servant accountability;
  6. Public servant investiture and independence;
  7. Improvements in internal and external control;
  8. 私营部门的反腐败措施;
  9. 调查;
  10. 改进刑事迫害;
  11. Improvements in the fight against administrative improbity;
  12. 资产回收工具。

所有70个提案的完整报告(共626页,目前只提供葡萄牙语)是here.欢迎进一步讨论具体建议,国内外评论员,and we hope that at some point soon we will be able to provide summaries and translations of all of the measures.但在这篇文章的其余部分,we want to offer some more background on the process that we used to develop the New Measures,as well as the prospects going forward for pushing the government to adopt these reforms.继续阅读渐次

“说不是这样,Sergio!": Judge Moro's Apointment to the Bolsonaro Cabinet Is a Setback for Brazil's Struggle Against Corruption

Two weeks ago,far-right candidateJair Bolsonarowas elected President of Brazil.很可能没有一个因素能解释布尔索纳罗的成功,但正如我在A中提到的上岗,disgust at the corruption of the Worker's Party (the PT),which had been exposed by the so-called Car Wash (Lava Jato) investigation,可能起了重要作用。Lava Jato行动揭露了令人震惊的腐败水平,主要是巴西国有石油公司Petrobras,and has led to the convictions of scores of businesspeople and politicians.一些关键人物参与了熔岩日本行动,包括检察官德尔坦·达拉格诺andJudge Sergio Moro,成为民族英雄,至少在某些方面。But their popularity is by no means universal.事实上,Lava Jato调查并定罪了这么多的PT政客,including former President Luiz Inacio Lula da Silva (known as Lula),带领一些PT成员和同情者指责the investigators,检察官以及参与拉发-加托行动的法官参与了针对卢拉的政治动机右翼阴谋,PT,一般来说是左边。为此,Lula is a"political prisoner,"and the impeachment and removal of his successor,President Dilma Rousseff,是一个“政变”。

Many people,我包括在内,have pushed back hard against the notion that the Lava Jato operation is a politically-motivated conspiracy.证据太过明朗似乎是不可辩驳的,and while critics have identified a number of questionable decisions by the prosecutors and judges (criticisms I'm not in a position to evaluate on the merits),认为这一切都是出于政治动机的虚假想法是毫无根据的。总的来说我的印象,shared by many other domestic and international observers,这就是熔岩日本行动已经进行了伟大的专业性。Yes,事实上,该行动针对的是许多PT数字,但拉发·加托一直在追捕来自不同政界的政治家,and if PT politicians seem to make up a disproportionate share,this is most likely because the PT had held the presidency from 2003 to 2016,first under Lula and then under Dilma.此外,many of us in the international community,与一些巴西反腐败学者和活动家一起,担心这些对Lava Jato攻击完整性的未经证实的攻击,超出了对个人决策或裁决的挑战,将严重损害巴西有效的一套机构检查和平衡的长期发展。One doesn't need to subscribe to a naïve view that prosecutors and judges are entirely "neutral" to recognize the importance of developing institutions of justice that are not,and are not perceived as,粗俗意义上的党派或“政治”。

正是在这样的背景下,我上周才如此沮丧地学习到Judge Moro had accepted当选总统布尔索纳罗被任命为司法部长。我没有理由怀疑莫罗法官的正直,也没有理由相信他接受这份工作的原因,除了因为他相信这份工作会给他一个为国家服务的机会。But I nonetheless fear that it was a mistake,one that will set back Brazil's ongoing efforts to develop more robust anticorruption institutions.继续阅读渐次

Brazil's Electoral Dilemma: Which Outcome Will Be Better for Anticorruption?

我的post last week对巴西的政治局势表示失望,以及对左翼工人党(PT)普遍腐败的厌恶,这是可以理解的,which controlled the presidency from 2003 to 2016,似乎是在为极右翼候选人布尔索纳罗惊人的选举成功做出贡献。布尔索纳罗的极端主义观点,偏执的历史,激烈的言辞,对独裁者的崇拜让一些人给他贴上了标签,有理由的话,as aquasi-fascist—was the top vote-getter in the first round of Brazilian's two-round presidential election system,and he is favored to win the run-off against PT candidate Fernando Haddad on October 28.虽然我不是巴西或其政治方面的专家,这种情况选民对主流政党腐败的反感导致了强硬的极端分子的崛起,这是令人痛苦的熟悉。It's a pattern we've seen play out in several countries now,通常会带来非常不幸的后果。所以,尽管我认为腐败是一个严重的问题,并且倾向于支持积极的反腐败努力,包括在巴西进行的所谓洗车(lava jato)调查——我用我的最后一篇文章表达了我对反腐败情绪可能会推动像波士罗纳这样的人取得胜利的沮丧。有些事情,我争辩说,比腐败更重要。

这篇文章似乎触动了我的神经——我在那篇文章上得到了更多的反馈(一些在公众评论部分,其中一些是私人交流),而不是我在四年半的时间里写的关于腐败的博客。188bet app虽然有些评论是人们在互联网上习以为常的一种无实质的谩骂,a lot of people have provided useful,深思熟虑的,各种建设性的批评和推诿。So I thought that perhaps it would be worth doing another post on this general topic,and connecting my thoughts 188bet appabout the current Brazilian political situation to some more general themes or problems that those of us who work on anticorruption need to confront,whether or not we have any particular interest in Brazil.继续阅读渐次

Some Things Are More Important Than Corruption (Brazilian Elections Edition)

在反腐社区,对于许多民主国家的选民似乎支持那些众所周知或被认为腐败的候选人的事实感到困惑和哀叹是很常见的。"Why," we often ask,“选民是否经常选举或重新选举腐败的政治家,despite the fact that voters claim to despise corruption?" One of the common answers that we give to this question (an answer supported by some实证研究) is that even though voters dislike corruption,他们更关心其他事情,188bet app如果一个候选人或政党出于其他原因具有吸引力,他们通常会忽略严重的不当行为指控。我们经常遗憾地观察到,有时伴随着选民在投票时将反腐作为一个更重要的优先事项的明确或隐含的愿望。

We should be careful what we wish for.继续阅读渐次