Bài Giảng Tham Nhũng

THAM NHNG KHI NIM, HU QU, KINH NGHIM V GII PHP CHNG THAM NHNG Nguyn Hng Thng, UEH Ni dung Nguyờn nhõn sinh tham nhng Tỏc hi ca tham nhng Kim soỏt v hn ch tham nhng NGUYấN NHN SINH RA THAM NHNG Khỏi nim tham nhng Tham nhng l mt tỡnh trng thiu trung thc (lack of integrity or honesty) Bản thân từ Tham nhũng gắn liền với từ tha hoá Về xuất xứ, khái niệm ngụ ý tình quan ăn tiền đưa phán Định nghĩa khái quát hơn, tham nhũng việc lợi dụng vị trí công tác để tư lợi Không nên nhiều với định nghĩa Why proliferation of corruption? monopolies and industrial subsidies in economy excessive discretionary power (lack of clear administrative rules and regulations) over distribution to the private sector lack of accountability (poorly functioning or absent watchdog agencies) Hỡnh nh ca tham nhng Công thức Tham Nhũng C=M+D-A Corruption Tham nhũng Monopoly Discretion Accountability Độc quyền Tuỳ tiện Trách nhiệm Corruption abuse of public power for private gain Why pay bribes? - Buy parliamentary votes, presidential decrees, and court decisions state capture - Avoid taxes and regulations administrative corruption * Extortion (facilitating payments) * Bribery Bribery: the worm that never dies Thao túng Chính quyền Một cá nhân, nhóm người công ty thuộc khu vực nhà nước hay tư nhân tác động tới trình xây dựng luật, quy định, nghị định sách nhà nước nhằm mục đích tư lợi thông qua hành vi chuyển lợi ích nhà nước thành lợi ích cá nhân cách sai trái không rõ ràng Một số ví dụ cụ thể hành vi thao túng quyền (State Capture) Bán phiếu bầu quốc hội Bán phán án cho quyền lợi cá nhân Tham nhũng công quỹ Hỗ trợ tài cho đảng phái trị cách bất hợp pháp Vận dụng sai văn pháp luật theo hướng có lợi cho cá nhân Cố tình đảo lộn thứ tự ưu tiên chi ngân sách Điều chỉnh Thể chế Thay đổi bối cảnh làm phát sinh Tham nhũng Các bước Xác định yếu điểm Xây dựng chiến lược Thực chiến lược iu chnh th ch Tăng cường thông tin Cải tiến biện pháp khuyến khích Đẩy mạnh cạnh tranh hỗ trợ nhóm có lợi ích đối trọng Tăng cường tham gia khu vực tư nhân quần chúng Tấn công tham nhũng cách có hệ thống Thắt chặt ngân sách Cam kết Chiến lược chống Tham nhũng toàn diện Chiến lược chống Tham nhũng Hệ thống thể chế chặt chẽ Bộ máy tư pháp hoạt động độc lập hiệu Giám sát hành pháp Tố tụng/thi hành phát luật độc lập Quần chúng tham gia Tự hoá thông tin Quần chũng góp ý với dự luật Quần chúng giám sát hoạt động ngân sách Tự Báo chí/hoạt động đoàn thể Ràng buộc trách nhiệm Cạnh tranh trị & Đảng phái Minh bạch tài trị Công khai hoá phiếu bầu quốc hội Kê khai tài sản/mâu thuẫn lợi ích Thị trường Cạnh tranh Cải cách sách kinh tế Cơ cấu lại khu vực độc quyền Đơn giản hoá thủ tục thành lập DN Quản lý công ty Quản lý Nhà nước Cơ quan Nhà nước trưng dụng người tài Quản lý Chi tiêu Công hiệu Cải cách thuế Phân cấp đôi với trách nhiệm giải trình Multilateral efforts to combat corruption at the national level International agreements and treaties Initiatives by international development organizations Private efforts by NGOs Private efforts by firms National laws on corruption The U.S Foreign Corrupt Practices Act Enacted in 1977, revised in 1988 FCPA prohibits the bribery of foreign government officials by U.S persons and prescribes accounting and record-keeping practices Excluded from the act: - Payments to non-government officials - Grease or facilitating payments (made to expedite or secure the performance of a routine government action) usually made to lower-level government officials Penalties: - US companies up to $2 million fine - US individuals (including officers and directors of companies that have willfully violated the FCPA) fines of up to $100,000 and imprisonment for up to years Standing alone in global markets? Being more virtuous than thou: did it pay? 1996: International Chamber of Commerce, Rules of Conduct to Combat Extortion and Bribery 1996: UN Declaration against Corruption and Bribery in International Commercial Transactions (1) deny the tax deductibility of bribes paid to government officials of another country; (2) criminalize the bribery of foreign government officials in an effective and coordinated manner; (3) establish jurisdiction over bribery of foreign government officials in a manner consistent with the principles of international law American business and the law: too much regulation and punishment? 1997: OECD Convention on Combating the Bribery of Foreign Public Officials -Signed by 34 countries; 26 ratified it by 2000 - aim to control corruption on the supply side (MNCs headquartered in OECD countries) Agreement to pass and enforce legislation that prohibits paying of bribes to foreign legislative, administrative, and judicial officials (including officials of government-controlled corporations and international organizations) 1997: World Bank anticorruption program: -The Bank would work to prevent fraud and corruption in Bank financed projects; -The Bank would assist countries that requested help in fighting corruption; -The Bank would mainstream its concern for Corruption directly into country analysis; -The Bank would contribute to the international effort to fight corruption 2000: Anticorruption Action Plan The Global War Against Bribery Reasons for optimism Market forces are likely to prove far more effective than legal forces in the fight against bribery (1) To the extent that corruption is the abuse of public office for private gain, its perpetrators are within reach of incentives or threatssuch as removal from officethat may persuade them to change their ways (2) since corruption usually creates inefficiency, corrupt countries tend to lose out in the global competition for capital and aid; bankers and businessmen bruised by collapsing economies now demand more than a ministers blessing before they risk their money (3) Above all, perhaps, corruption is now an issue that brings the crowds out on to the streets Oil-for-food fraud? Key messages Good governance is key to economic growth and development Fighting corruption requires a multi-pronged strategy to create accountable institutions: public and private political and economic McDonalds in China, 1998 Control Risks, a London business risk consultant, reports that each of McDonalds 38 outlets in Beijing was subject to 31 miscellaneous fees for purposes as unlikely as river dredging, flower displays on public holidays, and President Jiang Zemins spiritual well-being program The Beijing city council had not passed legislation specifically authorizing the fees, but city bureaucrats appeared to be within their discretion to impose the fees Should McDonalds agree to pay the fees? Systemic corruption in China Gulf Oil in Korea, 1966 In the mid-1960s, Gulf Oil Corporation undertook a $200 million direct investment program in the Republic of Korea When the program was nearly completed, the ruling political party approached Gulf for a $1 million contribution to finance its election campaign The request was accompanied by pressure which left little to the imagination The contribution was made and the incumbent party won reelection When the ruling party geared up for the next general election in 1970, a leader of the incumbent party approached Gulf for another campaign contribution SK Kim, the party representative, suggested that $10 million would be an appropriate contribution Should Gulf Oil make the contribution? Charitable contributions You are a partner in a venture capital firm focused on the Polish market and would like to privatize a regional newspaper with an eventual payout on the deal at over $10 million As a foreign investor, your firm must obtain ministerial approval for the purchase At a meeting with the Minister, an answer is promised within a week As you are leaving the meeting, you are introduced to the chief fundraiser for a charitable organization that supports orphaned children The ministers wife founded the organization and heard that you were interested in this type of charity The fundraiser then asks for a $50,000 donation Despite several follow-up calls, no answer regarding the approval is received for 10 days In the meantime, your lawyers a background check and report that the charity is legitimate They also note that neither the minister nor his wife appear to receive any financial benefit from the charity Do you make the donation? Dealing with terrorists You are the regional vice president for Latin America in a multinational packaged goods firm Colombian rebels kidnap your country manager and send a videotape to your office The group offers to release the executive if your firm take three actions: makes a $250,000 contribution to their food and medicine fund; runs an advertisement in the Financial Times criticizing the Colombian governments stand toward the rebels; and pay a $250,000 ransom to the kidnappers Would you meet the rebels demands? Corruption in Latin America Latin America is a region racked by almost endemic public thievery The United States has in the past been criticized for tolerating corruption in Latin America, especially when its political allies in the region were implicated New, post-September 11 policy to get tough on corruption New weapons against Latin American corruption derived from the Patriot Act passed after 9/11 (1) On its basis, the Department of Homeland Security has been pursuing the American assets of foreigners suspected of corruption in their own countries (2) New policy to deny or revoke the visas of corrupt functionaries, or PEPs (politically exposed persons) The war on terror has spawned a battle against corruption in Latin America (1) National security argument (2) Foreign-aid policy