The South African Government in 2002 accepted the Public Service Anti-Corruption Strategy (PSACS) with the objective to reduce the manifestation of malfeasance in the public service. The PSACS identified various goals and objectives to be achieved at both the systemic and departmental levels. At the departmental level, the PSACS set out to increase the institutional capacity of departmental institutions, and encourage the management of risk and of discipline in the public service. Departments are required to establish the necessary capacity to formulate fraud prevention and anti-corruption policies, receive and manage allegations of corruption, and investigate allegations of corruption and detected risks at a preliminary level. To manage ethics departments should inter alia identify early signs of a lack of discipline, improve the accountability and capacity of managers to manage discipline, and encourage managers to act against transgressions. However, various authors have been critical of the formulation of policies and the establishment of structures as a policy response to public service corruption. In their view, such an approach often leads to a reduction in the efficiency and effectiveness of public programmes, and even creates opportunities for corruption. In response to such deficiencies, some argue that a compliance-based approach to public service malfeasance should be supplemented by a value-based approach with an emphasis on the development of internal selfcontrol of individuals, the promotion of trust among employees, and the promotion of a culture of responsibility. In this context, this researcher proposes that the promotion of an ethical culture could enhance the implementation of the PSACS. In this dissertation, this researcher set out to evaluate, among others, the ethical culture of the Department of Correctional Services (DCS). It was decided that a survey would be the most appropriate data collection method. A questionnaire was administered and the data was captured, analysed and interpreted. Various statistical tests were performed and the findings suggest inter alia that the promotion of an ethical culture coincides with lower levels of observed malfeasance. Consequently, when greater clarity of operational and ethics policies is obtained, an increase occurs in both the severity and frequency of penalties for malfeasance, and officials gain greater access to resources and time to execute their responsibilities, the level of observed malfeasance is likely to be reduced. The promotion of an ethical culture could significantly enhance the implementation of the PSACS. / Public Administration / D. Litt. et Phil. (Public Administration)

The study focuses on an evaluation of the anti-corruption initiatives in Botswana and their relation to Botswana’s development. An evaluation was needed to find out whether the anti-corruption initiatives were effective and whether there were a correlation between the effectiveness of the Directorate on Corruption and Economic Crimes (DCEC) and the level of development in Botswana. This study showed that, the DCEC has succeeded to low corruption in Botswana through its most successful public education mandate and debatable good governance. The DCEC has helped to enhance service delivery in the public sector through the establishment of the Anti-Corruption Units (ACUs) within the Ministries aimed at tackling corruption in-house. Consequently, a significant slight improvement was registered in both public health and education sectors. However, that improvement was still minimal to the extent that it has been hampered by the challenging working conditions of the DCEC attributable to the inadequacy of legislation, lack of manpower, shortage of required skills and slow criminal justice system as well as the debatable independence of the DCEC, evidenced by its reporting and appointing lines. This implies that the impact of the DCEC in the development of Botswana has been minimal, as the country is still devastated by socio-economic disparities especially in rural areas. / Development Studies / M.A. (Development Studies)

The study focuses on an evaluation of the anti-corruption initiatives in Botswana and their relation to Botswana’s development. An evaluation was needed to find out whether the anti-corruption initiatives were effective and whether there were a correlation between the effectiveness of the Directorate on Corruption and Economic Crimes (DCEC) and the level of development in Botswana. This study showed that, the DCEC has succeeded to low corruption in Botswana through its most successful public education mandate and debatable good governance. The DCEC has helped to enhance service delivery in the public sector through the establishment of the Anti-Corruption Units (ACUs) within the Ministries aimed at tackling corruption in-house. Consequently, a significant slight improvement was registered in both public health and education sectors. However, that improvement was still minimal to the extent that it has been hampered by the challenging working conditions of the DCEC attributable to the inadequacy of legislation, lack of manpower, shortage of required skills and slow criminal justice system as well as the debatable independence of the DCEC, evidenced by its reporting and appointing lines. This implies that the impact of the DCEC in the development of Botswana has been minimal, as the country is still devastated by socio-economic disparities especially in rural areas. / Development Studies / M.A. (Development Studies)

En prenant l’exemple des entreprises pétrolières multinationales, cette thèse tente de clarifier l’état actuel du concept de responsabilité sociale des entreprises, qui, d’un point de vue juridique, relève du « soft law», et à dessiner la frontière entre le « hard law » et le « soft law», dans le but de mettre en lumière la différence entre les fonctions de ces deux types de droit et de dissiper les attentes irréalistes envers le concept de responsabilité sociale des entreprises. S’alignant avec cette logique, les contextes de la responsabilité sociale des entreprises ont d’abord été explorés, y compris l’évolution et les controverses autour de ce concept, ainsi que les instruments qui le sous-tendent et le mettent sur un pied solide, lesquels représentent certaines caractéristiques communes (diversité, flexibilité, inclusion des valeurs pionnières, etc.) pour être acceptés et engagés par les entreprises. Par ailleurs, a aussi été analysée la tendance au durcissement des règles nationales en cette matière, qui peut être constatée dans les pays développés et dans certains pays en développement. Puis, trois sujets, à savoir l’environnement, les droits de l’Homme et la lutte contre la corruption, ont été choisis et traités, pour, d’une part, exposer comment le « hard law » agit sur eux, ses faiblesses tant dans les pays en développement que dans les pays développés, et ses effets sur les performances réelles des entreprises pétrolières multinationales, et, d’autre part, déployer la contribution de la responsabilité sociale des entreprises sur ces thèmes. Enfin, les dynamiques de la responsabilité sociale des entreprises ont été recherchées. Certaines parties prenantes, comme les gouvernements, les investisseurs socialement responsables, les concurrents ou les ONG, ont un potentiel conséquent pour pousser les entreprises pétrolières multinationales à adopter une approche socialement responsable, tandis que certaines parties prenantes, comme les consommateurs responsables, restent un facteur faible pour la prise de décision de ces entreprises. / Examining the example of multinational oil companies, this article tries to make clear the actual situation of the concept of corporate social responsibility, which from legal perspective belongs to soft law, and to draw a line between hard law and soft law, aiming to highlight the difference in functions of these two laws and to dispel unrealistic expectations of corporate social responsibility. Along these lines, this article firstly explores the context of corporate social responsibility, including its evolution, controversies around it, and the underpinning instruments that put it on a solid footing. These instruments represent a couple of common characteristics (diversity, flexibility, inclusion of pioneer values, etc.) that make them accepted by companies as commitment. Furthermore, both developed countries and some developing countries have seen a trend to strengthen national-level rules in this area. Secondly, three subjects, i.e., environment, human rights and anti-corruption, are selected and analyzed to show how hard law functions, its weaknesses in both developing countries and developed ones, and its effects on the actual performance of multinational oil companies, and also to explore what contribution the corporate social responsibility can make. Finally, the dynamics of corporate social responsibility is discussed. Some stakeholders, such as government, socially responsible investors, competitors and NGOs, have great potential to push multinational oil companies to adopt a socially responsible approach, while some other stakeholders, such as responsible consumers, remain a weak factor in the decision-making of these companies.

Submitted by ROSIANE SANT ANNA STUTZ (rosistutz@gmail.com) on 2017-12-27T19:10:18Z No. of bitstreams: 1 Dissertação_Rosi Stutz.pdf: 1924541 bytes, checksum: 466cc41030b03645511276ad7f864ddf (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2018-01-02T13:02:49Z (GMT) No. of bitstreams: 1 Dissertação_Rosi Stutz.pdf: 1924541 bytes, checksum: 466cc41030b03645511276ad7f864ddf (MD5) / Made available in DSpace on 2018-01-09T17:04:22Z (GMT). No. of bitstreams: 1 Dissertação_Rosi Stutz.pdf: 1924541 bytes, checksum: 466cc41030b03645511276ad7f864ddf (MD5) Previous issue date: 2017-12-04 / Esta pesquisa objetivou investigar a manifestação do isomorfismo nos Códigos de Ética das empresas de capital aberto listadas na Bolsa de Valores do Brasil para verificar como a construção deste documento é influenciada por mecanismos institucionais que exercem pressão sobre estas empresas, inseridas no mesmo ambiente.Foi realizada uma pesquisa qualitativa, de caráter descritivo, conduzida por meio de análise do conteúdo dos Códigos de Ética de uma amostra que incluiu todos os setores econômicos utilizados pela Bolsa de Valores do Brasil. Para tratamento dos dados, o estudo utilizou categorias referentes às exigências da Legislação Brasileira, à legitimidade e às melhores práticas de um Programa de Compliance.A partir das categorias evidenciadas no conteúdo dos Códigos de Ética, esta pesquisa observou a ocorrência dos aspectos de isomorfismo coercitivo e de legitimidade em todos os Códigos, independente do setor econômico das empresas da amostra. Este estudo sugere que os Códigos analisados foram criados como uma resposta simbólica para atender as pressões de regulação e do ambiente institucionalizado onde as empresas estão inseridas.A presente pesquisa se limitou a analisar os conteúdos dos Códigos de Ética sob a luz da Teoria Institucional, concentrando-se no aspecto do isomorfismo e dos mecanismos institucionais que exercem pressão sobre as organizações inseridas em determinado campo organizacional, não abordando outros conceitos da Teoria nem realizando qualquer análise sobre a efetividade dos Códigos de Ética nas organizações selecionadas.O resultado deste estudo serve como um insumo relevante tanto para empresas que necessitam construir seu Código de Ética, quanto para as que necessitam aperfeiçoar o conteúdo de Códigos de Ética já existentes.As empresas podem construir seu Código de Ética como um guia efetivo de conduta para restringir comportamentos não éticos da organização e não apenas como um documento escrito para atender as exigências institucionais e regulatórias.Pelo nosso conhecimento, este é o primeiro estudo de conteúdo dos Códigos de Ética das empresas de capital aberto no Brasil, após a Legislação Brasileira Anticorrupção. / The purpose of this study is to investigate the occurrence of isomorphism in the Codes of Ethics of public companies listed on the Brazilian Stock Exchange to verify how the construction of this document is influenced by institutional mechanisms that put pressure on these companies, inserted in the same environment.A qualitative, descriptive research was carried out by analyzing the content of the Codes of Ethics of a sample that included all the economic sectors used by Brazilian Stock Exchange. For data treatment, the study used categories related to the requirements of the Brazilian Legislation, related to legitimacy and to the best practices of a Compliance Program.From the categories evidenced in the content of the Codes of Ethics, this study observed the occurrence of coercive isomorphism and legitimacy aspects in all Codes, regardless of the economic sector of the sample companies. This work suggests that the Codes analyzed were created as a symbolic response to address the pressure of regulation and the pressure of the institutionalized environment where the companies are inserted.This study was limited to analyze the content of the Codes of Ethics using the Institutional Theory, focusing on the aspect of the isomorphism and the institutional mechanisms that put pressure on the organizations inserted in a determined organizational field, not addressing other concepts of the Theory nor performing any analysis on the effectiveness of the Codes of Ethics in the selected organizations.The result of this study serves as a relevant input for both companies that need to build their Code of Ethics and those that need to improve the content of existing Codes of Ethics.Companies can build their Code of Ethics as an effective conduct guide to restrict employees’ unethical behavior and not just as a written document to meet institutional and regulatory requirements.To our knowledge, this is the first study of the Codes of Ethics content of public companies in Brazil, after the creation of the Brazilian Anti-Corruption Law.

With the establishment of the Directorate of Special Operations (Scorpions), the Asset Forfeiture Unit (AFU), the Special Investigating Unit (SIU) and the Departmental Investigating Unit (DIU), questions were asked as to whether this is a creation of new units of the Police Service. These questions were exaggerated by the fact that the media uses the term "Scorpions" whenever the Scorpions, the AFU, SIU and the DIU perform their functions. South African legislation that governs organised crime does not demarcate activities to be dealt with by the SAPS, AFU, DIU, Scorpions and the SIU. The Constitution of South Africa lays down the objects of the police, but it is silent about the objectives of the Scorpions, AFU, SIU, DIU and other investigative institutions except that it only mentions the creation of a single National Prosecuting Authority (NPA). A literature study was used as the basis for this study. In addition, unstructured interviews and observation were used to gather evidence from the relevant stakeholders. An analysis of the SAPS Detective Service, the Special Investigating Unit (SIU), the Scorpions, the Departmental Investigating Unit (DIU) of the Department of Correctional Services and the Asset Forfeiture Unit (AFU), was done in order to establish the overlapping of functions. Indeed, overlapping was discovered between the Scorpions and the SAPS Detective Service, the AFU and the SIU, as well as between the SAPS and the DIU. In order to make a proper finding, an analysis was done of anti-corruption agencies in Botswana, Nigeria, Malawi and Hong Kong. The findings indicate that the better way of fighting corruption, fraud, economic and financial crimes, is through the establishment of a single agency that will work independently from the police, with a proper jurisdiction. / Criminology and Security Science / D.Litt. et Phil.(Police Science)

The South African Government in 2002 accepted the Public Service Anti-Corruption Strategy (PSACS) with the objective to reduce the manifestation of malfeasance in the public service. The PSACS identified various goals and objectives to be achieved at both the systemic and departmental levels. At the departmental level, the PSACS set out to increase the institutional capacity of departmental institutions, and encourage the management of risk and of discipline in the public service. Departments are required to establish the necessary capacity to formulate fraud prevention and anti-corruption policies, receive and manage allegations of corruption, and investigate allegations of corruption and detected risks at a preliminary level. To manage ethics departments should inter alia identify early signs of a lack of discipline, improve the accountability and capacity of managers to manage discipline, and encourage managers to act against transgressions. However, various authors have been critical of the formulation of policies and the establishment of structures as a policy response to public service corruption. In their view, such an approach often leads to a reduction in the efficiency and effectiveness of public programmes, and even creates opportunities for corruption. In response to such deficiencies, some argue that a compliance-based approach to public service malfeasance should be supplemented by a value-based approach with an emphasis on the development of internal selfcontrol of individuals, the promotion of trust among employees, and the promotion of a culture of responsibility. In this context, this researcher proposes that the promotion of an ethical culture could enhance the implementation of the PSACS. In this dissertation, this researcher set out to evaluate, among others, the ethical culture of the Department of Correctional Services (DCS). It was decided that a survey would be the most appropriate data collection method. A questionnaire was administered and the data was captured, analysed and interpreted. Various statistical tests were performed and the findings suggest inter alia that the promotion of an ethical culture coincides with lower levels of observed malfeasance. Consequently, when greater clarity of operational and ethics policies is obtained, an increase occurs in both the severity and frequency of penalties for malfeasance, and officials gain greater access to resources and time to execute their responsibilities, the level of observed malfeasance is likely to be reduced. The promotion of an ethical culture could significantly enhance the implementation of the PSACS. / Public Administration and Management / D. Litt. et Phil. (Public Administration)

The ill-effects of corruption on the society, polity and economy of a country are far reaching. They have a corrosive effect on the rule of law, on governance and on the welfare of the society. The Constitution of the Republic of South Africa of 1996, which is the supreme law of the country, places as an expectation and obligation on the government accountability of state, and a government free of corruption and the malignancy of economic nepotism. South Africa’s anti-corruption framework is designed as a control-based approach that is multi-faceted and executed through legislation, supporting regulations, audit trails, anti-corruption structures, law enforcement, and public vigilance and reporting structures, amongst others. Be that as it may, South Africa is battling the scourge of corruption and other self-serving behaviours, often amongst the upper echelons of governing power, as demonstrated by the State capture. Some of the acts of corruption stems from the very same institutions that are meant to be the upper guardians of law and order. Numerous corrupt practices occur almost daily, including but not limited to fraud, bribery, extortion, nepotism, conflict of interest, cronyism, favouritism, theft, fronting, embezzlement, influence-peddling, insider trading/abuse of privileged information, bid-rigging and kickbacks and money laundering. The list is not exhaustive. Based on the findings of this study, numerous recommendations and /or suggestions are made. The value of the study lies in the contribution it makes in South Africa’s fight against corruption to become comparable to countries whose corruption perception index is all time favourable, such as Botswana, Seychelles, Hong Kong and Singapore. / Criminology and Security Science / D. Litt. et Phil. (Criminal Justice)

Thesis "Corruption in the Czech Customs Administration" is focused on the issue of corruption and the causes of corrupt behaviour of Czech customs officials. The primary task of this work was to determine whether it is the disorganization of the armed force or the individual deviance which influences the level of corruption in the Czech Customs Administration more. The secondary task was to elicit the level of corruption as it is perceived by the customs officials themselves and on the basis of the acquired information to suggest some anti-corruption measures. The theory of social disorganization and the theory of social deviancy were used as the basis for this work. The data required for the decision whether it is the disorganization of the armed force or the individual deviance which influences the level of corruption in the Czech Customs Administration more and the data for the findings of the corruption level as it is perceived by the customs officials was collected from a quantitative research. This research was conducted in the form of a questionnaire that was distributed among Czech customs officials The research revealed that the main factor which increases the level of corruption in the Czech Customs Administration is the social disorganization of the armed force. The other finding from...

本研究的問題意識為「為什麼國家體制有時無法成功消弭社會運動的風潮？」為了處理這個問題意識，本文採取一個「策略-關係」途徑的研究方法，並假設「社會運動若能於特定結構之下運用得宜的策略，即能持續生存發展」。因此，本研究探討台灣民主化過程之下一種特殊型態的「指向國家核心的社會運動」，分別是「反核四抗爭運動」以及「紅衫軍反貪腐倒扁運動」。 在本研究的第二章與第四章內容分別描述了這兩個特殊的社會運動興起背景以及台灣民主化的進程；而在本研究的第三章與第五章內容則分別討論這兩個社會運動採取的外部策略與策略互動。研究發現，「反核四抗爭運動」是以一種「以國家為槓桿」的外部策略；而「紅衫軍反貪腐倒扁運動」則採取一種「以大眾媒體為槓桿」的外部策略，這兩個案例在台灣民主化的不同階段之下分別成功形塑了「指向國家核心的社會運動」，共同見證了台灣民主化發展的獨特經驗，因此具有相當程度之指標性意義。 / The original research conscious of this study is” Why state machine sometimes can’t terminate social movement successfully?” In order to face this research conscious, the research adopt” strategic-relational approach”, and assume “If social movement could use suitable strategy in particular structure, the social movement could be exist and develop”. For the reason, this study wants to treat a special type of social movement, and we called social movements with “point at state core”. this study further select two social movements with “point at state core” in Taiwan’s Democratization:”Anti-fourth nuclear power plant movement” and ”Anti-corruption depose-Chen Campaign”. In Chapter 2 and chapter 4, we describe the background of social movement and democratic development in Taiwan; In Chapter 3 and chapter 5, we discuss external strategy and the interaction of the two social movement cases. This research discoveries that Anti-fourth nuclear power plant movement uses the external strategy of “as state as leverage”. On the other side, Anti-corruption depose-Chen Campaign uses the external strategy of “as mass media as leverage”. Finally, this study believes that the two social movements with “point at state core” play an important role in Taiwan’s Democratization.