A presente tese possui como tema o estudo do suborno praticado por empresas transnacionais, também conhecido como suborno transnacional, aplicado ao contexto brasileiro. O problema de pesquisa refere-se ao seguinte questionamento: o Brasil deve implementar as normas internacionais voltadas ao controle do suborno realizado por empresas transnacionais? Caso a resposta seja positiva, quais medidas podem ser tomadas pelo país? A modalidade da pesquisa mescla elementos descritivos e explicativos, sendo o método científico o dedutivo. Foram escolhidos três procedimentos técnicos: pesquisa bibliográfica, documental e estudo de caso. A pesquisa bibliográfica é de natureza interdisciplinar. A pesquisa documental diz respeito ao uso de documentos produzidos por Estados, organizações internacionais e não governamentais, que tratam sobre suborno transnacional. O estudo de caso foi feito em relação aos principais casos de suborno transnacionais registrados e aqueles que possuem conexão com o Brasil. Como resultado, descobriu-se a existência de um regime jurídico internacional antissuborno. Neste contexto, recomenda-se que o Brasil implemente em seu direito interno mecanismos previstos nas normas internacionais: a responsabilização das empresas pela prática do suborno (nacional e transnacional), incluindo dispositivos de estímulo ao compliance, o estabelecimento de uma agência responsável por gerir a política anticorrupção e a proteção de denunciantes do setor privado. Ao final, descobriu-se que a nova Lei Anticorrupção Empresarial (Lei Federal nº 12.846/2013), apesar de representar um avanço no sistema jurídico brasileiro, necessita ser aperfeiçoada de acordo com os parâmetros previstos em normas internacionais. / The theme chosen for the thesis is the study of the bribery practiced by transnational corporations, also know as transnational bribery, applied to the Brazilian context. The research problem relates to the following question: Should Brazil implement international norms aimed at controlling bribery carried out by transnational corporations? If the answer is affirmative, what steps can be taken by the country? The research is descriptive and explanatory, and the scientific method is deductive. Three technical procedures were chosen: bibliographical research, documentary research and case study. The literature is interdisciplinary. Documentary research relates to the use of documents produced by Governments, international organizations and NGOs, that deal with transnational bribery. The case study was done with the main cases of transnational bribery registered and those who have connection with Brazil. As a result, it was discovered the existence of an international legal anti-bribery regime. In this context, it is recommended that Brazil implements in its national law mechanisms provided by international law: corporate liability for bribery practice (national and transnational), including compliance incentive devices, the establishment of an agency responsible for managing the anti-corruption policy and the protection of whistleblowers in the private sector. In the end, it was discovered that the new Brazilian Anti- Corruption Law (Federal Law No. 12846/2013), despite representing a breakthrough in the Brazilian legal system, needs to be improved in accordance with the parameters set out in international law. / Esta tesis tiene como tema el estudio de sobornos practicado por las empresas transnacionales, también conocido como el soborno transnacional, aplicados a la realidad brasileña. El problema de investigación se refiere a la siguiente pregunta: el Brasil debe aplicar las normas internacionales destinadas a controlar el soborno realizado por las empresas transnacionales? Si la respuesta es sí, ¿qué medidas se pueden tomar por el país? La investigación es descriptiva y explicativa, y el método científico es deductivo. Tres procedimientos técnicos fueron elegidos: investigación bibliográfica, la investigación documental y estudio de casos. La literatura es interdisciplinario. La investigación documental se refiere al uso de los documentos producidos por los gobiernos, organizaciones internacionales y organizaciones no gubernamentales, que tratan con el soborno transnacional. El estudio de caso se hizo con los principales casos de soborno transnacional registrado y aquellos que tienen relación con Brasil. Como resultado, se descubrió la existencia de un régimen jurídico internacional contra el soborno. En este contexto, se recomienda que el Brasil reproduce en su derecho interno mecanismos contenidos en las normas internacionales: la responsabilidad empresarial por la práctica del soborno (nacional y transnacional), incluyendo los dispositivos de estimulación de compliance, la creación de un organismo encargado de la gestión de la política anticorrupción y la protección de los denunciantes en el sector privado. Al final, resultó que la nueva Ley de Anticorrupción (Ley Federal Nº 12.846/2013), a pesar de representar un gran avance en el ordenamiento jurídico brasileño, necesita mejorarse de acuerdo con los parámetros establecidos en las normas internacionales.

La lutte contre la corruption constitue, depuis une vingtaine d'année, une priorité, tant pour les États que du point de vue international. D'abord, fondée sur le blanchiment de capitaux, notamment issus de trafics de stupéfiants et du terrorisme, la lutte contre la corruption tend désormais à devenir autonome. Le secteur bancaire et financier par lequel transitent des flux financiers licites et illicites, et qui a subi des crises et scandales considérables dans les dernières années, paraît susceptible d'être le réceptacle d'opérations de corruption, sans pour autant que cette question n'ait été ni pensée, ni ait formé véritablement le socle d'une action résolue des instances internationales et nationales. Il devenait, dès lors, nécessaire de s'interroger sur le système d'intégrité bancaire et financier (SIBF), dans ses versants préventif et répressif. Il en est ressorti que ce dernier, à l'instigation d'organisations internationales et consécutivement à des traumatismes politiques et financiers, a subi en quelques années une importante évolution. Ce développement a conduit, d'abord, au renforcement des dispositifs de prévention dans les établissements bancaires et financiers. Il a, ensuite, offert de nouvelles ressources au système judiciaire, par exemple, à travers le procureur de la République financier et l'enrichissement de ses méthodes d'enquêtes. Le SIBF, cependant, éprouve des difficultés graves pour contrer efficacement les menaces de la corruption qui restent en mouvement constant. Aussi conviendrait-il que les pouvoirs publics mettent résolument en œuvre des politiques publiques fortes dans le domaine, qui pourraient s'inspirer des propositions formulées à la fin de cette thèse. / For about twenty years, on a State and international basis, the fight against corruption has constituted a priority. Originally based on money laundering, essentially from drug trafficking and terrorism, the fight against corruption is nowadays tending to become autonomous. In the past years, the banking and financial sector, transited by lawful and illicit financial flows, has not been able to avoid considerable crises and scandals. This sector seems to be a haven for corruption operations ; though, this question has never really been taken into account, nor being thought as to form a common base for a resolute international and national response. It then becomes necessary to wonder about the banking and financial integrity system (SIBF), in both its preventive and repressive sides. At the instigation of international organisations and responsivly to political and financial traumatisms, the SIBF has undertaken a tremendous development. This evolution led, first, to the strengthening of the prevention mechanisms in the banking and financial institutions. It also offered new developments for the judiciary means, such as the instauration of the national financial prosecutor and the enrichment of his means of investigation. However, the SIBF presents serious difficulties for efficiently countering the constantly moving and evolving corruption threats. It would be then necessary that the concerned authorities implement resolutely strong public policies in this domain, which could be inspired by the proposals formulated at the end of this thesis.

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Made available in DSpace on 2016-04-26T20:24:23Z (GMT). No. of bitstreams: 1 Daniel Laufer.pdf: 1575152 bytes, checksum: b980a196037a3418f274ea82483107d2 (MD5) Previous issue date: 2016-03-16 / This present work intends to perform a new reading of typicaldogmatic aspects and criminal policy starting from the identification of public administrators impartiality to be protected in active and passive corruption offenses, including proposals for legislative alterations on the subject. The quality and quantity of crimes against the public administration in Brazil, notably corruption, accompanied by outdated legislation, greatly justify this theoretical investigation. The study was permeated by the analysis of Brazilian and foreign doctrines, extracting the consequences from it, useful to the research that has been developed from the establishment of some conceptual assumptions and analysis of the present situation of corruption within and outside Brazil. Following this, the <<imparciality principle concerning public administrators>> was stipulated as the legal right to be protected by active and passive bribery figures. From this point it was possible not only to criticize the Brazilian law but to reinterpret the offenses set forth in Articles 317 and 333 of the Penal Code, as well as pointing out a new vocabulary to criminal types, taking them from some observations on the Brazilian law, such as the improper criminalization of passive corruption, the need to maintain the official act as an element of bribery types and the disproportion of the stipulated penalties. As a final consideration, the atrophy of the Brazilian criminal politics aimed at the corruption, the structures of the personal precautionary measures were also analyzed, as well as those of real precautionary measures, of award-winning collaborations, of criminal organizations of heinous crimes and criminal compliance, which, if properly applied and interpreted, could benefit to the correct application of the criminal law on corruption / O presente trabalho pretende realizar a releitura de aspectos típico-dogmáticos e de política criminal a partir da identificação da imparcialidade do servidor público a ser tutelado nos delitos de corrupção ativa e passiva, inclusive com propostas de alteração legislativa sobre o tema. A qualidade e a quantidade dos crimes praticados contra a administração pública em território brasileiro, notadamente a corrupção, acompanhados de legislação desatualizada, justificam sobremaneira esta investigação teórica. O estudo foi permeado pela análise das doutrinas brasileira e estrangeira, extraindo-se as consequências úteis à pesquisa que foi desenvolvida a partir da fixação de algumas premissas conceituais e da análise do momento atual da corrupção dentro e fora do Brasil. Em seguida foi estipulado o <<princípio da imparcialidade do servidor público>> como o bem jurídico a ser tutelado pelas figuras de suborno ativo e passivo. A partir daí foi possível não só criticar a legislação brasileira como também realizar uma releitura dos delitos previstos nos artigos 317 e 333 do Código Penal, inclusive apontando nova redação aos tipos penais, a partir de algumas constatações sobre a lei brasileira, tais como a indevida criminalização da corrupção passiva, a necessidade de manutenção do ato de ofício como elemento dos tipos de suborno e a desproporcionalidade das penas cominadas. Considerando, por fim, a atrofia da política criminal brasileira direcionada à corrupção, também foram analisadas as estruturas das medidas cautelares pessoais, das medidas cautelares reais, da colaboração premiada, da organização criminosa, dos crimes hediondos e do criminal compliance, que, se devidamente aplicadas e interpretadas, podem reverter em benefícios para a correta aplicação da norma penal sobre a corrupção

University of Macau / Faculty of Social Sciences and Humanities / Department of Communication

University of Macau / Faculty of Social Sciences and Humanities / Department of Government and Public Administration

The master paper discusses the issue of the matter of crime in cases against civil service and public interests. Criminal acts against civil service and public interests are considered to be selfish acts. In fact, the matter of crimes against civil service and public interests is an obtained or provided benefit of particular form. Master paper tries to present the matter of bribery crimes (Articles 225 – 227 of Criminal Code), attributes of the matter of abusing service for the purpose of obtaining material or other benefit (Article 228 Paragraph 2 of Criminal Code.), their general characteristics and differences, contents and effect on qualification of criminal acts. After the Republic of Lithuania regained its independence which had influence on the essential changes in economy-social relations and corresponding legislative acts, property and personal relations among people had become significantly more modern and varied. In addition, a wider range of benefit forms which could be obtained or provided in relation with position of a civil officer appeared and thus respective evaluation had to be made in respect of the matter of criminal acts specified in Part XXXIII of the Criminal Code. The author expresses reasoned opinion based on theoretical knowledge and concepts on the issue discussed. The master paper also includes the analysis of criminal proceedings, corresponding judgements and courts’ positions on the issue of the matter of crime. The author presents the... [to full text]

The advent of experimental methodologies have led to decisive progress in the study of corrupt behaviour in the last two decades. Since they can complement survey data and perception indexes with controlled experimental data, scholars and policy makers have reached a better understanding of decision-making in bribery situations and are able to design innovative anticorruption policies.In this thesis, I use experimental and empirical data to contribute to the field of the economics of corruption. The first two chapters of this PhD dissertation use experimental methodologies to study decision-making in a bribery scenario. The first chapter tests an anti-corruption strategy with a lab in the field experiment in Burundi. The second chapter studies the fairness concerns that might arise when dealing with redistribution in a bribery situation. The third chapter uses an empirical analysis to explore the controversial issue of political moonlighting, i.e. having outside activities while holding public office. It investigates "double-hat politicians", who combine mayor and parliamentary positions in Wallonia.In a first chapter, written with Jean-Benoit Falisse, we explore the effect of anti- corruption messages on corrupt behavior and public service delivery. In a novel lab-in-the-field experiment, 527 public servants from Burundi were asked to allocate rationed vouchers between anonymous citizens; some of these citizens attempted to bribe the public servants to obtain more vouchers than they were entitled to. Two groups of public servants were randomly exposed to short messages about good governance or professional identity reminders. Participants in these two groups behaved in a fairer manner than those of a third group who were not exposed to any message. The result is more robust in the case of the group exposed to the professional identity reminder. The underlying mechanisms seem to be that when a public servant reflects upon governance values and her professional identity, the moral cost increases, prompting more equal service delivery. Bribe-taking was not impacted by the messages. The experiment provides new insights into the design of anti-corruption strategies.The second chapter, written with Lena Epp, investigates the impact of a public officials’ fairness considerations towards citizens in a petty corruption situation. Other-regarding preferences, and, more particularly, fairness concerns are widely acknowledged as crucial elements of individual economic decision-making. In petty corruption contexts, public officials are to a large extent aware of differences between citizens. Here, we experimentally investigate how fairness considerations may impact on corrupt behaviour. Our novel bribery game reveals that bribes are less frequently accepted when bribers are unequal in terms of endowments. These results suggest that fairness considerations can influence corrupt behaviour.In the last chapter, I focus on political moonlighting in Wallonia. Activities outside of public office or combining specific public offices simultaneously is a topic of ongoing heated debates. An element crucial to these discussions is whether moonlighting is detrimental for politicians’ performance. In Belgium, the combination of local executive and regional legislative offices, i.e. double hat politicians, is a frequent habit for a majority of politicians. This accumulation of activities might lead to (un-)desirable outcomes in terms of political achievements. This chapter investigates the impact of holding several remunerated and honorary positions on regional MPs parliamentary activities and mayor’s municipality performance in Wallonia. I use a database of all public and private positions held by Belgian politicians in Wallonia since the disclosure of positions became compulsory for those holding at least one public position, i.e. from 2004 to 2016. For members of Parliament, wearing a double hat reduces global parliamentary activity. For mayors, it seems that holding more remunerated positions is associated with less efficient municipality management. / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

博士(法学) / 乙第202号 / 6, 701p / 一橋大学

U.S. aerospace companies are estimated to lose more than $25 billion in international contracts per year due to bribery. These losses create Foreign Corrupt Practices Act (FCPA) compliance strategy challenges for U.S. aerospace companies' management. The purpose of this single case study was to explore strategies that U.S. aerospace small business leaders use to comply with the FCPA. The conceptual framework for this study was the regulatory compliance conceptual model, which suggests that small business leaders must gain deeper insight into how corporate compliance policies address the FCPA requirements. The target population for this study was leaders of a small U.S. aerospace company in California. Data collection included semistructured, face-to-face interviews with 7 business managers and an archival exploration of internal company documents related to FCPA compliance. The data analysis process used thematic analysis, including methodological triangulation, to identify 4 themes: continuous FCPA compliance training, interactive management, compliance with cultural norms, and qualifying opportunities for FCPA compliance. These themes highlighted practical strategies for compliance with the FCPA, which are essential in achieving international business contracts. Small U.S. aerospace businesses must consider these 4 themes when developing corporate compliance directives with the FCPA. Better international business ethics through compliance with the FCPA will facilitate positive social change by reducing corporate operational costs and creating jobs, which improve the quality of life and well-being of people in the local communities.