THAM NHŨNG

KHÁI NIỆM, HẬU QUẢ, KINH NGHIỆM VÀ GIẢI PHÁP CHỐNG THAM NHŨNG
Nguyễn Hồng Thắng, UEH

Nội dung
• Nguyên nhân sinh ra tham nhũng • Tác hại của tham nhũng • Kiểm soát và hạn chế tham nhũng

NGUYÊN NHÂN SINH RA THAM NHŨNG

Khái niệm tham nhũng
• Tham nhũng là một tình trạng thiếu trung thực (lack of integrity or honesty) • B¶n th©n tõ Tham nhòng g¾n liÒn víi tõ “tha ho¸” • VÒ xuÊt xø, kh¸i niÖm nµy ngô ý t×nh huèng quan toµ ¨n tiÒn khi ®­a ra ph¸n quyÕt • §Þnh nghÜa kh¸i qu¸t h¬n, tham nhòng lµ viÖc lîi dông vÞ trÝ c«ng t¸c ®Ó t­ lîi • Kh«ng nªn mÊt qu¸ nhiÒu th× giê víi c¸c ®Þnh nghÜa

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)

Hình ảnh của tham nhũng

C«ng thøc Tham Nhòng

C=M+D-A

Corruption Monopoly Discretion Accountability Tham nhòng §éc quyÒn Tuú tiÖn Tr¸ch nhiÖm

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 tóng ChÝnh quyÒn
Mét c¸ nh©n, mét nhãm ng­êi hoÆc mét c«ng ty thuéc khu vùc nhµ n­íc hay t­ nh©n t¸c ®éng tíi qu¸ tr×nh x©y dùng luËt, quy ®Þnh, nghÞ ®Þnh hoÆc c¸c chÝnh s¸ch cña nhµ n­íc nh»m môc ®Ých t­ lîi th«ng qua hµnh vi chuyÓn lîi Ých nhµ n­ íc thµnh lîi Ých c¸ nh©n mét c¸ch sai tr¸i hoÆc kh«ng râ rµng

Mét sè vÝ dô cô thÓ vÒ hµnh vi thao tóng chÝnh quyÒn (State Capture)
• B¸n phiÕu bÇu quèc héi • B¸n ph¸n quyÕt cña toµ ¸n cho quyÒn lîi c¸ nh©n • Tham nhòng c«ng quü • Hç trî tµi chÝnh cho c¸c ®¶ng ph¸i chÝnh trÞ mét c¸ch bÊt hîp ph¸p • VËn dông sai c¸c v¨n b¶n ph¸p luËt theo h­íng cã lîi cho c¸ nh©n • Cè t×nh ®¶o lén thø tù ­u tiªn chi ng©n s¸ch

Tham nhòng Hµnh chÝnh
Cè t×nh vËn dông, thùc hiÖn sai LuËt ph¸p, quy ®Þnh nh»m t¹o thuËn lîi cho c¸c ®èi t­îng trong khu vùc nhµ n­íc hoÆc phi nhµ n­íc b»ng c¸c c¸ch thøc bÊt hîp ph¸p hoÆc kh«ng minh b¹ch. VD:

Administrative Corruption
Bribes to public officials to distort the prescribed implementation of laws, rules and regulations • Includes bribes to: – win procurement contracts – obtain delivery of public services – gain licenses – smooth customs procedures

1999 World Bank Survey of 4,000 firms in 25 transition countries

Distribution of bribes for “services”:
Licenses (22.6%) Connection to public services (17.7%) Taxes (14.1%) Courts (13.6%) Customs (11.9%) Health/fire inspectors (8.2%) Government contracts (6.6%) Influence on legislation (2.8%) Other (2.6%)

“Mayor”

VÝ dô
• Hèi lé ®Ó ®­îc cÊp giÊy phÐp hoÆc dÞch vô • Hèi lé ®Ó ®­îc bá qua nh÷ng vi ph¹m • Chi b«i tr¬n • Sö dông ng©n quü sai môc ®Ých nh»m t­ lîi • ..v.v.v..

Cã ph¶i tham nhòng chØ tån t¹i ë c¸c n­íc ®ang ph¸t triÓn mµ th«i?

KHÔNG ! Tham nhũng xuất hiện ở mọi quốc gia và mọi thời điểm khi có những điều hiện nảy mầm

Cã ph¶i tham nhòng xuÊt ph¸t tõ ®Æc ®iÓm cña nÒn v¨n ho¸?

TÁC HẠI CỦA THAM NHŨNG

Tham nhòng g©y nªn nh÷ng t¸c h¹i g×?
• T¸c h¹i kinh tÕ: c¸c ®éng c¬ bÞ bãp mÐo • T¸c h¹i vÒ mÆt x· héi: t¹o ra t×nh tr¹ng thiÕu c«ng b»ng vµ bÊt c«ng • T¸c h¹i vÒ mÆt chÝnh trÞ: ph¸ háng c¸c nguyªn t¾c chung

C¸c møc ®é ¶nh h­ëng cña Tham nhòng
Dùa trªn t­¬ng t¸c gi÷a møc ®é thao tóng chÝnh quyÒn víi møc ®é tham nhòng hµnh chÝnh

Cao

Trung b×nh

Thao tóng chÝnh quyÒn

MÊt c«ng b»ng

Sụp đổ

BÕ t¾c ChÖch ®Þnh h­íng Tham nhòng hµnh Cao

Bèn møc ®é tác hại của Tham nhòng Bế tắc
Thao tóng ChÝnh quyÒn vµ Tham nhòng Hµnh chÝnh ®Òu ë møc trung b×nh

Trung b×nh / Trung b×nh
Møc ®é Thao tóng chÝnh quyÒn/Tham nhòng hµnh chÝnh ®Òu ë møc trung b×nh

Träng t©m: CÇn khai th¸c c¸c ®iÒu kiÖn thuËn lîi nh»m t¨ng c­êng tr¸ch nhiÖm gi¶i tr×nh vµ minh b¹ch th«ng qua ®Èy m¹nh c¶i c¸ch thÓ chÕ C¸c th¸ch thøc C¸c vÊn ®Ò cÇn ­u tiªn •Rñi ro ph¸t sinh tõ tÝnh tho¶ •®Èy m¹nh c¶i c¸ch c¸c dÞch vô m·n, c¶i c¸ch thôt lïi d©n sù, tµi chÝnh nhµ n­íc, mua s¾m, vµ bé m¸y t­ ph¸p •Cã mèi liªn hÖ chÆt chÏ gi÷a •t¨ng c­êng tÝnh minh b¹ch trong quyÒn lîi kinh tÕ víi thÓ chÕ c«ng t¸c tµi chÝnh nhµ n­íc chÝnh trÞ •£-kÝp chñ nghÜa vµ m©u thuÉn • t¨ng c­êng sù tham gia cña lîi Ých gi÷a c¸c vÞ trÝ kh¸c nhau quÇn chóng trong khu vùc nhµ n­íc

Bèn møc ®é Tham nhòng
ChÖch ®Þnh h­íng
Thao tóng ChÝnh quyÒn ë møc trung b×nh vµ Tham nhòng Hµnh chÝnh ë møc cao

Trung b×nh / Cao Møc ®é Thao tóng chÝnh quyÒn trung b×nh /Tham nhòng hµnh chÝnh cao Träng t©m: T¨ng c­êng n¨ng lùc cña nhµ n­íc trong cung cÊp c¸c hµng ho¸ c«ng céng thiÕt yÕu C¸c th¸ch thøc •Bé m¸y hµnh chÝnh c«ng kÐm ph¸t triÓn C¸c vÊn ®Ò cÇn ­u tiªn •X©y dùng n¨ng lùc hÖ thèng hµnh chÝnh c«ng

•ThiÕu kiÓm so¸t vµ tr¸ch nhiÖm •Ph¸t triÓn c¸c c«ng cô qu¶n lý gi¶i tr×nh ch­a cao trong chÝnh tµi chÝnh phñ •T¹o ®iÒu kiÖn cho ®éi ngò •X· héi d©n sù non yÕu quÇn chóng ph¸t triÓn

Bèn møc ®é Tham nhòng
Kh«ng c«ng b»ng
Thao tóng chÝnh quyÒn ë møc cao vµ Tham nhòng hµnh chÝnh ë møc trung b×nh

Cao / Trung b×nh
Møc ®é Thao tóng chÝnh quyÒn cao/Tham nhòng hµnh chÝnh trung b×nh

Träng t©m: T¨ng c­êng tr¸ch nhiÖm gi¶i tr×nh cña c¬ quan chÝnh phñ vµ ®Èy m¹nh sù tham gia cña nhiÒu thµnh phÇn míi nh»m tËn dông tèi ®a C¸c th¸ch thøc thÕ m¹nh n¨ng lùc s½n cã cña nhµ n­ C¸c vÊn ®Ò cÇn ­u tiªn •QuyÒn lùc tËp trung trong tay •Më réng c¸c kªnh chÝnh thøc íc nhãm cã lîi Ých. tham gia bé m¸y chÝnh quyÒn •C¬ chÕ gi¸m s¸t vµ tr¸ch nhiÖm •Phi tËp trung ho¸ quyÒn lùc kinh gi¶i tr×nh cßn yÕu tÕ th«ng qua c¹nh tranh vµ tham gia •C¸c nhãm cã quyÒn lùc c¶n trë ®Èy m¹nh c¶i c¸ch nh»m b¶o vÖ •T¨ng c­êng gi¸m s¸t th«ng qua lîi thÕ cña m×nh chiÕn l­îc cïng tham gia

Bèn møc ®é Tham nhòng
Sụp đổ
Thao tóng chÝnh quyÒn vµ Tham nhòng hµnh chÝnh ®Òu ë møc cao

Cao / Cao
Møc ®é Thao tóng chÝnh quyÒn cao/Tham nhòng hµnh chÝnh Cao

Träng t©m: Lµm mÊt ¶nh h­ëng cña nhãm cã lîi Ých ®èi víi qu¸ tr×nh ho¹ch ®Þnh chÝnh s¸ch C¸c th¸ch thøc •Lîi Ých kinh tÕ tËp trung trong tay nhãm cã lîi Ých •N¨ng lùc thùc hiÖn cña chÝnh phñ cßn h¹n chÕ •Chèng tham nhòng cßn yÕu •Sù tham gia cña c¸c nhãm cã lîi Ých ®èi träng bÞ h¹n chÕ C¸c vÊn ®Ò cÇn ­u tiªn •Phi tËp trung ho¸ lîi Ých kinh tÕ th«ng qua c¶i tæ, t¨ng c­êng c¹nh tranh vµ tham gia •X©y dùng c¬ chÕ gi¸m s¸t vµ tr¸ch nhiÖm gi¶i tr×nh •T¨ng c­êng søc m¹nh hµnh ®éng cña c¸c nhãm cã lîi Ých ®èi träng •C¶i c¸ch kü trÞ kh«ng th«i sÏ chØ cã t¸c ®éng h¹n chÕ

Transparency International’s ranking

Foreign direct investment and corruption

Closed borders and open palms

LiÖu cã thÓ h¹n chÕ ®­îc tham nhòng kh«ng?
• Cã thÓ h¹n chÕ ®­îc tham nhòng, nh­ng kh«ng thÓ døt ®iÓm ngay lËp tøc ®­îc • ViÖc tr­íc tiªn cÇn lµm lµ ph¶i hiÓu râ c¸c ®iÒu kiÖn lµm ph¸t sinh tham nhòng

KIỂM SOÁT VÀ HẠN CHẾ THAM NHŨNG
ChiÕn l­îc §iÒu chØnh ThÓ chÕ

Nhắc lại

C=M+D-A

Corruption Monopoly Discretion Accountability Tham nhòng §éc quyÒn Tuú tiÖn Tr¸ch nhiÖm

§iÒu chØnh ThÓ chÕ

Thay ®æi bèi c¶nh lµm ph¸t sinh Tham nhòng

C¸c b­íc c¨n b¶n
• X¸c ®Þnh yÕu ®iÓm • X©y dùng chiÕn l­îc • Thùc hiÖn chiÕn l­îc

Điều chỉnh thể chế
• T¨ng c­êng th«ng tin. • C¶i tiÕn c¸c biÖn ph¸p khuyÕn khÝch. • §Èy m¹nh c¹nh tranh vµ hç trî c¸c nhãm cã lîi Ých ®èi träng • T¨ng c­êng sù tham gia cña khu vùc t­ nh©n vµ quÇn chóng • TÊn c«ng tham nhòng mét c¸ch cã hÖ thèng • Th¾t chÆt ng©n s¸ch • Cam kÕt

ChiÕn l­îc chèng Tham nhòng toµn diÖn
HÖ thèng thÓ chÕ chÆt chÏ
•Bé m¸y t­ ph¸p ho¹t ®éng ®éc lËp vµ hiÖu qu¶ •Gi¸m s¸t hµnh ph¸p •Tè tông/thi hµnh ph¸t luËt ®éc lËp

ChiÕn l­îc chèng Tham nhòng

Rµng buéc tr¸ch nhiÖm
•C¹nh tranh chÝnh trÞ & §¶ng ph¸i •Minh b¹ch tµi chÝnh trong chÝnh trÞ •C«ng khai ho¸ phiÕu bÇu quèc héi •Kª khai tµi s¶n/m©u thuÉn ThÞ lîi Ých tr­êng C¹nh tranh •C¶i c¸ch chÝnh s¸ch kinh tÕ •C¬ cÊu l¹i c¸c khu vùc ®éc quyÒn •§¬n gi¶n ho¸ thñ tôc thµnh lËp DN •Qu¶n lý c«ng ty

QuÇn chóng cïng tham gia
•Tù do ho¸ th«ng tin •QuÇn chòng gãp ý víi c¸c dù luËt •QuÇn chóng gi¸m s¸t ho¹t ®éng ng©n s¸ch

•Tù do B¸o chÝ/ho¹t ®éng •C¬ quan Nhµ n­íc tr­ng dông ®oµn thÓ ng­êi tµi •Qu¶n lý Chi tiªu C«ng hiÖu qu¶ •C¶i c¸ch thuÕ •Ph©n cÊp ®i ®«i víi tr¸ch

Qu¶n lý Nhµ n­íc

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 5 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 threats—such as removal from office—that 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 minister’s 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 multipronged strategy to create accountable institutions:
public and private political and economic

McDonald’s in China, 1998
• Control Risks, a London business risk consultant, reports that each of McDonald’s 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 Zemin’s spiritual wellbeing 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.

Systemic corruption in China

• Should McDonald’s agree to pay the fees?

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 minister’s 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 do 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 government’s 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

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