4.Tham Nhung-Mr. Morrison

8/8/2019 4.Tham Nhung-Mr. Morrison

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THAM NHŨNG

KHÁI NIỆM, HẬU QUẢ,KINH NGHIỆM VÀ GIẢI

PHÁP CHỐNG THAMNHŨNG

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 RATHAM 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 “thaho¸”

• VÒ xuÊt xø, kh¸i niÖm nµy ngô ý t×nh huèngquan 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 çc ®Þnh

nghÜa



Why proliferation of corruption?

• monopolies and industrialsubsidies in economy

• excessive discretionarypower (lack of clearadministrative rules andregulations) overdistribution to the private

sector• lack of accountability(poorly functioning orabsent watchdog agencies)



Hình ảnh của tham nhũng



C«ng thøc Tham Nhòng

C = M + D - ACorruption Monopoly Discretion AccountabilityTham nhòng §éc quyÒn Tuú tiÖn Tr¸ch nhiÖ



Bribery:the worm that never dies

Corruptionabuse 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



Thao tóng ChÝnhquyÒn

Mét ç nh©n, mét nhãm ng-êi hoÆc métc«ng ty thuéc khu vùc nhµ n-íc hay t-

nh©n t¸c ®éng tíi qu¸ tr×nh x©y dùngluËt, quy ®Þnh, nghÞ ®Þnh hoÆc çcchÝnh s¸ch cña nhµ n-íc nh»m môc ®Ých t-lîi th«ng qua hµnh vi chuyÓn lîi Ých nhµ n-

íc thµnh lîi Ých ç nh©n mét çch sai tr¸ihoÆc kh«ng râ rµng



hµnh vi thao tóng chÝnhquyÒn (State Capture)

• B¸n phiÕu bÇu quèc héi

• B¸n ph¸n quyÕt cña toµ ¸n cho quyÒn lîi ç

nh©n• Tham nhòng c«ng quü

• Hç trî tµi chÝnh cho çc ®¶ng ph¸i chÝnh trÞmét çch bÊt hîp ph¸p

• VËn dông sai çc v¨n b¶n ph¸p luËt theo h-íngcã lîi cho ç nh©n

• Cè t×nh ®¶o lén thø tù -u tiªn chi ng©n s¸ch





Administrative CorruptionBribes to public officials to distort the prescribedimplementation of laws, rules and regulations

• Includes bribes to:

– win procurement contracts

– obtain delivery of public services

– gain licenses

– smooth customs procedures

1999 World Bank Surveyof 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 hoÆcdÞch 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..



p am n ng c nt¹i ë çc níc ®ang ph¸t triÓn

mµ th«i?

KHÔNG !Tham nhũng xuất hiện ở mọi quốcgia và mọi thời điểm khi có

những điều hiện nảy mầm



xuÊt ph¸t tõ ®Æc ®iÓmcña nÒn v¨n ho¸?



TÁC HẠI CỦA THAM NHŨNG



nh÷ngt¸c h¹i g×?

• T¸c h¹i kinh tÕ: çc ®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¸ hángçc nguyªn t¾c chung



¸c møc ® ¶n ngcña Tham nhòng

Dùa trªn t¬ng t¸c gi÷a møc ®é thao tóng chÝnhquyÒn víi møc ®é tham nhòng hµnh chÝnh

Tham nhòng hµnh

Thao

tón g

chÝnh

quyÒ

n

Sụp đổ

ChÖch ®Þnh híng

MÊt c«ng b»ng

BÕ t¾c

Trung b×nh

Cao

Cao



Bèn møc ®é tác hại của Thamnhòng

Bế tắc

Thao tóng ChÝnh quyÒn vµTham nhòng Hµnh chÝnh ®Òu

ë møc trung b×nh



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

Träng t©m: CÇn khai th¸c çc ®iÒukiÖn thuËn lîi nh»m t¨ng c-êng tr¸chnhiÖm gi¶i tr×nh vµ minh b¹ch th«ng

qua ®Èy m¹nh c¶i çch thÓ chÕÇc th¸ch thøc•Rñi ro ph¸t sinh tõ tÝnh tho¶m·n, c¶i çch thôt lïi

•Cã mèi liªn hÖ chÆt chÏ gi÷aquyÒn lîi kinh tÕ víi thÓ chÕchÝnh trÞ

•£kÝp chñ nghÜa vµ m©u thuÉnlîi Ých gi÷a çc vÞ trÝ kh¸c nhau

trong khu vùc nhµ n-íc

Çc vÊn ®Ò cÇn -u tiªn•®Èy m¹nh c¶i çch çc dÞch vôd©n sù, tµi chÝnh nhµ n-íc, muas¾m, vµ bé m¸y t- ph¸p

•t¨ng c-êng tÝnh minh b¹ch trongc«ng t¸c tµi chÝnh nhµ n-íc

• t¨ng c-êng sù tham gia cñaquÇn chóng



Bèn møc ®é Thamnhòng

ChÖch ®Þnh híng

Thao tóng ChÝnh quyÒn ë møctrung b×nh vµ Tham nhòng

Hµnh chÝnh ë møc cao



Trung b×nh / CaoMøc ®é Thao tóng chÝnh quyÒn trungb×nh /Tham nhòng hµnh chÝnh cao

Träng t©m: T¨ng c-êng n¨ng lùc cñanhµ n-íc trong cung cÊp çc hµng ho¸c«ng céng thiÕt yÕu

Çc th¸ch thøc•Bé m¸y hµnh chÝnh c«ng kÐmph¸t triÓn

• ThiÕu kiÓm so¸t vµ tr¸ch nhiÖmgi¶i tr×nh ch-a cao trong chÝnhphñ

•X· héi d©n sù non yÕu

Çc vÊn ®Ò cÇn -u tiªn•X©y dùng n¨ng lùc hÖ thènghµnh chÝnh c«ng

•Ph¸t triÓn çc c«ng cô qu¶n lýtµi chÝnh

• T¹o ®iÒu kiÖn cho ®éi ngòquÇn chóng ph¸t triÓn




Kh«ng c«ng b»ng

Thao tóng chÝnh quyÒn ë møccao vµ Tham nhòng hµnh

chÝnh ë møc trung b×nh



Cao / Trung b×nhMøc ®é Thao tóng chÝnh quyÒn cao/Thamnhòng hµnh chÝnhtrung b×nh

Träng t©m: T¨ng c-êng tr¸ch nhiÖmgi¶i tr×nh cña c¬ quan chÝnh phñ vµ®Èy m¹nh sù tham gia cña nhiÒu

thµnh phÇn míi nh»m tËn dông tèi ®athÕ m¹nh n¨ng lùc s½n cã cña nhµ n-íc

Çc th¸ch thøc•QuyÒn lùc tËp trung trong taynhãm cã lîi Ých.

•C¬ chÕ gi¸m s¸t vµ tr¸ch nhiÖmgi¶i tr×nh cßn yÕu

•Çc nhãm cã quyÒn lùc c¶n trë®Èy m¹nh c¶i çch nh»m b¶o vÖlîi thÕ cña m×nh

Çc vÊn ®Ò cÇn -u tiªn•Më réng çc kªnh chÝnh thøctham gia bé m¸y chÝnh quyÒn

•Phi tËp trung ho¸ quyÒn lùc kinhtÕ th«ng qua c¹nh tranh vµ thamgia

• T¨ng c-êng gi¸m s¸t th«ng quachiÕn l-îc cïng tham gia




Sụp đổ

Thao tóng chÝnh quyÒn vµTham nhòng hµnh chÝnh ®Òu

ë møc cao



Cao / CaoMøc ®é Thao tóng chÝnh quyÒn cao/Thamnhòng hµnh chÝnhCao

Träng t©m: Lµm mÊt ¶nh h-ëng cñanhãm cã lîi Ých ®èi víi qu¸ tr×nhho¹ch ®Þnh chÝnh s¸ch

Çc th¸ch thøc•Lîi Ých kinh tÕ tËp trung trongtay nhãm cã lîi Ých

•N¨ng lùc thùc hiÖn cña chÝnhphñ cßn h¹n chÕ

•Chèng tham nhòng cßn yÕu

•Sù tham gia cña çc nhãm cã lîi

Ých ®èi träng bÞ h¹n chÕ

Çc vÊn ®Ò cÇn -u tiªn•Phi tËp trung ho¸ lîi Ých kinh tÕth«ng qua c¶i tæ, t¨ng c-êng c¹nhtranh vµ tham gia•X©y dùng c¬ chÕ gi¸m s¸t vµtr¸ch nhiÖm gi¶i tr×nh• T¨ng c-êng søc m¹nh hµnh ®éngcña çc nhãm cã lîi Ých ®èi träng•C¶i çch kü trÞ kh«ng th«i sÏ chØcã t¸c ®éng h¹n chÕ



Transparency International’s ranking



Foreign direct investment and corruption

Closed borders and open palms

Ö Ó Õ



LiÖu cã thÓ h¹n chÕ ®-îctham nhòng kh«ng?

• Cã thÓ h¹n chÕ ®-îc tham nhòng,nh-ng kh«ng thÓ døt ®iÓm ngay

lËp tøc ®-îc

• ViÖc tr-íc tiªn cÇn lµm lµ ph¶i hiÓu

râ çc ®iÒu kiÖn lµm ph¸t sinhtham nhòng



KIỂM SOÁT VÀ HẠN CHẾTHAM NHŨNG

ChiÕn l-îc §iÒu chØnh ThÓchÕ



Nhắc lại

C = M + D - ACorruption Monopoly Discretion AccountabilityTham nhòng §éc quyÒn Tuú tiÖn Tr¸ch nhiÖ



§iÒu chØnh ThÓ chÕ

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





Điều chỉnh thể chế

• T¨ng c-êng th«ng tin.• C¶i tiÕn çc biÖn ph¸p khuyÕn khÝch.

• §Èy m¹nh c¹nh tranh vµ hç trî çc nhãm cãlîi Ých ®èi träng• T¨ng c-êng sù tham gia cña khu vùc t-

nh©n vµ quÇn chóng

• TÊn c«ng tham nhòng mét çch cã hÖthèng• Th¾t chÆt ng©n s¸ch• Cam kÕt

ChChiÕn l îc chèng Tham nhòng toµn diÖn



QuÇn chóng cïng thamgia

•Tù do ho¸ th«ng tin

•QuÇn chòng gãp ý víi çc dùluËt

•QuÇn chóng gi¸m s¸t ho¹t

®éng ng©n s¸ch•Tù do B¸o chÝ/ho¹t ®éng®oµn thÓ

Qu¶n lý Nhµ níc•C¬ quan Nhµ níc trng dôngngêi tµi

•Qu¶n lý Chi tiªu C«ng hiÖuqu¶

•C¶i çch thuÕ•Ph©n cÊp ®i ®«i víi tr¸ch

Rµng buéc tr¸ch nhiÖm•C¹nh tranh chÝnh trÞ & §¶ngph¸i

•Minh b¹ch tµi chÝnh trongchÝnh trÞ

•C«ng khai ho¸ phiÕu bÇuquèc héi

•Kª khai tµi s¶n/m©u thuÉnlîi ÝchThÞ trêng C¹nh tranh•C¶i çch chÝnh s¸ch kinh tÕ•C¬ cÊu l¹i çc khu vùc ®écquyÒn

•§¬n gi¶n ho¸ thñ tôc thµnhlËp DN

•Qu¶n lý c«ng ty

hiÕnl-î

cchèngT

ham

nhò

ng

ChiÕn lîc chèng Tham nhòng toµn diÖn

HÖ thèng thÓ chÕchÆt 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

M ltil t l ff t t b t



Multilateral efforts to combatcorruption

• at the national level

• International agreements andtreaties

• Initiatives by internationaldevelopment 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 performanceof 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 havewillfully violated the FCPA) – fines of up to $100,000 and imprisonmentfor up to 5 years



American business and the law:too much regulation and punishment?

Being more virtuous than thou: did it pay?

Standing alone in global markets?

•1996: International Chamber of Commerce,“Rules of Conduct to Combat Extortion and Bribery”

•1996: UN Declaration against Corruption andBribery in International Commercial Transactions•(1) deny the tax deductibility of bribes paid togovernment officials of another country;

•(2) criminalize the bribery of foreign governmentofficials in an effective and coordinated manner;•(3) establish jurisdiction over bribery of foreigngovernment officials in a manner consistent withthe principles of international law





The Global War 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 fromoffice—that may persuade them to change their ways.(2) since corruption usually creates inefficiency, corrupt countries tend to lose out inthe global competition for capital and aid; bankers and businessmen bruised bycollapsing economies now demand more than a minister’s blessing before theyrisk their money.

(3) Above all, perhaps, corruption is now an issue that brings the crowds out onto the streets.

Reasons for optimismMarket forces are likely to provefar more effective than legalforces in the fight against bribery

Oil-for-food fraud?



Key messages

Good governance is key to economicgrowth 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 riskconsultant, reports that each of McDonald’s 38 outlets in Beijing wassubject to 31 miscellaneous “fees” forpurposes as unlikely as river dredging,flower displays on public holidays, andPresident Jiang Zemin’s spiritual wellbeing program. The Beijing city councilhad not passed legislation specifically

authorizing the fees, but citybureaucrats appeared to be withintheir discretion to impose the fees.

• Should McDonald’s agree to

pay the fees?

Systemic corruptionin China

http://www.focus-news.net/news/news.php?news=today&na_chasa=1&news_id=130213



Gulf Oil in Korea, 1966• In the mid1960s, Gulf Oil Corporation

undertook a $200 million direct investmentprogram in the Republic of Korea. When theprogram was nearly completed, the rulingpolitical party approached Gulf for a $1million contribution to finance its election

campaign. The request was accompanied bypressure which left little to the imagination. The contribution was made and theincumbent party won reelection. When theruling party geared up for the next generalelection in 1970, a leader of the incumbentparty approached Gulf for another campaign

contribution. SK Kim, the partyrepresentative, suggested that $10 millionwould be an appropriate contribution.

• Should Gulf Oil make thecontribution?



Charitable contributions

• You are a partner in a venture capital firm focused onthe Polish market and would like to privatize a regionalnewspaper with an eventual payout on the deal at over$10 million. As a foreign investor, your firm must obtainministerial approval for the purchase. At a meeting with

the Minister, an answer is promised within a week. Asyou are leaving the meeting, you are introduced to thechief fundraiser for a charitable organization thatsupports orphaned children. The minister’s wife foundedthe organization and heard that you were interested inthis type of charity. The fundraiser then asks for a$50,000 donation. Despite several followup calls, noanswer 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 notethat neither the minister nor his wife appear to receiveany financial benefit from the charity.

• Do you make the donation?

http://www.cnn.com/money/2004/04/16/commentary/everyday/sahadi/index.htm?cnn=yes



Dealing with terrorists

• You are the regional vice president forLatin America in a multinationalpackaged goods firm. Colombian rebels

kidnap your country manager and send avideotape to your office. The group offersto release the executive if your firm takethree actions: makes a $250,000contribution to their food and medicinefund; runs an advertisement in theFinancial Times criticizing the Colombian

government’s stand toward the rebels;and pay a $250,000 ransom to thekidnappers.

• Would you meet the rebels’demands?





The war on terror has spawned a battleagainst corruption in Latin America

Corruption in Latin AmericaLatin America is a region racked by almost endemic public thievery.

The United States has in the past been criticized for tolerating corruption inLatin America, especially when its political allies in the region were implicated.

New weapons against Latin American

corruption derived from the Patriot Actpassed after 9/11.(1) On its basis, the Department of HomelandSecurity has been pursuing the Americanassets of foreigners suspected of corruptionin their own countries.

(2) New policy to deny or revoke the visasof corrupt functionaries, or PEPs (politicallyexposed persons).

New, post-September 11 policy to get tough on corruption.

(1) National security argument(2) Foreign-aid policy

4.Tham Nhung-Mr. Morrison

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