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題名 貿易協定反貪腐條款之研究—以遏止跨國企業賄賂外國公職人員為中心
A Study on Anti-Corruption Provisions in Trade Agreements—Especially on Preventing Multinational Corporations from Bribing Foreign Public Officials.作者 吳敬廉
Wu, Ching-Lien貢獻者 薛景文
Hsueh, Ching-Wen
吳敬廉
Wu, Ching-Lien關鍵詞 反貪腐
海外賄賂
聯合國反貪腐公約
OECD 反賄賂公約
跨太平洋夥伴全面進步協定
台美 21 世紀貿易倡議
Anti-corruption
Foreign Bribery
UNCAC
OECD Anti-Bribery Convention
CPTPP
U.S.-Taiwan Initiative on 21st-Century Trade日期 2024 上傳時間 4-Sep-2024 15:28:12 (UTC+8) 摘要 後冷戰時代，國際社會體認到反貪腐的重要性，相繼推出了《聯合國反貪腐公約》、《OECD 反賄賂公約》等多項反貪腐的公約。乍看之下，國際反貪腐和貿 易是兩個沒有交集的場域，但近年來出現了將反貪腐條款或專章寫入區域貿易協定的趨勢。 本文將簡要介紹國際反貪腐運動的歷史，概述國際反貪腐的法律和實踐。其次，本文認為，貿易確實與貪腐有很大關係，因為許多跨國公司多年來一直從事對外國公職人員的賄賂(海外賄賂)行為，擾亂了國際市場的公平競爭，因而構成了貿易障礙。 本文承認現有的WTO法或其他貿易協定正當程序和透明度的規定已經對防止海外賄賂產生了一定的效果。然而，正當程序和透明度的規定僅涉及規範外國公職人員，輸出貪腐的跨國企業卻一直被忽視。反貪腐條款和專章的價值在於彌補了傳統貿易協定無法解決私部門對外國公職人員行賄的問題。以 CPTPP 第 26 章和《台美 21 世紀貿易倡議首批協定》第 5 章為例，它們要求私部門制定行為準則、吹哨者保護、財務控制等，這兩項協定標誌著國際反貪腐工作的重大里程碑。
Being conscious of the importance of anti-corruption, international community has launched several anti-corruption conventions, including UNCAC, OECD anti-bribery Convention and so on, since post-cold war era. At the first glance, international anti-corruption and trade are two parallel regimes, however, there is a trend of anti-corruption clauses or chapters enshrined in multinational or regional agreements recently. In my study, I will try to solve some questions. In the beginning, I will introduce the history of international anti-corruption movement briefly and outline the law and practice of fighting against corruption. Next, this study finds trade does have a lot to do with corruption since lots of multinational corporations have engaged in the bribery of foreign public officials (foreign bribery) for many years, which disrupt the fairness competition of international market. I admit that existing WTO law or other trade agreements in which enshrined due process and transparency provisions have already had a certain effect on preventing foreign bribery. Nevertheless, the regulations of due process and transparency only deal with the foreign public officials. Exporting Corruption has been neglected or ignored. The value of Anti-corruption provisions and chapters is covering the shortage of traditional trade agreements not being able to address private sector fighting against bribery. Taking CPTPP Chapter 26 and the first agreement under the U.S.-Taiwan Initiative on 21st-Century Trade Chapter 5 as examples, they require private sectors to formulate code of conduct, whistleblower protection, financial control and so on. The two agreements do represent a big step forward in combating against corruption.參考文獻 中文文獻 書籍 林彩瑜，WTO制度與實務，2版 (2013年)。 英文文獻 法律案件 United States v. Jeong, 624 F.3d 706, 712 (5th Cir. 2010). 國際協定 OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions Dec. 17, 1997, T.I.A.S. 99-215. Organization of American States [OAS], Inter-American Convention Against Corruption, (Mar. 29, 1996), http://www.oas.org/juridico/english/sigs/Convenco.html. Council of Europe, Criminal Law Convention on Corruption, EU Treaty Serie No. 173 (Jan. 27, 1999), https://rm.coe.int/168007f3f5. Council of Europe, Civil Law Convention on Corruption EU Treaty Serie No. 174 (Nov. 4, 1999), https://rm.coe.int/168007f3f6. African Union, African Union Convention on Preventing and Combating Corruption, (July 1, 2003), https://au.int/en/treaties/african-union-convention-preventing-and-combating-corruption. ACTA, Arab Convention Against Corruption (Dec. 21, 2010), https://www.acta.gov.qa/en/arab-anti-corruption-convention/. United Nations Convention against Corruption, Oct. 31, 2003, 43 I.L.M. 1 . Asian Development Bank et al., Agreement for Mutual Enforcement of Debarment Decisions, (Apr. 9, 2010), https://lnadbg4.adb.org/oai001p.nsf/0/F77A326B818A19C548257853000C2B10/$FILE/cross-debarment-agreement.pdf. European Parliament, Revision of Directive 2014/42/EU on the freezing and confiscation of the proceeds of crime and proposal for a new directive on asset recovery offices, Think tank European Parliament (May 30, 2022), https://www.oecd.org/corruption/acn/ACN-Foreign-Bribery-Offence-Enforcement-ENG.pdf. Convention Implementing the Schengen Agreement, Sept. 22 ,2000, 2000 O.J. (L 239) 1. Charter of Fundamental Rights of the European Union, Oct. 26, 2012, 2012 O.J. (C 326) 1. OECD, The Detection of Foreign Bribery, Chapter 2. The Role of Whistleblowers and Whistleblower Protection, at 3 (2007), https://www.oecd.org/corruption/anti-bribery/OECD-The-Role-of-Whistleblowers-in-the-Detection-of-Foreign-Bribery.pdf. Regulation (EU) 2016/679 of the European Parliament and the Council of 27 April 2016 on the Protection of Natural Persons Data and on the Free Movement of such Data, and Repealing Directive 95/46/EC (General Data Protection Regulation), art. 83, 2016 O.J. (L 119)1, 81. The Comprehensive and Progressive Agreement for Trans-Pacific Partnership (CPTPP), https://cptpp.trade.gov.tw. General Agreement on Tariffs and Trade, Oct. 30, 1947, 61 Stat. A-11, 55 U.N.T.S. 194 . Marrakesh Agreement Establishing the World Trade Organization Pmbl. Para. 1., Apr. 15, 1994, 1867 U.N.T.S. 154. General Agreement on Trade in Services, art. 2.1, Apr. 15, 1994, Marrakesh Establishing the World Trade Organization, Annex 1B, 1869 U.N.T.S. 183, 190. Agreement on trade facilitation, Nov. 27, 2014, Protocol Amending the Marrakesh Establishing the World Trade Organization, with annex. Agreement on Preshipment Inspection, Apr. 15, 1994, Marrakesh Establishing the World Trade Organization, Annex 1A, 1868 U.N.T.S. 368. Agreement on Technical Barriers to Trade, art. 1.5, Apr. 15, 1994, Marrakesh Agreement Establishing the World Trade Organization, Annex 1A, 1868 U.N.T.S. 120. Agreement on the Application of Sanitary and Phytosanitary Measures art. 2.2, Apr. 15, 1994, Marrakesh Agreement Establishing the World Trade Organization, Annex 1A, 1867 U.N.T.S. 493. Protocol Amending the Agreement on Government Procurement, art, 4(4), Mar. 30, 2012. United States–Singapore Free Trade Agreement. DR—CAFTA. U.S.— Korea Free Trade Agreement. Free Trade Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part, 2011 O.J. (J 127) 1, 3. Association Agreement between the European Union and the European Atomic Energy Community and their Member States, of the one part, and Georgia, of the other part, 2014 O.J. (L 261) 1, 15, 94-100. Agreement between the American Institute in Taiwan and the Taipei Economic and Cultural Representative Office Regarding Trade between the United States of America and Taiwan, USTR, https://ustr.gov/sites/default/files/uploads/US-Taiwan%20Initiative%20on%2021st%20Century%20Trade%20First%20Agreement%20-%20June%202023.pdf. 法律條文 Foreign Corrupt Practice Act of 1977 15 U.S.C. §§ 78dd-1, et seq. (2021). Dodd–Frank Wall Street Reform and Consumer Protection Act, 15 U.S.C. § 748 (2010). 國際組織文件 NICOLA BONUCCI ET AL, WHITE PAPER 3 FIGHT AGAINST CORRUPTION 10 (2022). OECD, Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions, OECD/LEGAL/0378 (adopted on Nov. 27, 2009, as amended on Nov. 26, 2021), https://legalinstruments.oecd.org/en/instruments/OECD-LEGAL-0378. IMF, Review of 1997 Guidance Note on Governance - A Proposed Framework for Enhanced Fund Engagement, No. 18/142 (Apr. 22, 2018), https://www.imf.org/en/Publications/Policy-Papers/Issues/2018/04/20/pp030918-review-of-1997-guidance-note-on-governance. G20 Anticorruption Ministers Meeting Ministerial Communiqué, G20 INFORMATION CENTRE, http://www.g20.utoronto.ca/2020/2020-g20-anticorruption-1022.html (last visited Feb. 10, 2023). G.A. Res. S-32/1 (June 7, 2021). UNODC & The World Bank, Stolen Asset Recovery (StAR) Initiative: Challenges, Opportunities, and Action Plan, at 10 (June 2007), https://www.unodc.org/pdf/Star_Report.pdf. IMF, Corruption: Costs and Mitigating Strategies, at 5 SDN/16/05 (May 2016), https://www.imf.org/external/pubs/ft/sdn/2016/sdn1605.pdf. MARCO HAFNER ET AL., EU PARLIAMENT, THE COST OF NON-EUROPE IN THE AREA OF ORGANISED CRIME AND CORRUPTION: ANNEX II – CORRUPTION 115 (2016). International Chamber of Commerce [ICC], Memorandum to the OECD Working Group on Bribery in International Business Transactions: Recommendations by the ICC on Further Provisions to be Adopted to Prevent and Prohibit Private-to- Private Corruption, at 2 (Sept. 13, 2006). IMF, The Role of the Fund in Governance Issues—Review of the Guidance Note— Preliminary Considerations, at 7, No. 17/315 (Aug. 2, 2017). International Code of Conduct for Public Officials, International Law & World Order: Weston's & Carlson's Basic Documents, Weston & Carlson, http://dx.doi.org/10.1163/2211-4394_rwilwo_SIM_032644 (last visited Feb. 13, 2023). OECD, Corporate Anti-corruption Compliance Drivers, Mechanisms and Ideas for Change 34-35 (2020), https://www.oecd.org/daf/anti-bribery/Corporate-anti-corruption-compliance-drivers-mechanisms-and-ideas-for-change.pdf. INTERNATIONAL TRANSPARENCY UK, FINANCIAL CONTROL–ANTI-BRIBERY GUIDANCE CHAPTER 6 6 (2017), https://www.antibriberyguidance.org/sites/default/files/6.%20Financial%20Controls%20-%20Anti-Bribery%20Guidance.pdf. OECD, Foreign Bribery Offence and its Enforcement in Eastern Europe and Central Asia, at 10, (2016), https://www.oecd.org/corruption/acn/ACN-Foreign-Bribery-Offence-Enforcement-ENG.pdf. UNODC, State of implementation of the United Nations Convention against Corruption—Criminalization, law enforcement and international cooperation Second edition, 32 (Oct. 2017), https://www.unodc.org/documents/treaties/UNCAC/COSP/session7/V.17-04679_E-book.pdf. OECD, The Liability of Legal Persons for Foreign Bribery:A Stocktaking Report, at 11 (2016), https://www.oecd.org/daf/anti-bribery/Liability-Legal-Persons-Foreign-Bribery-Stocktaking.pdf. OECD, Commentaries on the Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, art. 3, ¶ 21 (Nov. 21, 1997). OECD & Stolen Asset Recovery Initiative [STAR], Identification and Quantification of the Proceeds of Bribery, at 16 (Mar. 30, 2012), https://www.oecd.org/daf/anti-bribery/50057547.pdf. TRANSPARENCY INTERNATIONAL, EXPORTING CORRUPTION 2022: ASSESSING ENFORCEMENT OF THE OECD ANTI-BRIBERY CONVENTION 15 (2022). G.A. Draft Res., Our Common Commitment to Effectively addressing challenges and implementing measures to prevent and combat corruption and strengthen international cooperation (May. 28, 2021). European Parliament, Anti-corruption provisions in EU free trade and investment agreements: Delivering on clean trade, at 7 (2018), https://www.europarl.europa.eu/RegData/etudes/STUD/2018/603867/EXPO_STU(2018)603867_EN.pdf. Corruption Perceptions Index 2022, TRANSPARENCY INTERNATIONAL, https://www.transparency.org/en/cpi/2022/index/cod (last visited Mar. 1, 2023). Proposal for a Directive of the European Parliament and the Council on Corporate Sustainability Due Diligence and amending Directive (EU) 2019/1937, COM (2022) 71 final (Feb. 23, 2022). 專書論文 Regis Bismuth et al., The Transnationalization of Anti-corruption Law: An Introduction and Overview, in THE TRANSNATIONALIZATION OF ANTI-CORRUPTION LAW 2 (Regis Bismuth et, al. eds., 2021). Mark Philp, Conceptualizing Political Corruption, in POLITICAL CORRUPTION: CONCEPTS AND CONTEXTS 50 (Arnold J Heidenheimer & Michael Johnston eds., 2002). Ulrich von Alemann, The Unknown Depths of Political Theory: The Case for a Multidimensional Concept of Corruption, 42 L. & Soc. Change 25, 26 (2004). Antonio Argandoña, The United Nations Convention against Corruption and Its Impact on International Companies 74 J. Bus. Ethics 481, 488 (2007). World Bank, Helping Countries Combat Corruption: The Role of the World Bank, at 8 (Sept. 1997). European Parliament, Revision of Directive 2014/42/EU on the freezing and confiscation of the proceeds of crime and proposal for a new directive on asset recovery offices, Think tank European Parliament (May 30, 2022), https://www.oecd.org/corruption/acn/ACN-Foreign-Bribery-Offence-Enforcement-ENG.pdf. Qingxiu Bu, Multijurisdictional Prosecution of Multinational Corporations: Double Jeopardy vis-à-vis Sovereign Rights in the Globalized Anti-bribery Regime, 60 INT’L ANN. of Criminology 269, 284 (2022). 期刊論文 Zhang Yaoyuan, The Legal Enforceability of CPTPP Anti-corruption Provisions and The Implications to Dispute Settlement, J. OF WORLD TRADE 58(1) 153, 154(2024). WTO文件 Appellate Body Report, United States — Import Prohibition of Certain Shrimp and Shrimp Products, ¶ 153, WTO Doc. WT/DS58/AB/R (adopted Nov. 6, 1998). Appellate Body Report, Argentina — Measures Relating to Trade in Goods and Services ¶ 6.29, 6.31, WTO Doc. WT/DS453/AB/R (adopted May. 9, 2016). Appellate Body Report, United States — Measures Affecting the Cross-Border Supply of Gambling and Betting Services, ¶ 296, WTO Doc. WT/DS285/AB/R (adopted Apr. 20, 2005). Appellate Body Report, European Communities — Measures Prohibiting the Importation and Marketing of Seal Products, ¶ 5.12, WTO Doc. WT/DS401/AB/R (adopted June. 18, 2014). SERVICES DOMESTIC REGULATION—GOOD REGULATORY PRACTICE FOR SERVICES MARKETS ENTERS WTO RULEBOOK 網路資料 United Nations Convention against Corruption, UNODC, https://www.unodc.org/unodc/en/corruption/uncac.html (last visited Feb. 9, 2023). Wolfensohn Cancer of Corruption Speech, The World Bank, https://www.worldbank.org/en/news/video/2022/08/12/wolfensohn-cancer-of-corruption (last visited Feb. 9, 2023). G20 Anti-Corruption Resources, UNODC, https://www.unodc.org/unodc/en/corruption/g20-anti-corruption-resources/by-thematic-area.html (last visited Feb. 10, 2023). Transforming our world: the 2030 Agenda for Sustainable Development, UNITED NATIONS DEPARTMENT OF ECONOMIC AND SOCIAL AFFAIRS, https://sdgs.un.org/2030agenda. Anti-Corruption Summit 2016, GOV.UK, https://www.gov.uk/government/topical-events/anti-corruption-summit-london-2016/about (last visited Feb. 10, 2023). TRANSPARENCY INTERNATIONAL, https://www.transparency.org/en/what-is-corruption (last visited Feb. 13, 2023). What is bribery?, TRANSPARENCY INTERNATIONAL UK, https://www.antibriberyguidance.org/guidance/5-what-bribery/guidance (last visited Feb. 13, 2023). Preventing Public Sector Corruption, UNODC, https://www.unodc.org/e4j/en/anti-corruption/module-4/key-issues/preventing-public-sector-corruption.html (last visited Feb. 13, 2023). Whistleblowing, UNCAC COALITION, https://uncaccoalition.org/learn-more/whistleblowing/ (last visited Mar. 1, 2023). 5 The WTO can ... encourage good governance, WTO, https://www.wto.org/english/thewto_e/whatis_e/10thi_e/10thi05_e.htm (last visited Mar. 1, 2023). Landmark EU “ Coporate Sustainability Due Diligence Directive” Imposing Human Rights and Environmental Due Diligence Obligations on EU and Non-EU Companies Approved by European Parliament, GIBSON DUNN (Apr. 30, 2024), https://www.gibsondunn.com/landmark-eu-corporate-sustainability-due-diligence-directive-imposing-human-rights-and-environmental-due-diligence-obligations-on-eu-and-non-eu-companies-approved-by-european-parliament/. EU Corporate Sustainability Due Diligence Directive (CSDDD) Obliges Companies to Operate in a Fair and Sustainable Manner, EQS (May. 7, 2024), https://www.eqs.com/compliance-blog/eu-supply-chain-law/. 描述 碩士
國立政治大學
國際經營與貿易學系
108351048資料來源 http://thesis.lib.nccu.edu.tw/record/#G0108351048 資料類型 thesis dc.contributor.advisor 薛景文 zh_TW dc.contributor.advisor Hsueh, Ching-Wen en_US dc.contributor.author (Authors) 吳敬廉 zh_TW dc.contributor.author (Authors) Wu, Ching-Lien en_US dc.creator (作者) 吳敬廉 zh_TW dc.creator (作者) Wu, Ching-Lien en_US dc.date (日期) 2024 en_US dc.date.accessioned 4-Sep-2024 15:28:12 (UTC+8) - dc.date.available 4-Sep-2024 15:28:12 (UTC+8) - dc.date.issued (上傳時間) 4-Sep-2024 15:28:12 (UTC+8) - dc.identifier (Other Identifiers) G0108351048 en_US dc.identifier.uri (URI) https://nccur.lib.nccu.edu.tw/handle/140.119/153490 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 國際經營與貿易學系 zh_TW dc.description (描述) 108351048 zh_TW dc.description.abstract (摘要) 後冷戰時代，國際社會體認到反貪腐的重要性，相繼推出了《聯合國反貪腐公約》、《OECD 反賄賂公約》等多項反貪腐的公約。乍看之下，國際反貪腐和貿 易是兩個沒有交集的場域，但近年來出現了將反貪腐條款或專章寫入區域貿易協定的趨勢。 本文將簡要介紹國際反貪腐運動的歷史，概述國際反貪腐的法律和實踐。其次，本文認為，貿易確實與貪腐有很大關係，因為許多跨國公司多年來一直從事對外國公職人員的賄賂(海外賄賂)行為，擾亂了國際市場的公平競爭，因而構成了貿易障礙。 本文承認現有的WTO法或其他貿易協定正當程序和透明度的規定已經對防止海外賄賂產生了一定的效果。然而，正當程序和透明度的規定僅涉及規範外國公職人員，輸出貪腐的跨國企業卻一直被忽視。反貪腐條款和專章的價值在於彌補了傳統貿易協定無法解決私部門對外國公職人員行賄的問題。以 CPTPP 第 26 章和《台美 21 世紀貿易倡議首批協定》第 5 章為例，它們要求私部門制定行為準則、吹哨者保護、財務控制等，這兩項協定標誌著國際反貪腐工作的重大里程碑。 zh_TW dc.description.abstract (摘要) Being conscious of the importance of anti-corruption, international community has launched several anti-corruption conventions, including UNCAC, OECD anti-bribery Convention and so on, since post-cold war era. At the first glance, international anti-corruption and trade are two parallel regimes, however, there is a trend of anti-corruption clauses or chapters enshrined in multinational or regional agreements recently. In my study, I will try to solve some questions. In the beginning, I will introduce the history of international anti-corruption movement briefly and outline the law and practice of fighting against corruption. Next, this study finds trade does have a lot to do with corruption since lots of multinational corporations have engaged in the bribery of foreign public officials (foreign bribery) for many years, which disrupt the fairness competition of international market. I admit that existing WTO law or other trade agreements in which enshrined due process and transparency provisions have already had a certain effect on preventing foreign bribery. Nevertheless, the regulations of due process and transparency only deal with the foreign public officials. Exporting Corruption has been neglected or ignored. The value of Anti-corruption provisions and chapters is covering the shortage of traditional trade agreements not being able to address private sector fighting against bribery. Taking CPTPP Chapter 26 and the first agreement under the U.S.-Taiwan Initiative on 21st-Century Trade Chapter 5 as examples, they require private sectors to formulate code of conduct, whistleblower protection, financial control and so on. The two agreements do represent a big step forward in combating against corruption. en_US dc.description.tableofcontents 第一章 緒論 1 第一節 研究動機與目的 1 第二節 研究方法與架構 3 第三節 研究限制 3 第二章 跨國企業行賄外國公職人員概念界定與各方回應 4 第一節 國際組織對於貪腐所採取的措施 4 第二節 貪腐的定義 6 第三節 貿易與貪腐的關聯 8 第三章 打擊貪腐的國際規範 12 第ㄧ節 與貿易關聯較為直接的反貪腐規範 12 第一項 最惠國待遇原則 14 第二項 關稅措施 15 第三項 技術性貿易障礙與食品安全檢驗與動植物衛生檢疫措施 18 第四項 政府採購協定 21 第五項 GATS國內規章之規定 22 第六項 小結 25 第二節 與貿易關聯較為間接的反貪腐規範 26 第一項 預防措施 26 第二項 定罪與執法 32 第三項 小結 43 第四章 區域貿易協定反貪腐專章 45 第一節 CPTPP透明化規定 46 第二節 反貪腐條款適用的範圍以及與其他公約的關係 48 第三節 對公部門可採取的預防措施 49 第四節 對私部門可採取的預防措施 51 第五節 定罪 51 第六節 執法 53 第一項 沒收 53 第二項 鼓勵吹哨者檢舉 54 第三項 管轄權衝突 54 第四項 其他 55 第五章 結論 57 參考文獻 59 zh_TW dc.format.extent 1447783 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0108351048 en_US dc.subject (關鍵詞) 反貪腐 zh_TW dc.subject (關鍵詞) 海外賄賂 zh_TW dc.subject (關鍵詞) 聯合國反貪腐公約 zh_TW dc.subject (關鍵詞) OECD 反賄賂公約 zh_TW dc.subject (關鍵詞) 跨太平洋夥伴全面進步協定 zh_TW dc.subject (關鍵詞) 台美 21 世紀貿易倡議 zh_TW dc.subject (關鍵詞) Anti-corruption en_US dc.subject (關鍵詞) Foreign Bribery en_US dc.subject (關鍵詞) UNCAC en_US dc.subject (關鍵詞) OECD Anti-Bribery Convention en_US dc.subject (關鍵詞) CPTPP en_US dc.subject (關鍵詞) U.S.-Taiwan Initiative on 21st-Century Trade en_US dc.title (題名) 貿易協定反貪腐條款之研究—以遏止跨國企業賄賂外國公職人員為中心 zh_TW dc.title (題名) A Study on Anti-Corruption Provisions in Trade Agreements—Especially on Preventing Multinational Corporations from Bribing Foreign Public Officials. en_US dc.type (資料類型) thesis en_US dc.relation.reference (參考文獻) 中文文獻 書籍 林彩瑜，WTO制度與實務，2版 (2013年)。 英文文獻 法律案件 United States v. 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