经济学人133:海外行贿 两部法律的故事

 　　Business Bribery¹ abroad A tale of two laws

　　商业 海外行贿 两部法律的故事

　　America's anti-corruption³ law deters⁵ foreign investment. Britain's is smarter

　　美国的反贪腐法让企业对海外投资望而却步，而英国的则更为明智

　　BRIBING⁶ foreign officials is wrong, but not everything governments do to prevent it is wise or proportional.

　　向外国官员行贿是不对的。但并非政府所做的所有防范行贿的措施都是明智或能产生对应成效的。

　　Firms are increasingly fed up with the way America's Foreign Corrupt² Practices Act (FCPA) is written (confusingly) and applied⁷ (vigorously).

　　企业对美国的《海外反腐法》(FCPA)的厌倦是与日俱增，不仅仅因为它的内容（让人困惑），还因为它的执行方式（过于激进）。

　　The law was passed in 1977, but recent years have seen a spike⁸ in enforcement, from five actions in 2004 to 74 in 2010.

　　该法案于1977年通过，然而最近几年执行次数增长迅速，从2004年的5次增长到2010年的74次。

　　Five of the ten biggest settlements ever were last year, including a $400m fine against BAE Systems, a British defence contractor⁹, and a $365m fine against ENI, an Italian oil firm.

　　十大处罚中有五个发生于去年，其中包括对英国国防承包商BAE系统的处罚（达4亿美元）以及意大利石油公司ENI的处罚（达3.65亿美元）。

　　On August 31st the Wall Street Journal reported that the Department of Justice has been investigating Oracle¹⁰, a database-software company, for a year. Unusually, Oracle has said nothing about the investigation¹¹. Ethisphere, a promoter of corporate¹² responsibility, rated Oracle one of the world's most ethical¹³ companies in 2009. Mike Koehler, a law professor at Butler University in Indiana, writes that General Electric, HP, AstraZeneca and others have all been among Ethisphere's "World's Most Ethical" while settling FCPA prosecutions¹⁴ or under investigation.

　　八月31日《华尔街日报》报道称司法部调查一个数据库软件公司Oracle，已经一年了。反常的是，Oracle对这次调查只字不提。企业责任提倡人Ethisphere认为Oracle是2009年全球最有道德责任感的企业之一。印第安纳州Butler大学的某法律专家Mike Koehler写道，曾位列Ethisphere的"全球最具道德责任感企业"名单上的General Electric, HP, AstraZeneca等企业都被FCPA的指控过或者受到调查。

　　An FCPA action is an ordeal¹⁵. Few firms dare risk going to court—only two cases against corporations have ever resulted in completed trials. The vast majority of cases are settled, which can take years. Listed companies must satisfy not only the Department of Justice, but also the Securities and Exchange Commission, which enforces the FCPA provisions requiring accurate records of all business dealings (to deter⁴ or detect illicit¹⁶ payments). Before the department and the commission will sign off on a settlement, the company must satisfy them that the rest of its operations are squeaky clean. Narrow investigations¹⁷ can mutate into broad ones that cost tens of millions of dollars.

　　被FCPA指控的话，后果很惨痛。很少企业敢冒险上法庭——企业被告的案例中只有两个结案了。很多案子要用上几年时间才能结案。上市公司不仅要达到司法部的要求，还要满足证券和交易委员会的要求，而这就使得FCPA要具备所有企业的交易记录（从而防止或者发现非法交易）。在司法部和该委员会做出最终决定之前，企业必须让他们相信公司的其它运作也是没有猫腻的。调查不充分会使案情变得更大，为此将付出成千亿美元。

　　And bosses can be sent to prison for up to 20 years if their companies fall foul¹⁸ of the FCPA. In theory, they could be jailed because a staff member at a foreign subsidiary bribed¹⁹ an official without their knowledge. In some cases, the law insists that directors ought to know about dodgy goings-on, even if they do not.

　　如果企业违反了FCPA的规定其老板的最高可被判刑20年。理论上，即使是在他们不知情的情况下，如果其驻外员工向官员行贿的话，他们也可被判入狱。某些情况下，法律坚持认为管理者应该知道这些小动作——即使有时候他们确实不知情。

　　This is a hefty deterrent²⁰ to doing business in poor countries, some studies have found. Andy Spalding, a law professor at the Chicago-Kent College of Law, likens the way the FCPA is enforced to "de facto sanctions" on countries where corruption is rife²¹. A study by KPMG, a consultancy, found that a third of British and a quarter of American companies would simply steer²² clear of corruption-prone countries to avoid the risk of being prosecuted²³. Firms from less fussy²⁴ places, such as China, will happily fill the gap.

　　有研究发现，这成了企业进驻穷国的极大障碍。芝加哥肯特法学院的一名法律专家Andy Spalding将FCPA的做法类比为贪腐盛行的国家的"事实判决"。某顾问公司KPMG做了一份研究表明，三分之一的英国公司和四分之一的美国公司会简单地选择不去那些贪腐盛行的国家做生意，从而避免被起诉。而处于要求不那么严格的国家（比如中国）的企业则很乐意填补这个空白。

　　The US Chamber²⁵ of Commerce, a business lobby, says the FCPA also deters foreign mergers²⁶ and acquisitions. A firm inherits the sins of a company it buys, even if it has done reasonable due diligence, the chamber says. To avoid this risk, it must conduct the equivalent of a "vast internal investigation", says the chamber. Many firms find it simpler to stay at home.

　　商业游说团——美国商会——认为FCPA将外资并购企业也吓跑了，它认为即使一个企业已经做了法律尽职调查，但还是要承担它所并购的企业的罪行。为了避免这种危险，该企业必须进行一次"大范围的内部调查"，该商会说道。于是很多企业觉得留在国内发展要简单得多。

　　A new British anti-bribery law, passed in 2010, appears to have been better crafted. The Bribery Act is broad and tough. It covers bribery within Britain as well as abroad. In contrast to the FCPA, it makes no exception for small "facilitation payments" to speed up routine business such as customs checks or visas.

　　英国2010年通过的反贿赂法似乎更胜一筹。该《贿赂法》涉及范围更广，刑法也更重：其处罚对象既包括国内也包括国外。相较FCPA，它连"便利支付"——能加速一些类似海关检查或者签证等日常业务的支付方式——也不放过。

　　But it is fair, too. Unlike the FCPA, it has a "compliance²⁷ defence" that allows a company to avoid the harshest penalties if the wrongdoer is a junior employee and the firm otherwise has a strict anti-bribery policy which is clear to all employees and effectively administered. One rogue²⁸ employee can't easily cause a crippling probe into an otherwise blameless company.

　　然而它也是公平的。与FCPA不同的是，它允许"遵守式合规性保护"，也就是说，如果涉事员工是未成年人或者该企业有严格的反贿赂规定，并且让所有员工都知晓这项规定从而使其得到有效执行，那么该企业可以避开最严酷的惩罚。一个按规矩做事的企业不会如此轻易地让一两位明知故犯的员工给毁了。

　　America's Department of Justice sees no need for such safeguards. And since few cases go to trial, judges have given little guidance as to what the FCPA's bewildering text actually means. So, for now, it means whatever an aggressive prosecutor²⁹ says it does.

　　而美国司法部认为这样的防范是多余的。由于很少案子受到审讯，法官也没有对FCPA那些令人迷惑的条款做出太多指示。因此，就目前为止，这些条款的含义，全凭胆大的起诉人如何作出解读。

1 bribery   

n.贿络行为，行贿，受贿

参考例句：

• FBI found out that the senator committed bribery.美国联邦调查局查明这个参议员有受贿行为。
• He was charged with bribery.他被指控受贿。

2 corrupt   

v.贿赂，收买；adj.腐败的，贪污的

参考例句：

• The newspaper alleged the mayor's corrupt practices.那家报纸断言市长有舞弊行为。
• This judge is corrupt.这个法官贪污。

3 corruption   

n.腐败，堕落，贪污

参考例句：

• The people asked the government to hit out against corruption and theft.人民要求政府严惩贪污盗窃。
• The old man reviled against corruption.那老人痛斥了贪污舞弊。

4 deter   

vt.阻止，使不敢，吓住

参考例句：

• Failure did not deter us from trying it again.失败并没有能阻挡我们再次进行试验。
• Dogs can deter unwelcome intruders.狗能够阻拦不受欢迎的闯入者。

5 deters   

v.阻止，制止( deter的第三人称单数 )

参考例句：

• The filth here deters all but the invited guest. 这里污秽不堪，除非有事，外人是裹足不前的。 来自辞典例句
• Many people believe that capital punishment deters crime. 很多人相信极刑能阻止犯罪。 来自互联网

6 bribing   

贿赂

参考例句：

• He tried to escape by bribing the guard. 他企图贿赂警卫而逃走。
• Always a new way of bribing unknown and maybe nonexistent forces. 总是用诸如此类的新方法来讨好那不知名的、甚或根本不存在的魔力。 来自英汉非文学 - 科幻

7 applied   

adj.应用的；v.应用，适用

参考例句：

• She plans to take a course in applied linguistics.她打算学习应用语言学课程。
• This cream is best applied to the face at night.这种乳霜最好晚上擦脸用。

8 spike   

n.长钉，钉鞋；v.以大钉钉牢，使...失效

参考例句：

• The spike pierced the receipts and held them in order.那个钉子穿过那些收据并使之按顺序排列。
• They'll do anything to spike the guns of the opposition.他们会使出各种手段来挫败对手。

9 contractor   

n.订约人，承包人，收缩肌

参考例句：

• The Tokyo contractor was asked to kick $ 6000 back as commission.那个东京的承包商被要求退还6000美元作为佣金。
• The style of house the contractor builds depends partly on the lay of the land.承包商所建房屋的式样，有几分要看地势而定。

10 oracle   

n.神谕，神谕处，预言

参考例句：

• In times of difficulty,she pray for an oracle to guide her.在困难的时候，她祈祷神谕来指引她。
• It is a kind of oracle that often foretells things most important.它是一种内生性神谕，常常能预言最重要的事情。

11 investigation   

n.调查，调查研究

参考例句：

• In an investigation,a new fact became known, which told against him.在调查中新发现了一件对他不利的事实。
• He drew the conclusion by building on his own investigation.他根据自己的调查研究作出结论。

12 corporate   

adj.共同的，全体的；公司的，企业的

参考例句：

• This is our corporate responsibility.这是我们共同的责任。
• His corporate's life will be as short as a rabbit's tail.他的公司的寿命是兔子尾巴长不了。

13 ethical   

adj.伦理的，道德的，合乎道德的

参考例句：

• It is necessary to get the youth to have a high ethical concept.必须使青年具有高度的道德观念。
• It was a debate which aroused fervent ethical arguments.那是一场引发强烈的伦理道德争论的辩论。

14 prosecutions   

起诉( prosecution的名词复数 )； 原告； 实施； 从事

参考例句：

• It is the duty of the Attorney-General to institute prosecutions. 检察总长负责提起公诉。
• Since World War II, the government has been active in its antitrust prosecutions. 第二次世界大战以来，政府积极地进行着反对托拉斯的检举活动。 来自英汉非文学 - 政府文件

15 ordeal   

n.苦难经历，（尤指对品格、耐力的）严峻考验

参考例句：

• She managed to keep her sanity throughout the ordeal.在那场磨难中她始终保持神志正常。
• Being lost in the wilderness for a week was an ordeal for me.在荒野里迷路一星期对我来说真是一场磨难。

16 illicit   

adj.非法的，禁止的，不正当的

参考例句：

• He had an illicit association with Jane.他和简曾有过不正当关系。
• Seizures of illicit drugs have increased by 30% this year.今年违禁药品的扣押增长了30%。

17 investigations   

（正式的）调查( investigation的名词复数 )； 侦查； 科学研究； 学术研究

参考例句：

• His investigations were intensive and thorough but revealed nothing. 他进行了深入彻底的调查，但没有发现什么。
• He often sent them out to make investigations. 他常常派他们出去作调查。

18 foul   

adj.污秽的；邪恶的；v.弄脏；妨害；犯规；n.犯规

参考例句：

• Take off those foul clothes and let me wash them.脱下那些脏衣服让我洗一洗。
• What a foul day it is!多么恶劣的天气！

19 bribed   

v.贿赂( bribe的过去式和过去分词 )；向（某人）行贿，贿赂

参考例句：

• They bribed him with costly presents. 他们用贵重的礼物贿赂他。 来自《现代汉英综合大词典》
• He bribed himself onto the committee. 他暗通关节，钻营投机挤进了委员会。 来自《现代汉英综合大词典》

20 deterrent   

n.阻碍物，制止物；adj.威慑的，遏制的

参考例句：

• Large fines act as a deterrent to motorists.高额罚款是对开车的人的制约。
• I put a net over my strawberries as a deterrent to the birds.我在草莓上罩了网，免得鸟歇上去。

21 rife   

adj.(指坏事情)充斥的，流行的，普遍的

参考例句：

• Disease is rife in the area.疾病在这一区很流行。
• Corruption was rife before the election.选举之前腐败盛行。

22 steer   

vt.驾驶，为…操舵；引导；vi.驾驶

参考例句：

• If you push the car, I'll steer it.如果你来推车，我就来驾车。
• It's no use trying to steer the boy into a course of action that suits you.想说服这孩子按你的方式行事是徒劳的。

23 prosecuted   

a.被起诉的

参考例句：

• The editors are being prosecuted for obscenity. 编辑因刊载污秽文字而被起诉。
• The company was prosecuted for breaching the Health and Safety Act. 这家公司被控违反《卫生安全条例》。

24 fussy   

adj.为琐事担忧的，过分装饰的，爱挑剔的

参考例句：

• He is fussy about the way his food's cooked.他过分计较食物的烹调。
• The little girl dislikes her fussy parents.小女孩讨厌她那过分操心的父母。

25 chamber   

n.房间，寝室；会议厅；议院；会所

参考例句：

• For many,the dentist's surgery remains a torture chamber.对许多人来说，牙医的治疗室一直是间受刑室。
• The chamber was ablaze with light.会议厅里灯火辉煌。

26 mergers   

n.（两个公司的）合并( merger的名词复数 )

参考例句：

• Mergers fall into three categories: horizontal, vertical, and conglomerate. 合并分为以下三种：横向合并，纵向合并和混合合并。 来自辞典例句
• Many recent mergers are concentrated within specific industries, particularly in retailing, airlines and communications. 现代许多合并企业集中进行某些特定业务，在零售业、民航和通讯业中更是如此。 来自英汉非文学 - 政府文件

27 compliance   

n.顺从；服从；附和；屈从

参考例句：

• I was surprised by his compliance with these terms.我对他竟然依从了这些条件而感到吃惊。
• She gave up the idea in compliance with his desire.她顺从他的愿望而放弃自己的主意。

28 rogue   

n.流氓；v.游手好闲

参考例句：

• The little rogue had his grandpa's glasses on.这淘气鬼带上了他祖父的眼镜。
• They defined him as a rogue.他们确定他为骗子。

29 prosecutor   

n.起诉人；检察官，公诉人

参考例句：

• The defender argued down the prosecutor at the court.辩护人在法庭上驳倒了起诉人。
• The prosecutor would tear your testimony to pieces.检查官会把你的证言驳得体无完肤。