经济学人140:海外贿赂 两部法律的故事

 　　Business Bribery¹ abroad A tale of two laws

　　商业 海外贿赂 两部法律的故事

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

　　美国的反贪法吓阻了对外投资，英国的就精明了一些

　　BRIBING⁶ foreign officials is wrong, but not everything governments do to prevent it is wise or proportional. Firms are increasingly fed up with the way America's Foreign Corrupt² Practices Act (FCPA) is written (confusingly) and applied⁷ (vigorously). The law was passed in 1977, but recent years have seen a spike⁸ in enforcement, from five actions in 2004 to 74 in 2010. 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.

　　贿赂外国官员是不对的，但不是所有为了防止此类事件的政府行为都是明智和恰当的。许多企业都越来越不能忍受美国《反海外腐败法》（FCPA）其令人困惑的表述和不知疲倦的运用了。该法案于1977年通过，可是近几年实施的频率创下了新高，从2004年的5起到2010年的74起。最大的10起已解决案例中5起都发生在去年，包括对英国BAE系统公司（一个英国国防承包商）的4亿美元罚款和对埃尼石油公司（ENI，一家意大利石油企业）的3.65亿美元罚款。

　　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.

　　据《华尔街日报》8月31日报道，美国司法部已经调查甲骨文--一家数据库软件公司--一年了。不寻常的是，甲骨文公司对此只字未提。而此前Ethisphere--一家推动商业道德的智库企业--把甲骨文评定为2009年全球最具有商业道德的企业之一。巴特勒大学的法学教授Mike Koehler写道，通用电气、惠普、英国阿斯利康和其他一些公司都在被Ethisphere评为全球最具商业道德企业的同时面临《反海外腐败法》的起诉或者调查。

　　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.

　　涉及《反海外腐败法》的诉讼是极其折磨人的。几乎没有一家公司敢于上法庭—历史上公司被起诉的案例中只有两例是完全结案的。绝大多数案子的结果都是长达数年的调解。上市公司不仅要使司法部满意，还要履行由美国证券交易委员会执行的《反海外腐败法》部分条款--对所有交易的如实记录（为了防止和发现非法支付）。在司法部和委员会同意一项和解之前，公司必须保证其其他业务都绝对的干净。一个小范围的调查都会变成耗费数千万美元的广泛调查。

　　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.

　　而且，企业如果触犯了《反海外腐败法》，它的老板最长将会被监禁20年之久。理论上，一个在海外分公司的员工贿赂当地的官员都有可能导致其不知情的老板坐牢。在一些情况下，法律坚持认为主管们对这些不诚实的小动作是知情的，即使他们确实不知道。

　　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.

　　一些研究发现，这极大的遏制了去贫穷国家的商业活动。Chicago-Kent法学院的法学教授Andy Spalding把《反海外腐败法》的实施看成是对腐败猖獗的国家"实际上的制裁"。咨询机构毕马威的一项研究显示，三分之一的英国和三分之二的美国公司干脆直接放弃腐败猖獗的国家来避免被起诉的风险。

　　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.

　　美国商会--一个商业游说团体--说，《反海外腐败法》还阻止了境外合并和收购。它说，一家公司哪怕进行了合理尽职的调查，也会背负上它收购的公司的罪行。商会还说，为了避免这样的风险，一家公司必须相当于开展一次大规模的内部调查。许多公司觉得还不如呆在国内好了。

　　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年通过的新反贿赂法看起来在这上面费了一番功夫。这个贿赂法案广泛而严厉。它覆盖了英国本土和海外贿赂的情况。与美国的《反海外腐败法》不同，它没有对加快常规事务的小额"便捷性支付"（比如海关查验和签证）网开一面。

　　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.

　　它也很公平。不像美国的《反海外腐败法》，英国的反贿赂法有一个"合规性抗辩"--如果犯错的是一个初级雇员而且公司有一个在全公司明确表达且有效执行的反贿赂政策，就可使公司免于最严厉的惩罚。这样一个无赖雇员就不能轻易地给清白的公司招致极其麻烦的调查。

　　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.

　　美国司法部不觉得需要这样的保护措施。而且由于极少的情况闹上法庭，法官们也没解释清楚关于《反海外腐败法》那些令人困惑的表述的确切含义。所以现在情况就是这样，检察官说那是什么意思就是什么意思，哪怕这位检察官的观点很激进。

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。