反海外腐败法 - 译本

ANTI-CORRUPTION ACTAct No. 6494, Jul. 24, 2001CHAPTER 1: GENERAL PROVISIONSArticle 1 (Purpose)The purpose of this Act is to serve to create the clean climate of the civil service and society by preventing and regulating the acts of corruption efficiently.Article 2 (Definitions)The terms used in this Act are defined as follows:1. The term "public institutions" means institutions and organizations falling under any of the following items:(a) The administrative agencies of various levels under the Government Organization Act and the executive organs and local councils of local governments under the Local Autonomy Act;(b) The Superintendents of the Offices of Education, the district offices of education, and the boards of education under the Local Education Autonomy Act;(c) The National Assembly under the National Assembly Act, the courts of various levels under the Court Organization Act, the Constitutional Court under the Constitutional Court Act, the election commissions of various levels under the National Election Commission Act, and the Board of Audit and Inspection under the Board of Audit and Inspection Act; and(d) Organizations related to the public service under Article 3(1) 10 of the Public Service Ethics Act;2. The term "public officials" means the persons falling under any of the following items:(a) The public officials under the State Public Officials Act and the Local Public Officials Act, and other persons who are recognized by other Acts as public officials in terms of qualifications, appointments, education and training, services, remunerations, status guarantee, etc; and(b) The heads of organizations related to the civil service provided for in subparagraph 1(d) above and the employees of such organizations; and3. The term "act of corruption" means the act falling under any of the following items:(a) The act of any public official's abusing his position or authority or violating Acts and subordinate statutes in connection with his duties to seek gains for himself or any third party; and[*51](b) The act of causing damages to the property of any public institution in violation of Acts and subordinate statutes, in the process of executing the budget of the relevant public institution, acquiring, managing, or disposing of the property of the relevant public institution, or entering into and executing a contract to which the relevant public institution is a party.Article 3 (Responsibilities of Public Institutions)(1) Every public institution shall assume the responsibility to strive for the prevention of corruption to create the sound ethics of society.(2) In the event that any public institution deems it necessary to eliminate legal, institutional, or administrative inconsistencies or to improve other matters for the prevention of corruption, it shall promptly improve or rectify the foregoing.(3) Based on such reasonable means as education and publicity, every public institution shall make strenuous efforts to raise the consciousness of its employees and citizens to stamp out corruption.(4) Every public institution shall aggressively work to promote international exchanges and cooperation for the prevention of corruption.Article 4 (Responsibilities of Political Parties)(1) Political parties that are registered in accordance with the Political Parties Act and members affiliated with such political parties shall endeavor to create a clean and transparent culture of politics.(2) Political parties and members affiliated with such political parties shall have a proper culture of election take root and shall operate themselves and raise and spend political funds in a transparent manner.Article 5 (Duties of Private Enterprises)Private enterprises shall establish a sound order of trade as well as business ethics and take steps necessary to prevent every corruption.Article 6 (Duties of Citizens)Every citizen shall fully cooperate with public institutions in policy steps taken by them to prevent corruption.Article 7 (Obligation of Public Officials to be Clean-Handed)Every public official shall abide by Acts and subordinate statutes, perform his duties fairly and hospitably, and refrain from committing any act of corrupting himself or losing his dignity.[*52]Article 8 (Code of Conduct for Public Officials)(1) The code of conduct that the public officials have to observe in accordance with Article 7 shall be prescribed by the Presidential Decree, the National Assembly Regulations, the Supreme Court Regulations, the Constitutional Court Regulations, or the National Election Commission Regulations.(2) The code of conduct for the public officials referred to in paragraph (1) above shall prescribe matters falling under each of the following subparagraphs:1. Matters concerning the prohibition and limitation of the act of any public official's receiving entertainment, money, goods, etc. from any person related to his duties;2. Matters concerning the prohibition and limitation of the act of any public official's intervening in personnel affairs or concessions or using his good offices or soliciting another person for his good offices, taking advantage of his position;3. Matters to be observed by the public officials to create a sound climate of the civil service, including fair personnel administration; and4. Other matters necessary to prevent corruption and maintain the clean-handedness and dignity of the public officials when they perform their duties.(3) If any public official violates the code of conduct for the public officials referred to in paragraph (1) above, a disciplinary measure may be taken against him.(4) Kinds of, procedures for, effect, etc. of the disciplinary measure referred to in paragraph (3) above shall be governed by Acts and subordinate statutes that prescribe matters concerning the disciplinary measures of administrative agencies to which the relevant public officials belong.Article 9 (Guarantee of Livelihood for Public Officials)The State and local governments shall labor to guarantee the livelihood of the public officials in order for them to devote themselves to the civil service and shall take necessary steps to improve their remunerations and treatments.CHAPTER 2: ANTI-CORRUPTION COMMISSIONArticle 10 (Establishment)An Anti-Corruption Commission (hereinafter referred to as the "Commission") shall be set up under the President to revamp Acts and [*53]subordinate statutes, institutions, etc. and to formulate and implement policies -- all necessary to prevent corruption.Article 11 (Functions)The Commission shall perform the work falling under each of the following subparagraphs:1. The work of formulating and recommending policies and institutional improvement measures to prevent corruption in the public institutions;2. The work of surveying the actual state and evaluating the progress of the policy steps taken to prevent corruption in the public institutions;3. The work of working out and implementing the education and publicity schedule for the prevention of corruption;4. The work of supporting activities carried out by nonprofit civic organizations to prevent corruption;5. The work of promoting international cooperation for the prevention of corruption;6. The work of receiving whistle-blowings, etc. with respect to an act of corruption;7. The work of protecting and recompensing whistle-blowers; and8. The work of addressing matters that the President puts on the agenda of the Commission to prevent corruption.Article 12 (Composition of Commission)(1) The Commission shall consist of 9 members, including 1 chairman and 2 standing members.(2) The chairman and members shall be the persons of profound learning and experience in the corruption question and shall be appointed or commissioned according to the qualification standards set by the Presidential Decree.(3) The chairman and standing members shall be appointed by the President and the non-standing members shall be appointed or commissioned by the President. In this case, 3 members shall beappointed or commissioned on the recommendation of the National Assembly and 3 members, on the recommendation of the Chief Justice of the Supreme Court, respectively.(4) The chairman and standing members shall each come from officials of political service.(5) If any member becomes vacant, a new member shall be appointed or commissioned without any delay.[*54]Article 13 (Chairman)(1) The chairman shall represent the Commission.(2) When the chairman is unable to discharge his duties as such for unavoidable reasons, a standing member designated by the chairman shall act on behalf of the chairman in discharging his duties.Article 14 (Disqualification of Members)(1) A person falling under any of the following subparagraphs shall not be qualified as a member:1. A person who is not a citizen of the Republic of Korea;2. A person who falls under each subparagraph of Article 33 of the State Public Officials Act;3. A person who is affiliated with a political party as a member; and4. A person who registers himself as a candidate to run in an election held in accordance with the Act on the Election of Public Officials and the Prevention of Election Malpractices.(2) Any member shall, when he falls under any subparagraph of paragraph (1) above, rightly resign his seat.Article 15 (Independence of Work and Guarantee of Positions)(1) The Commission shall independently perform the work belonging to its authority.(2) The terms of office for the chairman and members shall each be 3 years and they may be reappointed or recommissioned only once.(3) No member shall be dismissed or decommissioned against his will except for the case falling under any of the following subparagraphs:1. Where he falls under any subparagraph of Article 14(1); and2. Where he has much difficulty in performing his duties on the grounds of mental or physical trouble.(4) In case of a member falling under paragraph (3)2 above, the President shall dismiss or decommission him on the recommendation of the chairman after going through a resolution thereof with the consent of not less than two thirds of the total members.Article 16 (Resolution of Commission)The meeting of the Commission shall be held by the attendance of a majority of its registered members and resolve with the concurrent vote of a majority of those present.[*55]Article 17 (Subcommittees)Subcommittees may be established by specific fields in the Commission to efficiently perform its work.Article 18 (Expert Members)(1) The chairman may appoint experts in the academia and social organizations and other experts on the related field as expert members of the Commission, as reasonably deemed necessary, to efficiently support the Commission's work and conduct specialized studies.(2) The chairman shall appoint or commission expert members after going through a resolution of the Commission.Article 19 (Establishment of Secretariat)(1) The Commission shall establish a secretariat to deal with administrative affairs of the Commission.(2) The secretariat shall have its head and other necessary staff.(3) A standing member designated by the chairman shall concurrently serve as the head of the secretariat who takes charge of dealing with administrative affairs of the Commission and instructing and supervising the staff under the chairman's direction.Article 20 (Advice for Institutional Improvements)(1) The Commission may, if necessary, urge the heads of public institutions to make institutional improvements for the prevention of corruption.(2) The head of any public institution shall, upon receipt of the advice on the institutional improvements under paragraph (1) above, reflect such advice in its effort for the institutional improvements and inform the Commission of the result of steps taken according to the advice. (3) In the event that the head of any public institution who has been advised to make institutional improvements under paragraph (1) above finds it difficult to take steps as advised by the Commission, he shall inform the Commission thereof.Article 21 (Hearing of Opinions, etc.)(1) In performing the functions provided for in Article 11, the Commission may take steps falling under each of the following subparagraphs, as necessary:1. A request to any public institution for explanation or the submission of materials, documents, etc., and a survey of the actual condition thereof; and2. A request to any interested person, any reference person, or any public official involved for his presence and his statement of opinion.[*56](2) The Commission shall be prohibited from taking steps provided for in paragraph (1) above with respect to the matters falling under each of the following subparagraphs:1. Matters concerning the confidential information of the State;2. Matters concerning the appropriateness of an investigation, trial, and execution of sentence (including any security measure, any security surveillance measure, any protective detention measure, any probation measure, any protective internment measure, any custodial treatment measure, and anycommunity service order), or matters on which an audit and inspection have been launched by the Board of Audit and Inspection;3. Matters brought for an administrative adjudication or litigation, an adjudication of the Constitutional Court, a constitutional petition, an examination request filed with the Board of Audit and Inspection, and other procedures for protest and remedy that are in process under other Acts;4. Matters concerning procedures for mediating interests among parties concerned, including reconciliation, good offices, mediation, and arbitration, that are in process under Acts and subordinate statutes; and5. Matters made definite by a judgment, decision, adjudication, reconciliation, mediation, arbitration, etc. or other matters on which the Audit and Inspection Commission has resolved in accordance with the Board of Audit and Inspection Act.(3) The steps of each subparagraph of paragraph (1) above shall be limited to the scope necessary for the Commission to perform its work provided for in each subparagraph of Article 11 and attention shall be paid not to hamper the performance of duties by any public institution.(4) The head of any public institution shall sincerely comply with the request for the submission of materials and cooperate in surveying the actual condition under paragraph (1) above.(5) The head of any public institution may get his officials or relevant experts to be present at the Commission to state their opinions or to submit relevant materials in connection with institutional improvements, etc.Article 22 (Confidentiality)The incumbent or former members, expert members, and staff of the Commission and any other person who is or has been seconded to the Commission or commissioned by the Commission to perform the work of the Commission shall be prohibited from divulging any confidential information that they have acquired while performing the work of the Commission.[*57]Article 23 (Legal Fiction as Public Officials in Application of Penal Provisions)Members and expert members of the Commission who are not public officials shall be deemed public officials in the application of the Criminal Act and the penal provisions of other Acts in connection with any malfeasance regarding the work of the Commission.Article 24 (Organization and Operation)Necessary matters concerning the organization and operation of the Commission except for matters provided for in this Act shall be prescribed by the Presidential Decree.CHAPTER 3: WHISTLE-BLOWING OF ACT OF CORRUPTION AND PROTECTION OF WHISTLE-BLOWERSArticle 25 (Whistle-Blowing of Act of Corruption)Any person who becomes aware of an act of corruption may whistle-blow such act of corruption to the Commission.Article 26 (Obligation of Public Officials to Whistle-Blow Act of Corruption)A public official shall, in the event that he learns an act of corruption committed by another public official or he is forced or proposed by another public official to commit an act of corruption,whistle-blow without any delay such fact to any investigative agency, the Board of Audit and Inspection, or the Commission.Article 27 (Obligation of Whistle-Blowing in Good Faith)In the event that any person whistle-blows an act of corruption in spite of the fact that he knew or should have known the contents of his whistle-blowing were false, he shall not be entitled to the protection of this Act.Article 28 (Method of Whistle-Blowing)Any person who intends to whistle-blow an act of corruption shall make such whistle-blowing in a document stating matters concerning his name, address, occupation, etc., the purport of hiswhistle-blowing, and reasons therefor, and present the object of his whistle-blowing and evidence attesting the act of corruption along with such document.[*58]Article 29 (Handling of Whistle-Blowings)(1) The Commission may, upon receipt of a whistle-blowing, confirm the matters falling under each of the following subparagraphs from the whistle-blower:1. Matters necessary to specify the contents of the whistle-blowing, such as the name, address, occupation, etc. of the whistle-blower and the details and purport of his whistle-blowing; and2. Matters concerning whether the contents of whistle-blowing fall under any subparagraph of Article 21(2).(2) The Commission may ask any whistle-blower to submit necessary materials within the scope of ascertaining the truth of the matters specified in paragraph (1) above.(3) If it is necessary to conduct an investigation into a received whistle-blowing, the Commission shall refer such case to a competent organization (hereinafter referred to as an "investigative agency") among the Board of Audit and Investigation, an investigative agency, or an agency in charge of supervising the relevant public institution (referring to the relevant public institution in case that such agency is nonexistent).(4) In the event that a person suspected of committing the act of corruption on which the Commission has received a whistle-blowing is a high-ranking public official falling under each of the following subparagraphs and contents of his suspected act of corruption require an investigation for criminal punishment and an institution of public prosecution, the Commission shall file an accusation with the prosecution against him in its name:1. A public official with the rank of Vice Minister or higher;2. The Special Metropolitan City Mayor, Metropolitan City Mayor, or Do governor;3. A police officer with the rank of superintendent general or higher;4. A judge or a public prosecutor;5. A military officer with the rank of general; and6. A member of the National Assembly.(5) The prosecution shall, upon receipt of an accusation filed under paragraph (4) above, notify the Commission of the findings of its investigation. The same shall also apply to a case where the case on which the Commission has filed an accusation is already under investigation or related with another case under investigation.Article 30 (Handling of Findings of Investigation)(1) The investigative agency shall conclude its audit, investigation, or examination of a case within 60 days from the date on [*59]which it is referred with a whistle-blowing thereon: Provided, That if there are justifiable grounds, the period of 60 days may be extended and the investigative agency shall notify the Commission of the grounds of such extension.(2) The investigative agency to which a whistle-blowing is referred under Article 29 shall notify the Commission of the findings of audit, investigation, or examination thereof within 10 days from the date on which it concludes such audit, investigation, or examination. In this case, the Commission shall, upon receipt of such report, immediately inform the relevant whistle-blower of a summary of the findings of the audit, investigation, or examination.(3) The Commission may, if necessary, ask the investigative agency to explain the findings on which the agency has made notification under paragraph (2) above.(4) When the audit, investigation, or examination conducted by the investigative agency is deemed inadequate, the Commission may ask the investigative agency to launch again the audit, investigation, or examination by presenting reasonable grounds, such as the submission of new evidential materials, within 14 days from the date on which it is notified of the findings thereof. Any whistle-blower who is informed of a summary of the findings of the audit, investigation, or examination under the later part of paragraph (2) above may file an objection with the Commission regarding the findings of the audit, investigation, or examination.(5) The investigative agency that is requested to launch again the audit, investigation, or examination shall notify the Commission of the findings of such further audit, investigation, or examination within 7 days from the date on which it concludes the audit, investigation, and examination. In this case, the Commission shall, upon receipt of the findings of such audit, investigation, or examination, immediately inform the whistle-blower of a summary of the findings of such audit, investigation, or examination that has been launched again.Article 31 (Application for Adjudication)(1) In the event that a person suspected of committing the act of corruption under Article 29(4) and (5) falls under Articles 129 through 133 and 355 through 357 of the Criminal Act (including the case of aggravated punishment under other Acts) and that the Commission directly files an accusation with the prosecution against him, if the same case as the one for which the accusation is filed is already under investigation or is related to another case under investigation and a public prosecutor concerned serves a notice on the Commission that he does not [*60]institute a public prosecution against either of the two cases, the Commission may file an application for an adjudication on the right or wrong thereof with the High Court corresponding to the High Public Prosecutor's Office to which the public prosecutor belongs within 10 days from the date the Commission receives such notice.(2) Articles 260(2), 261, 262 and 263 through 265 of the Criminal Procedure Act shall apply mutatis mutandis to the application for the adjudication referred to in paragraph (1) above.(3) When the District Public Prosecutor's Office or the District Public Prosecutor's Branch Office to which the public prosecutor belongs under Article 260(2) of the Criminal Procedure Act receives the application for the adjudication of paragraph (1) above, the statute of limitation for prosecution thereof shall be suspended during the period from receipt of such application to ruling under Article 262(1) of the Criminal Procedure Act.(4) With respect to the application for the adjudication referred to in paragraph (1) above, if the public prosecutor has not instituted a public prosecution by ten days prior to the date on which the statute of limitation for prosecution thereof expires, it shall be deemed that the public prosecutor has served a notice on the Commission that he does not institute such public prosecution at that time; and with respect to an accusation which the Commission filed with the prosecution under Article 29(4), if the public prosecutor has not instituted such public prosecution by three months after the date on which the Commission filed such accusation, it shall be deemed that the public prosecutor has served such a notice on the Commission at the time that the three months lapsed, respectively.Article 32 (Guarantee of Non-Reprisal)(1) No person shall be subject to any detriment in his position or any discrimination in his working conditions, including disciplinary measure etc., which is imposed by an institution, organization, or company, etc. to which he belongs, on the grounds of his whistle-blowing under this Act or his statement or his submission of materials, etc. related thereto.(2) In the event that any person has suffered a disadvantageous disposition in his position on the grounds of his whistle-blowing, he may request the Commission to take steps to guarantee his position, including, but not limited to, restoring his disadventurous position to the original state thereof and transferring him to another post (hereinafter referred to as "steps for guaranteeing position").[*61](3) The Commission shall, upon receipt of the request referred to in paragraph (2) above, launch an investigation thereof.(4) The Commission may conduct the investigation requested under paragraph (3) above in the manner falling under each of the following subparagraphs:1. A request to the relevant requester or reference persons for presenting themselves before the Commission to state their opinions or for submitting their written statements;2. A request to the relevant requester, reference persons, or related institutions, etc. for submitting materials, etc. that are deemed to be related to the investigation; and3. An inquiry about facts or information that is deemed to be related to the investigation of the relevant requester, reference persons, or related institutions.(5) Any person who is subject to the request, inquiry, or steps under each subparagraph of paragraph (4) above shall sincerely comply with them.(6) When a request made by any public official for the guarantee of position is deemed reasonable based on investigation results, the Commission may ask the head of a public institution to which he belongs to take proper steps to guarantee his position. In this case, the head of such public institution shall comply with the request from the Commission unless the justifiable grounds exist that make it impossible for him to do so.(7) When a request for the guarantee of position from a person who is not a public official is deemed reasonable based on investigation results, the Commission may recommend the head of an organization or a company, etc. to which he belongs to take proper steps to guarantee his position.(8) When a whistle-blower who is a public official requests the Commission to transfer his post and such request is deemed reasonable, the Commission may ask the Minister of Government Administration and Home Affairs or the head of the relevant public institution to execute such transfer of post. In this case, the Minister of Government Administration and Home Affairs or the head of the relevant public institution shall, upon receipt of the request from the Commission, give preferential consideration to such request.(9) The Commission may ask a relevant disciplinary officer to take disciplinary action against a person who has violated paragraph (1) above.[*62]Article 33 (Protection of Whistle-Blowers)(1) The Commission and any employee of the investigative agency to which the matters of any whistle-blowing are referred in accordance with Article 29(3) shall be prohibited from disclosing or suggesting the identity of a whistle-blower without his consent.(2) A whistle-blower may request the Commission to take reasonable protective steps in case his whistle-blowing becomes a source of a feeling of insecurity to himself, his relatives, or his cohabitants. In this case, the Commission may, if necessary, ask the head of the competent police station to take relevant protective steps.(3) The head of the competent police station shall, upon receipt of the request made under paragraph (2) above, immediately take steps to protect them under the conditions as prescribed by the Presidential Decree.Article 34 (Protection of Cooperators)The provisions of Articles 32 and 33 shall apply mutatis mutandis to the guarantee of position and physical protection of any person, other than a whistle-blower, who has cooperated in the audit, investigation, or examination of a whistle-blowing by stating his opinion and submitting materials, etc. in connection with such whistle-blowing made under this Act.Article 35 (Mitigation of Culpability)(1) If any whistle-blowing pursuant to this Act leads to detection of a crime perpetrated by the whistle-blower, the punishment of such whistle-blower may be mitigated or remitted.(2) The provisions of paragraph (1) above shall apply mutatis mutandis to any disciplinary measure taken by any public institution.Article 36 (Reward and Compensation)(1) If any whistle-blowing made under this Act serves materially to bring interests to the property of public institutions, to prevent damages to such property, or to enhance the public interest, the Commission may recommend that the relevant whistle-blower be granted a reward in accordance with the Awards and Decorations Act, etc.。

美国反海外腐败法(FSPA)在中国的问题和对策(之2)《前文概要》根据美国的反海外腐败法(Foreign Corrupt Practices Act-FCPA)，为了获取生意而向外国政府公务员行贿或者约定行贿的美国法人和个人将收到刑事乃至民事处罚。

FCPA由反贿赂条款(anti-bribery provisions)和会计条款(accounting control provisions)构成，前者由美国司法部(UA Department of Justice)管辖，后者由美国证券交易委员会(SEC)管辖。

根据后者的规定，美国所有的上市公司(包括在美国公开发行股票的日本公司)必须正确报告包括行贿受贿的会计处理在内的财务数据。

这些公司不得将行贿支出隐藏在其他会计科目中，或以其他明目表示。

违反FCPA的情况下所受的处罚，个人的情况下刑事方面最高可判处25万美元的罚款并处最高5年的徒刑。

公司的情况下最高可判处200万美元的罚金。

另外，公司和个人都会成为民事处罚的对象。

根据联邦法律，可对被告处以最高相当于非法所得或者第三方所受损失金额2倍的罚款。

此外，作为对公司的制裁，公司将会被剥夺成为美国政府承包商的资格以及停止出口经营权。

违反FCPA对经营上也有同样深刻的影响。

为遵守法令所必需进行的内部调查需要花费相当大的费用和时间。

上市公司如果违反法令一般需要公示，这回影响公司的形象和商誉。

即使公司及时采取了适当的改善措施，但是已被公认为有贿赂行为的美国法人也许不得不远离与发生行贿的国家，特别是和政府有关的事业。

有的情况下，在美国国内有可能会被股东代表起诉。

不管怎么说，政府高官的腐败行为在发展中国家是家常便饭。

中国腐败的情况尤其严重。

1.有关FCPA中国所特有的问题对于很多在中国经营的外国法人，所面临的问题和在其他发展中国家是一样的。

然而，我们想就其中一些中国所特有的问题进行探讨。

1.1.“外国公务员”的问题FCPA所禁止向其行贿的“外国公务员”的定义为“外国政府以及其他部委或者其辅助机关的高官和雇员，以及为这些机关或代表其行使官方权力的人”。

美国《反海外贿赂法》(FCPA)评述“FCPA”即美国《Foreign Corrupt Practices Act》的简称，该法于1977年制定，1988年修订，旨在限制美国公司利个人贿赂国外政府官员的行为，并对在美国上市公司的财会制度做出了相关规定。

—、立法FCPA的立法背景之一是由于“水门事件”的影响，民众越来越强烈地要求厘清美国公司与外国政府之间的嗳昧关系。

而导火索则来自于证券交易委员会（SEC）的一份报告，在该报告中，有超过400多家的公司承认有过可疑或非法支付的行为，其中有100多家居行业500强之列。

贿赂外国官员显然是种不道德的行为，有违美国公众得到的期望和价值观；此外，这种行为也极大的腐蚀了美国一直引以为自豪的市场体系的效率。

但是在贿赂几乎成为一种“商业惯例”的国际贸易领域，“众人皆醉我独醒”的单方政策是否符合美国的根本利益？美国国会为此成立专门委员会议讨论利决定如下两个事项：（1）美国是否应干预海外贿赂行为？（2）如果进行干预，适当的方法是什么？反对美国就海外贿赂立法的核心观点在于：通过单方面立法来约束本国公司和个人进行海外贿赂的直接后果，将使美国公司的竞争处于劣势地位；而且，这也与政府一般不直接干预市场的理念相忤。

国会辩论的结果认为，贿赂行为并不是成功市场活动的要素之一，市场经济的内涵在于通过竞争提供最优价格和质量的产品或服务，贿赂恰恰导致资源配置的扭曲，破坏了市场的正常运行，而这正是政府干预的理由之一。

此外，虽然行贿的对象都是外国政府官员，但其消极影响也会及于国内，而且在不少案件中，行贿者不是为了排挤外国竞争者，而是为了赢得与其他美国公司之间的竞争。

就如何规制海外贿赂，委员会内有3种方案：国会强力主张将海外贿赂行为非法化，为此，涉案人员和公司须承担民事和刑事责任；以总统为代表的行政部门在外交考虑的基础之上，仅要求有关公司和个人定期披露即可；SEC则从保护投资者的角度强调财会制度，要求所涉公司建立内部控制机制。

美国反海外腐败法合同约定范本关键信息项合同签署日期合同签署地点合同各方甲方（公司或组织）名称地址法定代表人联系电话乙方（合作方或承包商）名称地址法定代表人联系电话合同目的合同内容服务或产品的具体描述合同履行的时间框架合规声明遵守美国反海外腐败法（FCPA）的承诺禁止贿赂或其他不当支付的具体条款财务条款费用或报酬支付方式支付日期审计与记录记录保持的要求审计权限违约与赔偿违约定义违约责任保密条款争议解决方式合同的变更与终止协议的生效及解释合同背景说明1.2. 双方同意按照美国反海外腐败法（FCPA）的要求，进行合法合规的业务操作，确保双方合作的诚信与合规性。

合同目的2.1. 本合同的目的是______________，具体包括但不限于提供_____________________________服务/产品。

2.2. 合同的履行将遵循FCPA的相关规定，确保所有交易行为的合法性。

合同内容3.1. 服务或产品描述：乙方应提供_____________________________，具体包括_____________________________。

3.2. 履行时间框架：本合同的服务或产品应在_____________________________年_____________________________月_____________________________日前完成交付。

合规声明4.1. 遵守FCPA的承诺：甲方与乙方均承诺严格遵守美国反海外腐败法（FCPA）及所有相关反腐败法律法规。

4.2. 禁止贿赂条款：甲方与乙方承诺不向任何政府官员、代理人或第三方提供任何形式的贿赂、回扣或其他不当支付，以影响或获取业务机会。

财务条款5.1. 费用或报酬：本合同下的总费用为人民币_____________________________元/美元_____________________________元。

反海外腐败法行为守则反海外腐败法和当地反腐败法律一样，它的精神和其本身是一项包括汉斯美国员工和全球各隶属组织机构员工在内的汉斯全体员工必须遵守的行为准则。

任何汉斯实体不得直接或间接向国外政府官员行贿，以利于从国外政府或官员获得任何形式的生意、特权等利益。

禁止事项《反海外腐败法》（”FCPA”）禁止美国公司实体进行以下贿赂行为：1．向国外官员提供支付金钱或其他任何有价值的的实物以帮助企业获取或保留某项业务以及获取任何不适当保障的特权。

2．向国外官员提供支付金钱或其他任何有价值的实物以帮助企业获取或保留有利的立法和规定以及其他有利的待遇（如：减免关税或有利的税务待遇）3．在知道全部或部分款项将直接或间接地支付给外国官员的情况下，向第三方支付金钱或其他任何有价值的实物以帮助企业获取或保留某项业务以及保障任何不适当的特权。

尽管FCPA是一部美国法律，受到一定的地域性司法限制，但全体汉斯实体和员工应当严格遵从。

同时美国公民和永久居民必须遵守FCPA。

处罚违反FCPA将会有严厉的处罚。

根据FCPA的规定，对于违反FCPA的公司，可以处以最高200万美金的罚款或是行贿所图谋利益两倍的罚金。

其他一些法规也可用于判处高额罚金。

对于违反FCPA的个人，可以刑事或民事罪名论处。

犯罪的个人将不受董事责任险的保护，不能从其雇主获得赔偿。

汉斯公司履行其义务严格执行FCPA。

因此，违反FCPA政策和程序的员工将受到不利的就业限制，包括依据开除。

定义“知道”FCPA禁止通过第三方行贿，如中介机构、承包商或投资伙伴。

知道全部或部分款项将直接或间接地支付给外国官员使之运用其影响力，在这种情况下向第三方行贿属于违反FCPA。

“知道”应定义为意识到贿赂行为“基本上确定”发生或不恰当的支付行为极可能存在。

在这种标准下，任何个人或公司有意忽视或故意漠视公司的代理商、承包商和投资伙伴的违反FCPA的行为同样会受到相应惩罚。

因此，汉斯员工绝不可对任何违反FCPA的行为视而不见。

[资料] 美国《反海外腐败法》/mag/preview.aspx?ArtID=5367ஸஸ美国《反海外腐败法》（Foreign Corrupt Practices Act，缩写FCPA）制定于1977年，1988年修订，旨在限制美国公司和个人贿赂国外政府官员的行为，并对在美公开交易公司的财会制度做出规定。

ஸஸ美国纽约证交所1970年中期曾做过一项研究，发现有400余家美国公司承认曾向国外政府官员行贿，所涉总金额超过3亿美元。

有鉴于此，美国国会制定了《反海外腐败法》，以制止海外腐败行为，重建美国商业系统的公众信誉。

ஸஸF CPA规定，美国公民个人或某些海外股票发行者，如向外国官员支付财物，以达到获得或保留生意的目的，即属违法。

自1998年起，此法案亦对在美国境内向国外政府官员行贿的外国公司和个人适用。

ஸஸ法案对适用范围界定得非常明晰，行贿的对象是外国政府官员。

而外国官员指外国政府、国际组织或任何有政府职能的机构官员。

如果美国公司打交道的是外国王室成员、议员以及国有企业官员，美国司法部FCPA网页建议，应向司法部FCPA小组申请裁量是否属于“外国官员”范畴。

FCPA并不对行贿的是政府高官还是低级官员而有区别对待，哪怕受贿者是最底层的职员，亦同样被视为非法。

“重要的是行贿意图而不是受贿者级别。

”司法部网页上的解释说。

法案还规定，不得通过第三方向外国官员行贿，亦不得对通过第三方行贿视而不见或装作不知。

被确认违反法案的公司罚款最高可至200万美元，而故意违反该法案的个人(包括官员和公司管理人员)可处以高达10万美元的罚款，或最高5年的监禁，或两罚并用，并承担民事责任。

FCPA有关财会制度的规定则适用于在美上市公司，规定要求，上述公司必须建立严格的内部财会制度，并保留交易的财务记录，以防止产生非法开支。

由于这些条款的执法机关是美国证券与交易委员会，所以违反这些条款的处罚与大多数违反其他证券法律的处罚一样，违法者通常会被处以罚款，而无须承担刑事责任。

[截至2004年 7月 22日]反海外腐败法的反贿赂与账簿和记录条款通过公法 105-366 更新 (1998年 11月 10日)美国法典第15篇. 商业與贸易第2B章—证券交易§ 78m. 定期和其他报告(a)证券发行者的报告；内容每一个按照本篇第78l 条登记的证券发行者，必须按照委员会认为必要或合适适当保护投资者和确保证券公平交易的规则和条例，向委员会提交以下材料--(1)委员会规定的信息和文件（及其副本），使得按照本篇第 78l 条提出的申请或登记中必须列入或同时提出的信息和文件保持合理的最新内容，除非委员会可能不要求提交在1962年7月1日之前已经完成的任何重要合同。

(2)委员会可能规定的年度报告（及其副本）－如果委员会有规则和条例规定必须由独立公共会计师出具证明－和季度报告（及其副本）。

每一个在全国证券交易所登记的证券发行者也必须向交易所提交关于这种信息、文件和报告的复制本原件。

(b) 报告格式；账簿、记录和内部会计；指令* * *(2) 按照本篇第 78l条登记的一类证券的每一个发行者以及按照本篇第 78o(d) 条规定提出报告的每一个发行者必须--(A) 维持和保留账簿、记录和账目的合理的细节，足以准确而公正地反映发行者资产的交易和处置情况；(B) 设计和维持一个内部会计控制系统，足以提供合理的以下保证--(i) 交易是按照管理部门的一般或具体授权进行；(ii) 保留必要的交易记录，以便 (I) 按照普遍接受的會計原则或任何其他适用的标准准备财务报表 (II) 保證资产的可靠性；(iii) 只有按照管理部门一般或具体的授权才能使用资产；以及(iv) 每隔一段合理的时间把资产的账目记录与资产现状核对，并对任何差异采取适当的行动。

(3) (A) 对于关系到美国国家安全的事务，不得要求任何人因為与负责此类事务的任何联邦部門或者机构负责人合作采取行动而承担本款第（2）项下的义务或责任，如果与该联邦部門或者机构负责人合作采取的行动是根据该负责人具体的书面指令，并依据关于发布该指令的总统授权。

11２０１０年９月（下）初窥美国反海外腐败法赵文艳摘要美国反海外腐败法最能体现其诉讼管辖理论中的长臂管辖原则，中国作为其法律防范的对象之一，有必要了解其制定背景、相关条款及具体实施情况，并深入研究该法以及该法的实施对我们的影响。

关键词法律防范反海外腐败法诉讼管辖中图分类号：D9712文献标识码：A文章编号：1009-0592(2010)09-011-04一、美国反海外腐败法制定背景美国反海外腐败法（The American Foreign Corrupt Practice Act,简称FCDA ）制定于1977年，是一部旨在阻止国际商业活动中的腐败行为的刑事制定法。

该法由美国司法部和证券交易委员会作为执行主体。

其最大的特点是该法规定的刑事责任几乎可以及于世界上任何地区发生的腐败行为。

上世纪七十年代，美国政界、商界相继出现诸如水门事件、公司收受贿赂等很多腐败丑闻，美国证券交易委员会提交的一份调查报告显示有超过400家美国公司涉嫌贪污腐败或者是为了获得各种项目工程向外国政府官员和其他政客支付不合法报酬。

这些公司承认，自己曾经向外国政府官员、政客和政治团体支付了高达30亿美元的巨款。

一些发展中国家的官员迅速暴富，而当地人民的生活水平却没有明显改善，很多人将原因归咎于美国企业。

美国政府以及美国企业的形象大受影响。

此外，由于海外市场的秩序混乱，通过不法手段谋取高额利益的成本较低，大量美国国内资本转入海外市场，影响其本土的资本投入，一定程度出现了国内资本投资空心化的状态。

跨国公司在海外的商业贿赂行为直接冲击了美国国内资本市场竞争秩序。

为此，美国国会开始进行一系列的反腐败改革，其中最重要的一项就是制定实施反海外腐败法，目的在于重塑美国商业和美国公民的诚信形象。

这也是世界上第一个国家制定法律惩罚在该国之外的其他国家的腐败行为。

二、美国反海外腐败法的实施情况美国反海外腐败法自1977年出台以来，其实施情况经历了几个阶段。

万方数据因上述原因而导致的行贿行为也就是违反了正当的市场竞争秩序，就可以定为行贿行为。

其次，严厉性。

这主要体现在对行贿行为的法律制裁上，包括两个方面。

第一，刑事责任。

对于犯罪的公司和其他商业实体，可处以最高２００万美元的罚金；自然人则会被处以最高１０万美元罚金和５年以下监禁。

而且，根据选择性罚款法的规定，罚金的数额可能会高出更多。

实际罚金可能会是行贿所图谋利益的两倍。

第二，民事责任。

司法部长或者ＳＥＣ可以对行贿者提起民事诉讼，要求最高ｌ万美元的罚款。

同时，在ＳＥＣ提起的诉讼中，法院还可以判决追加罚款。

追加罚款的最高限额为：①违法所得总额；②违法情况严重时，限额为：对自然人，５０００一１０万美元，对其他人，５万一５０万美元。

例如，此次ＳＥＣ对艾利・丹尼森公司进行了行政和民事两项诉讼。

在行政诉讼的处理结果中，艾利被要求上缴２７．３万美元，外加４．５３万美元利息。

在民事诉讼中，艾利则被处以２０万美元的罚款。

而在此前，ＳＥＣ指控西门子在地铁列车和信号设备、高压传输线路、医疗设备等的销售上，在中国曾有行贿行为，西门子用１３．４５亿美元的“天价”罚金，向美国和德国的监管机构求得了一个和解，足见其制裁的力度。

此外，高额的罚金不仅对企业是一个制最后，行业自律性。

此次艾利案发之前，艾利亚洲区已经有数名高管由于不赞同艾利的运营方式而提出辞呈。

艾利公关部高级经理大卫－弗雷尔在给ＣＢＮ的邮件中表示，艾利美国总部早在２００５年就发现公司数个雇员行为可疑，并进行了调查和适当的惩戒。

同时艾利也向ＳＥＣ和美国司法部主动报告了这些事项，请两家机构审查。

“我们认为最重要的是，我们发现了有问题的行为。

我们会对其进行调查和采取惩罚措施，并向ＳＥＣ及司法部报告”，艾利新闻发言人说，“相信有道德的行为对于我们的名声和成功是非常重要的，为此我们将提供一系列的培训和报告程序，以帮助雇员作出正确决定。

我们的培训内容也包括《反海外腐败法》。

”中国中南财经政法大学教授乔新生也曾经指出，美国的制药公司在制定员工手册时，明确要求员工不得以行贿方式推销药品。