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Elgar Concise Encyclopedia of Corruption Law
Presenting the broad spectrum of interdisciplinary academic research on corruption, this essential reference book examines anti-corruption legislation, governance mechanisms, international instruments, and other preventative measures intended to tackle corruption. Including over 100 entries and adopting a comprehensive approach to researching and combating corruption, this Encyclopedia covers the key ideas, concepts, and theories in corruption law.
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Critical Acclaim
Contributors
Contents
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Presenting the broad spectrum of interdisciplinary academic research on corruption, this essential reference book examines anti-corruption legislation, governance mechanisms, international instruments and other preventative measures intended to tackle corruption.
Including over 100 entries and adopting a comprehensive approach to researching and combating corruption, this Encyclopedia covers the key ideas, concepts and theories in corruption law. Featuring contemporary case studies from around the world, the work analyses the intersection of corruption law and the social sciences, as well as various manifestations of corruption – including bribery in both the private and public sectors, embezzlement and criminal mismanagement, and money laundering. The Encyclopedia also explores the work of intergovernmental anti-corruption organizations, such as the United Nations Convention Against Corruption (UNCAC) and the OECD Convention.
This Encyclopedia will be essential reading for students and scholars of economic crime, law and business, and regulation and governance, as well as for international regulators, policymakers and politicians.
Key Features:
• Over 100 concise entries from 124 international and interdisciplinary contributors
• Case studies from across the globe
• Discussion of anti-corruption legislation and governance mechanisms
• Exploration of preventative measures and the future of tackling corruption
Including over 100 entries and adopting a comprehensive approach to researching and combating corruption, this Encyclopedia covers the key ideas, concepts and theories in corruption law. Featuring contemporary case studies from around the world, the work analyses the intersection of corruption law and the social sciences, as well as various manifestations of corruption – including bribery in both the private and public sectors, embezzlement and criminal mismanagement, and money laundering. The Encyclopedia also explores the work of intergovernmental anti-corruption organizations, such as the United Nations Convention Against Corruption (UNCAC) and the OECD Convention.
This Encyclopedia will be essential reading for students and scholars of economic crime, law and business, and regulation and governance, as well as for international regulators, policymakers and politicians.
Key Features:
• Over 100 concise entries from 124 international and interdisciplinary contributors
• Case studies from across the globe
• Discussion of anti-corruption legislation and governance mechanisms
• Exploration of preventative measures and the future of tackling corruption
Critical Acclaim
‘The field of anti-corruption law has grown exponentially in the last few decades. This authoritative, yet concise and practical Encyclopedia brings all the sub-specialties of the field together in one place. Both newcomers and longtime specialists alike will want to have this book at their fingertips.’
– Pascale Helene Dubois, Independent International Anti-Corruption Advisor, USA/Belgium
‘An ambitious project to pool our collective knowledge on corruption law in its widest sense, from some of the leading voices in their respective fields. The entries and case studies will surely spark dialogue and multidisciplinary collaboration in efforts to fight corruption from all angles.’
– Gretta Fenner, Managing Director, Basel Institute on Governance, Switzerland
– Pascale Helene Dubois, Independent International Anti-Corruption Advisor, USA/Belgium
‘An ambitious project to pool our collective knowledge on corruption law in its widest sense, from some of the leading voices in their respective fields. The entries and case studies will surely spark dialogue and multidisciplinary collaboration in efforts to fight corruption from all angles.’
– Gretta Fenner, Managing Director, Basel Institute on Governance, Switzerland
Contributors
Contributors: Gemma Aiolfi, Soji Apampa, Jennifer Arlen, Emmanuelle Auriol, Irma Eréndira Sandoval Ballesteros, Madhu Balla, Robert Barrington, Hartmut Berghoff, Kathrin Betz, Kateryna Boguslavska, Ulrika Bonnier, Nicola Bonucci, Kara Brockmeyer, Gregory S. Bruch, Susanne Brunner, Claudia Baez Camargo, Nicolás Campos, Enrico Carloni, Lincoln Caylor, Jacopo Costa, Bruno Cova, Peter Csonka, Elizabeth David-Barrett, Alexander Dill, Marianne Djupesland, Alan Doig, Andrew Dornbierer, Casey S. Duffy, Charles E. Duross, Eduardo Engel, Jens Ivo Engels, Gianluca Esposito, Frank Fariello, Michael Faske, Mihály Fazekas, Andrew Feinstein, Odd-Helge Fjeldstad, Ronald D. Fischer, Alexander Galetovic, Brandon Garrett, Athina Giannakoula, César Valderrama Gómez, Akhil Gupta, Thad Guyer, Jeremy Horder, Diona Howard-Nicolas, Gary Hughes, Elisabetta Iossa, Radha Ivory, Jørn Jacobsen, Marc Jean-Richard-dit-Bressel, Rama Nath Jha, Micheal Johnston, Guillermo Jorge, Maria Kaiafa-Gbandi, Andres Knobel, Jillian Clare Kohler, Ivar Kolstad, Drago Kos, Ina Kubbe, Johann Graf Lambsdorff, Juliette Lelieur, Michael Levi, Peter Lewisch, Jitka Logesova, Lucinda A. Low, Nicholas Lord, Shervin Majlessi, Abiola Makinwa, Borja Álvarez Martínez, Phil Mason, Ross H. McLeod, Richard E. Messick, Olaf Meyer, Rhona Michie, Yuan-Bing Mock, Kalle Moene, Francesco Mucciarelli, David Mühlemann, Sarah Muir, Akere T. Muna, Alina Mungiu-Pippidi, Roberta Muratmatsu, Shrey Nishchal, Craig Orr, Leopoldo Pagotto, Anne Peters, Francesca Petronio, Lucio Picci, Mark Pieth, Raquel de Mattos Pimienta, Vivian Newman Pont, Mariana Prado, Amitabh Prasad, Francesca Recanatini, Cecily Rose, Susan Rose-Ackerman, Gul Saeed, Tanja Santucci, Friedrich Schneider, Nathan Shaheen, Willeke Slingerland, Peter Y. Solmssen, Tina Søreide, Andrew Spalding, Fredrick Stapenhurst, Andreas Stephan, Matthew C. Stephenson, Arne Strand, Brigitte Strobel-Shaw, Alberto Vannucci, Taryn Vian, Barney Warf, Gabriele Watts, Martin J. Weinstein, Sope Williams, Mark Worth, Alexandra Wrage, Robert R. Wyld, Bruce Yannett, Ingeborg Zerbes, Jiangnan Zhu, Till Zimmermann
Contents
Contents:
Introduction to the Elgar Concise Encyclopedia of Corruption Law xv
Mark Pieth and Tina Søreide
1 Accounting and auditing law: the US example 1
Gregory S. Bruch and Diona Howard-Nicolas
2 Administrative sanctions 6
Enrico Carloni and Alberto Vannucci
3 Advocacy groups 12
Robert Barrington and Elizabeth David-Barrett
4 Afghanistan 16
Arne Strand
5 African Union Convention on Preventing and Combating Corruption 20
Akere T. Muna
6 Annulment of contracts 24
Olaf Meyer
7 Anthropology 28
Sarah Muir and Akhil Gupta
8 Anti-corruption agencies 31
Alan Doig and Francesca Recanatini
9 Argentina 35
Guillermo Jorge
10 Asset declarations and ownership registries 39
Richard E. Messick
11 Asset recovery: regulation and theory 43
Radha Ivory
12 Australia and New Zealand 48
Robert R. Wyld and Gary Hughes
13 Behavioural studies 53
Roberta Muramatsu
14 Beneficial ownership and corporate registries 57
Andres Knobel
15 Brazil 61
Mariana Prado
16 Bribery in the private sector 65
Nicholas Lord and Borja Álvarez Martínez
17 Bribery of public officials 68
Ingeborg Zerbes
18 Business ethics 72
Ivar Kolstad
19 Canada 75
Lincoln Caylor and Nathan Shaheen
20 Case study: Fertilizer Company of Norway uses bribes to obtain business abroad 80
Marianne Djupesland
21 Case study: the Beny
Steinmetz Geneva bribery trial 84
David Mühlemann
22 Case study: the Ericsson case 88
Kara Brockmeyer
23 Case study: the Odebrecht
corruption case 92
Nicolás Campos, Ronald D.
Fischer, Eduardo Engel and
Alexander Galetovic
24 Case study: the Siemens cases
of the 2000s 96
Hartmut Berghoff
25 Case study: the VimpelCom, Telia, and MTS cases 100
Charles E. Duross and Casey S. Duffy
26 China 105
Jiangnan Zhu
27 Collective action 111
Gemma Aiolfi
28 Commercial arbitration 115
Kathrin Betz
29 Compensation for corruption damage 120
Abiola Makinwa
30 Competition and antitrust law 125
Andreas Stephan
31 Compliance 129
Gemma Aiolfi
32 Compliance training 134
Alexandra Wrage
33 Conflict of interest regulation 138
Raquel de Mattos Pimenta
34 Consequences of corruption 142
Tina Søreide
35 Constitutional law (and role of parliaments) 146
Peter Lewisch
36 Corporate liability 151
Radha Ivory
37 Corporate sanctions: structuring corporate liability and nontrial resolutions to deter corruption 156
Jennifer Arlen
38 Corruption risks in emergencies 160
Mihály Fazekas and Shrey Nishchal
39 Criminology 164
Emile Kolthoff
40 Culture and corruption 169
Claudia Baez Camargo and Jacopo Costa
41 Defence sector corruption 174
Andrew Feinstein and Rhona Michie
42 Definitions and concept 178
Cecily Rose
43 Democracy and elections 181
Ina Kubbe
44 Disclosure and discovery in civil proceedings on corruption 185
Craig Orr
45 Due diligence in the context of mergers and acquisitions 189
Peter Y. Solmssen and Bruce E. Yannett
46 Economics 193
Kalle Moene
47 Embezzlement and criminal mismanagement 197
Marc Th. Jean-Richard-dit-Bressel
48 Empirical studies 201
Lucio Picci
49 EU anti-corruption initiatives 205
Maria Kaiafa-Gbandi and Athina Giannakoula
50 Evidence 210
Bruno Cova
51 Facilitation payments 214
Lucinda A. Low
52 FCPA: enforcement 217
Brandon Garrett
53 FCPA: legal provisions 220
Martin J. Weinstein
54 Financial Action Task Force (FATF) 224
Michael Levi
55 France’s ‘Sapin II’ law 228
Juliette Lelieur
56 Gatekeepers 231
Alexandra Wrage
57 Geography 236
Barney Warf
58 Germany 240
Till Zimmermann
59 GRECO 245
Peter Csonka and Gianluca Esposito
60 History of corruption 249
Jens Ivo Engels
61 Human rights and corruption 252
Anne Peters
62 Ideology and corruption 257
Kalle Moene
63 Illicit enrichment 261
Andrew Dornbierer
64 Illicit trade and corruption 265
Ulrika Bonnier
65 India: corruption and the response to it 269
Madhu Bhalla and Rama Nath Jha
66 Indonesia 273
Ross H. McLeod
67 Infrastructure projects and the risk of corruption 277
Elisabetta Iossa
68 International cooperation (including MLA) 280
Nicola Bonucci
69 International development assistance 284
Phil Mason
70 International sport 288
Andrew Brady Spalding
71 Italy 293
Bruno Cova, Francesco Mucciarelli and Francesca Petronio
72 Judicial corruption 297
Vivian Newman Pont and César Valderrama Gómez
73 Kickbacks 301
Jitka Logesova
74 Law and corruption 306
Matthew C. Stephenson
75 Law reform 310
Jørn Jacobsen
76 Lebanon 312
Susanne Brunner
77 Legal professional privilege 315
Leopoldo Pagotto
78 Lobbyism or bribery 318
Odd-Helge Fjeldstad
79 Measuring corruption across countries 322
Johann Graf Lambsdorff
80 Mexico 327
Irma Eréndira Sandoval Ballesteros
81 Monitoring of international anti-corruption instruments 331
Drago Kos
82 Multilateral development banks and the International Monetary Fund 335
Frank Fariello and Yuan-Bing Mock
83 Nigeria 339
Soji Apampa
84 Non-trial resolution 343
Peter Y. Solmssen and Tina Søreide
85 OECD anti-corruption initiative 346
Mark Pieth
86 Offshore centers 349
Mark Pieth
87 Parliaments and supreme audit institutions 352
Frederick Stapenhurst and Amitabh Prasad
88 Pharmaceutical systems and the risk of corruption 357
Gul Saeed, Jillian Clare Kohler, and Taryn Vian
89 Political science 362
Alina Mungiu-Pippidi
90 Position of the state in society 367
Michael Johnston
91 Private investigation 370
Michael Faske
92 Public procurement 376
Sope Williams
93 Revolving door (law and economics) 382
Emmanuelle Auriol and Shrey Nishchal
94 Risk-based approach (RBA) 386
Alexander Dill
95 Shadow economy 390
Friedrich Schneider
96 Soft law initiatives 394
Cecily Rose
97 Switzerland 398
Kathrin Betz
98 Trading in influence 403
Willeke Slingerland
99 UK Bribery Act 2010 406
Jeremy Horder and Gabriele Watts
100 Ukraine 409
Kateryna Boguslavska
101 United Nations Convention against Corruption 415
Brigitte Strobel-Shaw, Shervin Majlessi and Tanja Santucci
102 United Nations FACTI Panel 420
Susan Rose-Ackerman
103 Whistleblower protection 424
Mark Worth and Thad Guyer
Index 429
Introduction to the Elgar Concise Encyclopedia of Corruption Law xv
Mark Pieth and Tina Søreide
1 Accounting and auditing law: the US example 1
Gregory S. Bruch and Diona Howard-Nicolas
2 Administrative sanctions 6
Enrico Carloni and Alberto Vannucci
3 Advocacy groups 12
Robert Barrington and Elizabeth David-Barrett
4 Afghanistan 16
Arne Strand
5 African Union Convention on Preventing and Combating Corruption 20
Akere T. Muna
6 Annulment of contracts 24
Olaf Meyer
7 Anthropology 28
Sarah Muir and Akhil Gupta
8 Anti-corruption agencies 31
Alan Doig and Francesca Recanatini
9 Argentina 35
Guillermo Jorge
10 Asset declarations and ownership registries 39
Richard E. Messick
11 Asset recovery: regulation and theory 43
Radha Ivory
12 Australia and New Zealand 48
Robert R. Wyld and Gary Hughes
13 Behavioural studies 53
Roberta Muramatsu
14 Beneficial ownership and corporate registries 57
Andres Knobel
15 Brazil 61
Mariana Prado
16 Bribery in the private sector 65
Nicholas Lord and Borja Álvarez Martínez
17 Bribery of public officials 68
Ingeborg Zerbes
18 Business ethics 72
Ivar Kolstad
19 Canada 75
Lincoln Caylor and Nathan Shaheen
20 Case study: Fertilizer Company of Norway uses bribes to obtain business abroad 80
Marianne Djupesland
21 Case study: the Beny
Steinmetz Geneva bribery trial 84
David Mühlemann
22 Case study: the Ericsson case 88
Kara Brockmeyer
23 Case study: the Odebrecht
corruption case 92
Nicolás Campos, Ronald D.
Fischer, Eduardo Engel and
Alexander Galetovic
24 Case study: the Siemens cases
of the 2000s 96
Hartmut Berghoff
25 Case study: the VimpelCom, Telia, and MTS cases 100
Charles E. Duross and Casey S. Duffy
26 China 105
Jiangnan Zhu
27 Collective action 111
Gemma Aiolfi
28 Commercial arbitration 115
Kathrin Betz
29 Compensation for corruption damage 120
Abiola Makinwa
30 Competition and antitrust law 125
Andreas Stephan
31 Compliance 129
Gemma Aiolfi
32 Compliance training 134
Alexandra Wrage
33 Conflict of interest regulation 138
Raquel de Mattos Pimenta
34 Consequences of corruption 142
Tina Søreide
35 Constitutional law (and role of parliaments) 146
Peter Lewisch
36 Corporate liability 151
Radha Ivory
37 Corporate sanctions: structuring corporate liability and nontrial resolutions to deter corruption 156
Jennifer Arlen
38 Corruption risks in emergencies 160
Mihály Fazekas and Shrey Nishchal
39 Criminology 164
Emile Kolthoff
40 Culture and corruption 169
Claudia Baez Camargo and Jacopo Costa
41 Defence sector corruption 174
Andrew Feinstein and Rhona Michie
42 Definitions and concept 178
Cecily Rose
43 Democracy and elections 181
Ina Kubbe
44 Disclosure and discovery in civil proceedings on corruption 185
Craig Orr
45 Due diligence in the context of mergers and acquisitions 189
Peter Y. Solmssen and Bruce E. Yannett
46 Economics 193
Kalle Moene
47 Embezzlement and criminal mismanagement 197
Marc Th. Jean-Richard-dit-Bressel
48 Empirical studies 201
Lucio Picci
49 EU anti-corruption initiatives 205
Maria Kaiafa-Gbandi and Athina Giannakoula
50 Evidence 210
Bruno Cova
51 Facilitation payments 214
Lucinda A. Low
52 FCPA: enforcement 217
Brandon Garrett
53 FCPA: legal provisions 220
Martin J. Weinstein
54 Financial Action Task Force (FATF) 224
Michael Levi
55 France’s ‘Sapin II’ law 228
Juliette Lelieur
56 Gatekeepers 231
Alexandra Wrage
57 Geography 236
Barney Warf
58 Germany 240
Till Zimmermann
59 GRECO 245
Peter Csonka and Gianluca Esposito
60 History of corruption 249
Jens Ivo Engels
61 Human rights and corruption 252
Anne Peters
62 Ideology and corruption 257
Kalle Moene
63 Illicit enrichment 261
Andrew Dornbierer
64 Illicit trade and corruption 265
Ulrika Bonnier
65 India: corruption and the response to it 269
Madhu Bhalla and Rama Nath Jha
66 Indonesia 273
Ross H. McLeod
67 Infrastructure projects and the risk of corruption 277
Elisabetta Iossa
68 International cooperation (including MLA) 280
Nicola Bonucci
69 International development assistance 284
Phil Mason
70 International sport 288
Andrew Brady Spalding
71 Italy 293
Bruno Cova, Francesco Mucciarelli and Francesca Petronio
72 Judicial corruption 297
Vivian Newman Pont and César Valderrama Gómez
73 Kickbacks 301
Jitka Logesova
74 Law and corruption 306
Matthew C. Stephenson
75 Law reform 310
Jørn Jacobsen
76 Lebanon 312
Susanne Brunner
77 Legal professional privilege 315
Leopoldo Pagotto
78 Lobbyism or bribery 318
Odd-Helge Fjeldstad
79 Measuring corruption across countries 322
Johann Graf Lambsdorff
80 Mexico 327
Irma Eréndira Sandoval Ballesteros
81 Monitoring of international anti-corruption instruments 331
Drago Kos
82 Multilateral development banks and the International Monetary Fund 335
Frank Fariello and Yuan-Bing Mock
83 Nigeria 339
Soji Apampa
84 Non-trial resolution 343
Peter Y. Solmssen and Tina Søreide
85 OECD anti-corruption initiative 346
Mark Pieth
86 Offshore centers 349
Mark Pieth
87 Parliaments and supreme audit institutions 352
Frederick Stapenhurst and Amitabh Prasad
88 Pharmaceutical systems and the risk of corruption 357
Gul Saeed, Jillian Clare Kohler, and Taryn Vian
89 Political science 362
Alina Mungiu-Pippidi
90 Position of the state in society 367
Michael Johnston
91 Private investigation 370
Michael Faske
92 Public procurement 376
Sope Williams
93 Revolving door (law and economics) 382
Emmanuelle Auriol and Shrey Nishchal
94 Risk-based approach (RBA) 386
Alexander Dill
95 Shadow economy 390
Friedrich Schneider
96 Soft law initiatives 394
Cecily Rose
97 Switzerland 398
Kathrin Betz
98 Trading in influence 403
Willeke Slingerland
99 UK Bribery Act 2010 406
Jeremy Horder and Gabriele Watts
100 Ukraine 409
Kateryna Boguslavska
101 United Nations Convention against Corruption 415
Brigitte Strobel-Shaw, Shervin Majlessi and Tanja Santucci
102 United Nations FACTI Panel 420
Susan Rose-Ackerman
103 Whistleblower protection 424
Mark Worth and Thad Guyer
Index 429
