v. reports on enforcement in oecd convention countries - Begroting

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COUNTRY-SPECIFIC FINDINGS US and Germany: The number of cases prosecuted continues to increase in the United States and Germany. The US has 227 cases in the 2011 report, up from 169 in 2010. Germany has 135 cases, up from 117 in 2010. These numbers represent a very positive development in the fi ght against corruption. They also provide a useful comparative indicator for enforcement by other countries, recognising that levels of exports should be taken into account. Brazil: The Offi ce of the Comptroller General <strong>reports</strong> that eight investigations are under way, up from four in TI’s last report. The increased number of investigations, as well as other indications of active commitment by the Offi ce of the Comptroller General, is a promising sign of progress in Brazil. Uncertainties in UK: A new Bribery Act passed by Parliament in April 2010 will go into effect in July 2011. Replacing antiquated laws dating back to Victorian times, the Act is a major step forward, particularly as it comes after a decade of procrastination, including the widely criticized termination of the BAE Systems investigation in 2006. However, the new law is accompanied by “Guidance” to companies on procedures for preventing bribery that raises questions about how rigorously certain aspects of the new law will be applied. These concerns are reinforced by recent <strong>reports</strong> about budget cuts and other threats to the future of the Serious Fraud Offi ce, whose positive actions resulted in moving the UK to the active enforcement category in 2010. The country report on the UK, in Section V, reviews developments in the UK in detail. Uncertainty regarding French prosecutions: There is concern as to whether French anti-bribery cases are being actively prosecuted. Based on the number of prosecutions fi led and the considerable number of judicial investigations, France has been listed in the moderate enforcement category. However, of the eight French prosecutions reported last year, only one reportedly resulted in a conviction, while the others have apparently been closed. At the same time, one new prosecution has reportedly started up against a major French company. Lack of progress in Canada: Canada is the only G7 country in the little or no enforcement category, and has been in this category since the fi rst edition of this report in 2005. It is also the only OECD member that does not provide nationality jurisdiction, which presents a serious obstacle to enforcement. Other shortcomings in Canada’s enforcement system are reviewed in the country report in Section V. TI welcomes that the government of Canada has publicly reported the number of investigations for the fi rst time. It is promising that 23 foreign bribery investigations are under way. If these investigations lead to prosecutions, Canada may fi nally move out of the little or no enforcement category. Russia: A law prohibiting foreign bribery has been passed by the Russian Parliament and signed by President Medvedev. Russia is expected to be invited to join the OECD’s Working Group on Bribery at the OECD Ministerial on 25-26 May 2011. China and India: A law prohibiting foreign bribery has been passed by the Chinese Parliament and a law prohibiting foreign bribery has been introduced in the Indian Parliament. Chinese and Indian representatives have attended Working Group meetings as observers. However, there is as yet no schedule for Chinese or Indian accession to the OECD Convention. ADDITIONAL RECOMMENDATIONS Accession by G20 states: OECD should continue its programme to secure accession to the Convention by China, India, Indonesia, Russia and Saudi Arabia. Continuation of OECD monitoring: The monitoring programme of the Working Group on Bribery continues to be the essential tool to ensure the effectiveness of the Convention. As Russia and other new countries accede to the Convention, they must undergo rigorous reviews of the adequacy of their laws prohibiting foreign bribery (Phase 1 reviews) and of their enforcement programmes (Phase 2 reviews). In addition, the Phase 3 monitoring programme, which began in 2010, must determine whether the countries previously reviewed are correcting identifi ed defi ciencies and meeting the provisions of the Revised Recommendations. Meetings of law enforcement offi cials: During the past year meetings of law enforcement offi cials have been held concurrently with OECD Working Group meetings. The interaction between the two groups is essential for 6 Transparency International
the success of the Convention. Such meetings should take place at least twice each year. There are continuing indications that foreign bribery investigations are hampered by problems in securing mutual legal assistance. The meetings with law enforcement offi cials should develop proposals to accelerate mutual legal assistance. Consultation with civil society and the private sector: TI commends the OECD for its continuing programme of consultation with representatives of civil society and the private sector in its country reviews and other OECD anticorruption programmes. Reporting by the OECD: In 2010 the Working Group on Bribery for the fi rst time issued a report on the outcomes of foreign bribery cases brought by each signatory. A similar report was issued on 20 April 2011. The scope of such <strong>reports</strong> should be expanded to cover the number of investigations and prosecutions fi led as well as the outcomes of investigations and prosecutions. Lack of data on investigations: TI has been unable to obtain data on investigations in at least ten countries. The number of investigations underway is a crucial indicator of the current status of foreign bribery enforcement, as is the start of new investigations in the last year. Failure to provide such data should be regarded as a danger signal. (TI understands that there are reasons for not disclosing the names of those under investigation. However, there are no good reasons why governments should not report the numbers of investigations under way.) Progress Report 2011: Enforcement of the OECD Anti-Bribery Convention 7
Page 1: www.transparency.org
Page 4 and 5: FOREWORD The key fi nding of TI’s
Page 6 and 7: II. ORGANISATION AND METHODOLOGY Th
Page 10 and 11: TABLE A: FOREIGN BRIBERY ENFORCEMEN
Page 12 and 13: IV. FINDINGS ON SPECIFIC ISSUES Thi
Page 14 and 15: LEGAL FRAMEWORK AND ENFORCEMENT SYS
Page 16 and 17: V. REPORTS ON ENFORCEMENT IN OECD C
Page 18 and 19: Legal framework and enforcement sys
Page 20 and 21: deal. 25 The Anti-Corruption Prosec
Page 22 and 23: to win EU framework contracts to as
Page 24 and 25: A local newspaper reported in Octob
Page 26 and 27: gift or another undue advantage, bu
Page 28 and 29: Recommendations: Adopt nationality
Page 30 and 31: offi ce were present during the que
Page 32 and 33: ESTONIA LITTLE OR NO ENFORCEMENT: N
Page 34 and 35: Another case, which has reportedly
Page 36 and 37: in the water and power sector earli
Page 38 and 39: A former executive of German truck
Page 40 and 41: the bill lapsed. In terms of whistl
Page 42 and 43: Telekom. 197 Additionally, a Wikile
Page 44 and 45: public international organisations
Page 46 and 47: Recommendations: Require public com
Page 48 and 49: Recommendations: Introduce criminal
Page 50 and 51: Inadequacies in legal framework: Sa
Page 52 and 53: of the administrative, fi nancial a
Page 54 and 55: NEW ZEALAND LITTLE OR NO ENFORCEMEN
Page 56 and 57: POLAND LITTLE OR NO ENFORCEMENT: No
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are not treated as a suffi ciently
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Domestic bribery by foreign compani
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Inadequacies in legal framework: Th
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dropped due to lack of evidence and
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that the American-Swiss electrical
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Recommendations: Public prosecutors
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lawyers is reportedly seeking to re
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and SEC, Technip agreed to pay US $
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Inadequacies in enforcement system:
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prosecution agreement with the DOJ,
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3. CUSTOMS PROCESSING FOR OIL AND G
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ledger accounts or “internal thir
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APPENDIX A 2011 OECD PROGRESS REPOR
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APPENDIX B 2011 QUESTIONNAIRE FOR N
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2 CONCLUDED CASES For each conclude
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III. LEGAL FRAMEWORK AND ENFORCEMEN
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Our work is made possible by the ge
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