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1、ProfessorTingGongProfessorTingGongDepartmentofPublicPolicyDepartmentofPublicPolicyCityUniversityofHongKongCityUniversityofHongKongCorruption and Government Integrity in Mainland China and Hong Kong廉政研究室研究情况汇报What is Corruption? “Everyone knows what corruption is; but it is difficult to define it in
2、exact terms.” - M. Halayya廉政研究室研究情况汇报Contemporarydefinitionsn nLaw-centered definitions (Nye, 1067; Ekpo, 1979)Law-centered definitions (Nye, 1067; Ekpo, 1979)n nObjective but what if legal systems are not well established?Objective but what if legal systems are not well established?n nPublic-intere
3、st-centered (Friedrich, 1966)Public-interest-centered (Friedrich, 1966)n nWhat is “public interest”?What is “public interest”?n nPublic-opinion-centered (Public-opinion-centered (Heidenheimer, 1970)Heidenheimer, 1970)n n“B“Black corruptionlack corruption” ”, , “ “grey corruptiongrey corruption” ”, ,
4、 “ “white corruptionwhite corruption” ”n nIs public opinion homogeneous?Is public opinion homogeneous?n nPersonal-gain-centered (Personal-gain-centered (Brooks, 1974; MacRae, 1982)(Brooks, 1974; MacRae, 1982)n nDoes corruption always involve personal gains? Does corruption always involve personal ga
5、ins? 廉政研究室研究情况汇报DefiningCorruptioninChinan nA narrow definition ordinary citizensA narrow definition ordinary citizensn n“abuse of public power for private “abuse of public power for private interests”interests”n nKey elements: 1) abusing public office; Key elements: 1) abusing public office; 2) rel
6、ying on legal standards2) relying on legal standardsn nA broad definition public officialsA broad definition public officialsn nbehavior that violates not only legal but behavior that violates not only legal but also moral conventionsalso moral conventions廉政研究室研究情况汇报DifficultiesinDefiningCorruptionn
7、 ndifficult to draw distinction between difficult to draw distinction between public and private“ “grey areas”public and private“ “grey areas”n nintangible, long-term, widely dispersed intangible, long-term, widely dispersed gainsgainsn nloopholes in a legal systemloopholes in a legal systemn ncultu
8、ral impactcultural impact廉政研究室研究情况汇报EightQuestionsaboutCorruption(byJakobSvensson)n nWhat is corruption?What is corruption?n nWhat are the common characteristics of countries What are the common characteristics of countries with high corruption?with high corruption?n nWhat is the magnitude of corrup
9、tion? How to What is the magnitude of corruption? How to measure it?measure it?n nDoes corruption adversely affect growth?Does corruption adversely affect growth?n nDo higher wages for bureaucrats reduce corruption?Do higher wages for bureaucrats reduce corruption?n nCan market competition reduce co
10、rruption?Can market competition reduce corruption?n nWhy have there been so few (recent) successful Why have there been so few (recent) successful attempts to fight corruption?attempts to fight corruption?n nIs corruption eradicable ?Is corruption eradicable ?廉政研究室研究情况汇报Forms and Characteristics of
11、Corruption in China 廉政研究室研究情况汇报Corruptionbyconsumptionn n“Cash corruption” - embezzling and extravagantly consuming public fundsn nOften seen in position-related consumptionn nExamplesn nLavish eating and drinkingLavish eating and drinkingn nMisuse and abuse of government vehicles Misuse and abuse o
12、f government vehicles n nSightseeing tours disguised disguised as duty Sightseeing tours disguised disguised as duty tripstrips廉政研究室研究情况汇报CapitalCorruptionn nMeaning: “unsanctioned transfers of state assets into private hands of government officialsn nDiffers from “corruption by consumption” in that
13、 itn naims at seizing production capital which will aims at seizing production capital which will bring in more moneybring in more moneyn nis a more rapacious form of encroachment on is a more rapacious form of encroachment on state property with more sophisticated tactics state property with more s
14、ophisticated tactics 廉政研究室研究情况汇报Example:Illicittransfersofstateassetsinownershipdiversificationn nIn corporate restructuring: n n lowering the value of the state assets in an lowering the value of the state assets in an asset assessment process asset assessment process n n setting higher dividend ra
15、tes for individual setting higher dividend rates for individual shares than state sharesshares than state sharesn n split individual shares only, not those owned split individual shares only, not those owned by the stateby the staten nestablishing establishing “ “shadow companiesshadow companies” ”
16、廉政研究室研究情况汇报CollectiveCorruptionn n“Collective corruption“: government officials collude with each other or with people outside the government in corruptionn nCollective corruption takes place under certain conditions:n nwhen concerned value or anticipated benefit is high;when concerned value or anti
17、cipated benefit is high;n nwhen the technical difficulty of corruption requires greater co-when the technical difficulty of corruption requires greater co-operation; and operation; and n nwhen the stake is so high that divided responsibilities among when the stake is so high that divided responsibil
18、ities among collaborators help reduce riskscollaborators help reduce risks廉政研究室研究情况汇报Cross-borderCorruptionn nTransnational corruption: cross-border Transnational corruption: cross-border collaboration of corrupt government officials with collaboration of corrupt government officials with overseas i
19、ndividuals or organizations overseas individuals or organizations n nOpportunities expanded as China becomes more Opportunities expanded as China becomes more integrated into the global economyintegrated into the global economyn nExamples: Examples: n nsmugglingsmugglingn nTransnational money launde
20、ringTransnational money launderingn nOverseas Flight of Corrupt OfficialsOverseas Flight of Corrupt Officials廉政研究室研究情况汇报Controlling Corruption: Institutional framework & policy tools廉政研究室研究情况汇报nKlitgaards formula: corruption = monopoly + discretion accountability廉政研究室研究情况汇报ControllingCorruption:thre
21、eprongedapproachn nReducing opportunities:Reducing opportunities: as authority devolves as authority devolves from upper levels, local officials become the from upper levels, local officials become the ultimate authorities in determining who gets ultimate authorities in determining who gets what, ho
22、w and when; what, how and when; n nReducing incentives:Reducing incentives: the deep involvement in the deep involvement in local business affairs place economic interests at local business affairs place economic interests at arms length of local officials arms length of local officials n nEnhancing
23、 supervision: Enhancing supervision: multiple entrustment multiple entrustment chains of power make it difficult to monitor chains of power make it difficult to monitor bureaucratic behaviorbureaucratic behavior廉政研究室研究情况汇报 Anticorruption Agenciesn nThe Central Discipline Inspection Commission of The
24、 Central Discipline Inspection Commission of the CCP and its local branchesthe CCP and its local branchesn nThe Supervision MinistryThe Supervision Ministryn nAnti-corruption Bureau of the Anti-corruption Bureau of the Peoples ProcuratoratePeoples Procuratoraten nThe National Bureau of Corruption Pr
25、evention The National Bureau of Corruption Prevention 廉政研究室研究情况汇报Number of Official Regulations Enacted Each Year, 1979-200917廉政研究室研究情况汇报n nRoughly173regulatoryprovisionshavebeenRoughly173regulatoryprovisionshavebeenadoptedinthepastthreedecades;morethanhalfadoptedinthepastthreedecades;morethanhalfwe
26、remadeinthelastdecadealone.weremadeinthelastdecadealone.1980-1989281990-1999552000-20109018廉政研究室研究情况汇报Integrity regulations include -n nProvisionsagainstbribery,illegalgratuities,andimpropergainsn nProvisionsonthedisclosureofinformationaboutconflictsofinterestn nProvisionssettingforthspecificprocedu
27、resfordealingwithconflictofinterestsituationsn nProvisionsspecifyingaccountabilitymechanismsandpenaltiestoensurecompliance19廉政研究室研究情况汇报Twochallengesn nHowtoimplementtherulesmoreeffectively?n nHowtoengagethepublicandenhancedownwardaccountability?20廉政研究室研究情况汇报Hong Kongs Successful Experience廉政研究室研究情况汇
28、报qqHongKongisregardedasoneofthecleanestHongKongisregardedasoneofthecleanestsocietiesintheworld,ranked14societiesintheworld,ranked14ththbyTIsCPIbyTIsCPIamong182countriesin2012among182countriesin2012qqHongKongsICACistakenasamodelofaHongKongsICACistakenasamodelofapowerfulandindependentanticorruptionpow
29、erfulandindependentanticorruptionagencyagencyHong Kongs success22廉政研究室研究情况汇报Rampantcorruptionasawayoflife,notjustafactoflife- -PolicecorruptionPolicecorruption- -“ “RentseekingRentseeking” ”throughpublicservices(firethroughpublicservices(firecontrol,inspection,publichospitals,control,inspection,publ
30、ichospitals,immigrationoffice,etc.)immigrationoffice,etc.)- -Othersocialproblems:mafia,gambling,etc.Othersocialproblems:mafia,gambling,etc.The Old Days (1960s-1970s)23廉政研究室研究情况汇报n nPeter Fitzroy Peter Fitzroy GodberGodberwasaformerwasaformerChiefSuperintendentChiefSuperintendentoftheHongKongoftheHon
31、gKongPolice.HeengagedinaPolice.HeengagedinabriberyscandalshortlybriberyscandalshortlyandthenfledtotheandthenfledtotheUK.HewasextraditedUK.HewasextraditedbacktoHongKongandbacktoHongKongandsubsequentlyconvictedsubsequentlyconvictedforcorruption.forcorruption.24廉政研究室研究情况汇报 Established in 1974Establishe
32、d in 1974 Independent answerable to Chief ExecutiveIndependent answerable to Chief Executive 3 Pronged Strategy3 Pronged Strategy Enforcement Operations DepartmentEnforcement Operations Department Prevention Corruption Prevention DepartmentPrevention Corruption Prevention Department Education Commun
33、ity Relations DepartmentEducation Community Relations DepartmentIndependent Commission Against Corruption in Hong Kong25廉政研究室研究情况汇报Zero tolerance for corruption26廉政研究室研究情况汇报Are you willing to report?2008200920102011yes81.3%75.3%75.9%77.2%no6.2%8.1%5.3%4.7%depends12.4%13.5%15.9%15.5%Dontknow0.1%3.1%2
34、.9%2.6%Willingness to report suspected corruption27廉政研究室研究情况汇报The power of the ICACl lRight of arrest Right of arrest l lRight of investigation Right of investigation l lRight of search Right of search l lRight of getting information on propertyRight of getting information on propertyl lRight of inv
35、estigating unexplained property Right of investigating unexplained property 28廉政研究室研究情况汇报1.1.Marketeconomy2.2.Judicialindependence3.3.Freedomofspeech4.4.Civilservice(effectiveandefficient)5.5.RuleoflawInstitutional Building against Corruption29廉政研究室研究情况汇报CPI-TI959697989900010203040506070809101112Sin
36、gapore9.19.19.19.29.39.49.39.49.49.39.29.29.39.28.7379776455555443155HongKong7.87.77.77.98.28.08.08.38.38.38.18.28.48.47.7171818161515141414161515141212131214Japan5.86.06.47.17.17.06.97.37.67.57.37.77.88.07.4201721252523212021242117171817171417Taiwan5.35.65.55.95.65.75.65.95.95.75.75.65.86.16.1252931292828272930353234343937333237S.Korea4.23.84.04.24.54.34.45.05.15.15.65.55.45.45.6272734435048424050474042434039394345China3.53.43.13.53.53.43.43.23.33.53.63.63.53.63.9525863575966717870727279787580Total8599909110213314615916318018018017818217630廉政研究室研究情况汇报
