《联合国反腐败公约》视域下私营部门利益冲突问题研究

发布时间：2018-05-20 13:47

本文选题：《联合国反腐败公约》 + 利益冲突　；参考：《大连海事大学》2011年博士论文

【摘要】：涵盖公共领域和私营部门的利益冲突是反腐败理论和实践中的一项重要内容。“实际上,用于打击腐败的立法包括几方面的法律……调整利益冲突、保护举报者和投诉者、控制收受礼物和款待宴请、禁止那些因道德行为方面而犯罪的人把持或竞选公职并禁止他们获得官职……”利益冲突在反腐败中的基础性作用和重要意义已经在国际社会形成共识,《公约》倡导各缔约国重视利益冲突就是最好反映。利益冲突涉及公、私两个层面,本论文把私的层面即私营部门作为研究对象。透视《公约》私营部门利益冲突的形成背景,欧美等发达区域的国际组织、国家和地区较为完善,而亚非等发展中区域的国际组织、国家和地区还欠成熟。我国虽有散见于党纪国法中的类似利益冲突制度规定,但其大都指向公的层面,私的层面没有受到重视,只是个别经济法律法规中存在一些类似利益冲突性质的制度规范,且并非是在利益冲突科学理念指导下完成的,而是“一事一议”的补救式做法。应当说,直至2009年9月,我国明确提出“建立健全防止利益冲突制度”前,该制度始终尚付阙如。本文正是在这样一种国际和国内背景下,通过对《公约》私营部门利益冲突内涵及相关要素研究,对比主要国际组织、国家和地区私营部门利益冲突制度建设做法,考察我国私营部门利益冲突制度建设现状,在此基础上,对我国私营部门利益冲突制度建设进行了深入思考,并提出了建议和理由。论文由引言、正文和结论等8部分构成。第1章“引言”。主要对论文选题背景、选题意义、研究现状以及研究方法等进行了阐述,意在说明论文具有一定挑战性和创新性。第2章“《公约》利益冲突内涵及相关性”。主要对《公约》视野下的利益冲突内涵、特征、遵循原则、立法形式、价值目标和理论基础等进行了研究,特别是对新形势下的利益冲突内涵提出了笔者自己的新见解。第3章“《公约》私营部门利益冲突起源”。在利益冲突制度的整个历史发展过程中探寻私营部门利益冲突的起源,认为美国“水门事件”和日本“洛克希德商业贿赂案”标志着私营部门利益冲突制度的正式形成。第4章“《公约》私营部门利益冲突形态”。私营部门利益冲突形态是不能回避的一个重要问题,它直接关系对利益冲突的范畴界定以及规制措施。笔者从利益冲突实施手段、危害后果和参与主体等3个层面对私营部门利益冲突形态进行深入解剖,旨在说明私营部门利益冲突存在形态的多样性和复杂性。第5章“《公约》私营部门利益冲突控制措施”。《公约》对私营部门利益冲突问题予以关注开阔了利益冲突制度研究新视野。论文从私营部门与利益冲突内在联系以及控制措施等方面对《公约》私营部门利益冲突规范予以论证,同时对主要国际组织、国家和地区实践进行了考察。第6章“我国私营部门利益冲突现状”。为全面了解和清醒认识我国私营部门利益冲突建设情况,更好地与对《公约》私营部门利益冲突制度的研究成果对接并进行转化,论文从理论、实践和制度建设三个层面总结和分析了我国私营部门利益冲突发展现状。第7章“我国私营部门利益冲突制度建设思考”。从私营部门反腐败重大意义、国际公约转化为国内法、私营部门纳入我国“惩防”体系、制定覆盖公私领域的《反腐败法》、突出《反腐败法》的域外效力和完善私营部门利益冲突控制措施等6个方面进行了思考,提出了建议并阐述了理由。第8章“结论”。私营部门利益冲突制度与公共领域和公职人员利益冲突制度一样,具有其它反腐败制度不能替代的治本性功能,在“惩防”体系特别是“防”的体系中至关重要。在《公约》倡导下,在国际社会各方努力下,私营部门利益冲突会得到包括我国在内的更多国家和地区重视。
[Abstract]:The conflict of interest in anti - corruption lies in the public , private and private sectors .

The thesis consists of 8 parts , such as introduction , text and conclusion .

Chapter 1 introduces the background , the significance , the research situation and the research methods of the thesis . It is intended to illustrate the challenges and creativity of the thesis .

Chapter 2 focuses on the connotation , characteristics , compliance , legislative form , value objective and theoretical basis of conflicts of interest in the perspective of the Convention , especially the connotation of conflict of interest in the new situation .

Chapter 3 " Origin of conflict of interest in private sector " . In the course of the whole historical development of the conflict of interest , the origin of the private - sector conflict of interest is explored , and it is believed that the " Watergate Event " and the " Case of Commercial Bribery in the West " of Japan mark the formal formation of the private - sector conflict of interest .

Chapter 4 " Conflict of Interest Conflict in Private Sector " . Private - sector conflict of interest is an important issue that cannot be avoided . It is directly related to the definition of the category of conflict of interest and the regulation measures . The author deeply dissected the pattern of conflict of interest in the private sector from three aspects , such as the means of conflict of interest , the consequence of the harm and the participation subject , and it is intended to illustrate the diversity and complexity of the existence form of the conflict of interest in the private sector .

Chapter 5 discusses the conflict of interest conflict between private sector and private sector . The paper discusses the conflict of interest conflict between the private sector and interest conflict and the control measures , and also makes a study on the practice of major international organizations , countries and regions .

Chapter 6 " The present situation of private - sector conflict of interest in China " . In order to fully understand and wake up the construction of the private - sector conflict of interest in our country , and to make a better understanding of the research results of the private - sector conflict of interest in China , this paper summarizes and analyzes the present situation of the conflict of interest in the private sector in our country from three levels : theory , practice and system construction .

Chapter 7 " Thinking on the Construction of Private - sector Conflict of Interest in China " . From the great significance of the private sector , the international conventions have been translated into domestic law , the private sector is incorporated into China ' s " punishment prevention " system , and six aspects , such as the anti - corruption laws in the public - private field , the extraterritorial effect of the anti - corruption law , and the control measures of the private sector ' s conflict of interest , are put forward . The suggestions are put forward and the reasons are set forth .

Chapter 8 " Conclusion " . The private - sector conflict of interest system , like the system of conflict of interest between public and public officials , is of vital importance in a system with other anti - corruption systems that cannot be replaced by other anti - corruption systems . Under the aegis of the UNCCD , private - sector conflict of interest will receive greater attention from more countries and regions , including our country , with the efforts of the international community .
【学位授予单位】：大连海事大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D997.9

【引证文献】