THE WASHINGTON COLLEGE OF LAW
SYLLABUS FOR
INTERNATIONAL ANTI-CORRUPTION LAW
FOR BUSINESS, FINANCE & DEVELOPMENT
LAW-7950-001, 2 CREDIT HOURS
PROFESSOR: NANCY Z. BOSWELL
CONTACT INFORMATION: boswell@american.edu (preferred method of contact)
OFFICE HOURS: By appointment. Students are encouraged to contact me by email or before/after
class.
CLASS SCHEDULE: Tuesdays, starting August 21, 2012, from 4:00 pm – 5:50 pm.
COURSE DESCRIPTION:
International anti-corruption law has evolved significantly in recent years with profound implications
for governments, the private sector, non-profits and development assistance communities and for
lawyers advising them. This course will discuss international anticorruption conventions
criminalizing transnational bribery and enhancing public sector transparency, integrity and
accountability and their enforcement. It will also discuss private sector compliance, development
assistance governance and sanctions programs and multilateral and multi-stakeholder transparency
initiatives.
It will emphasize information and issues of concern to contemporary practitioners and feature
speakers from the US government, multilateral organizations and the private and non-profit sectors.
PREREQUISITES:
This is an upper level seminar open to JD students who have taken international law and basic
criminal law courses.
EVALUATION/GRADING:
Evaluation/grading will be based on class attendance and participation in discussions of required
reading (25%), a substantial research paper of 20-25 pages (65%) and a presentation on the paper’s
key findings (10%). Students are strongly encouraged to meet with me early in the semester to
discuss potential research topics.
COURSE MATERIALS:
Course materials are varied, drawing on legal agreements, cases, academic texts, legislation, policy
papers, law review articles and other widely consulted reference materials. Required reading is
specified for each class; you will be notified through MyWCL of any changes.
TEXTBOOKS:
S. Rose Ackerman, Corruption and Government
E. Campos, G. Ware, Ed.: The Many Faces of Corruption
All other required reading is available online, as indicated. Where links are problematic, a web
search using the document title, particularly on the site of the publication source, should help locate
the document. Please contact me if you encounter difficulties.
READING ASSIGNMENTS:
CLASS 1 –
ECONOMIC, SOCIAL AND POLITICAL CONSEQUENCES OF CORRUPTION (8/21)
Readings:
S. Rose-Ackerman, Corruption & Government: Causes, Consequences & Reform, pgs.
1-38
D. Kaufmann, C. Gray, “Corruption and Development,” (Finance & Development,
March 1998)
http://siteresources.worldbank.org/INTWBIGOVANTCOR/Resources/gray.pdf
TI Global Corruption Report 2006 - Corruption in the Health Sector (Read Corruption
in Kenya’s National AIDS Control Council, pgs. 112-115 and skim other articles)
http://www.transparency.org/research/gcr/gcr_health
-
TI Corruption Perceptions Index http://cpi.transparency.org/cpi2011/results
CLASS 2 –
CORRUPTION AT THE NEXUS OF PUBLIC & PRIVATE SECTORS: PROCUREMENT
GUEST LECTURE: STEVEN SHAW, FORMER DEPUTY GENERAL COUNSEL (CONTRACTOR
RESPONSIBILITY, DEPARTMENT OF THE AIR FORCE (8/28)
Readings:
E. Campos, G. Ware, Ed.: The Many Faces of Corruption, (pgs 295-334)
World Bank, “Corruption Warning Signs: Is Your Project at Risk”
http://siteresources.worldbank.org/INTFIDFOR/Resources/46591861204641017785/2ProjectAtRisk.pdf
Federal Acquisition Regulation: Debarment, Suspension and Ineligibility, Sub-part 9.4,
https://www.acquisition.gov/far/current/html/Subpart%209_4.html
US v. Siemens Bangladesh Limited, Statement of Offense, US District Court for the
District of Columbia,
http://www.justice.gov/opa/documents/siemens-bangladesh-stmt.pdf
World Bank Detailed Implementation Review – India Health Sector, (pgs. 10-20)
http://siteresources.worldbank.org/EXTDOII/Resources/WB250_Web_Vol1_012408.
pdf
CLASS 3 – US FOREIGN BRIBERY LAW: FOREIGN CORRUPT PRACTICES ACT (9/4)
FCPA history, anti-bribery and books and records provisions; jurisdiction; scope;
intermediaries & supply chain; sanctions; extra-judicial settlements.
Readings:
- The Foreign Corrupt Practices Act and Lay Persons Guide, links at
http://www.justice.gov/criminal/fraud/fcpa/
- FCPA Record Keeping Provisions, http://www.sec.gov/spotlight/fcpa/fcparecordkeeping.pdf
- US v. Siemens Aktiengesellschaft, Department of Justice Statement of Offense
http://www.justice.gov/opa/documents/siemens-ag-stmt-offense.pdf and Sentencing
Memorandum, 12/12/08, http://www.justice.gov/opa/documents/siemens-sentencingmemo.pdf
- Siemens AG Litigation Release No. 20829
http://www.sec.gov/litigation/litreleases/2008/lr20829.htm
- Faro Technologies- Non-prosecution agreement letter
http://www.justice.gov/criminal/fraud/fcpa/cases/faro-tech-inc/06-03-08faro-agree.pdf
-
US v. DePuy, Inc., Deferred Prosecution Agreement, Department of Justice Deferred
Prosecution Agreement, January 14, 2012
http://www.justice.gov/criminal/fraud/fcpa/cases/depuy-inc/04-08-11depuydpa.pdf
Optional:
SEC v Alcatel-Lucent, S.A., US District Court for the Southern District of Florida,
Complaint, pgs 15-19 Taiwan and Malaysia
http://www.sec.gov/litigation/complaints/2010/comp21795.pdf
“Former Chairman and CEO of Kellogg, Brown & Root Inc. Sentenced to 30 Months in
Prison for Foreign Bribery and Kickback Schemes,”
http://www.justice.gov/opa/pr/2012/February/12-crm-249.html
CLASS 4 –
US LAW: A PROSECUTOR’S PERSPECTIVE ON THE FCPA & EMERGING ISSUES
(Guest Lecture: Mark Mendelsohn, Former Department of Justice Criminal Division
Fraud Section Deputy Chief) (9/11)
Investigations, negotiations, sanctions, voluntary disclosure, monitors, whistleblower
rules, FCPA reform.
Readings:
- An Overview of the Federal Sentencing Guidelines,
http://www.ussc.gov/About_the_Commission/Overview_of_the_USSC/Overview_Fe
deral_Sentencing_Guidelines.pdf
- Statement of Greg Andres, Acting Deputy Assistant Attorney General, Criminal
Division, June 14, 2011 http://www.justice.gov/ola/testimony/112-1/06-14-11-crmandres-testimony-re-foreign-corrupt-practices-act.pdf
- US v. Kellogg, Brown & Root, Plea Agreement, February 11, 2009,
http://www.justice.gov/criminal/fraud/fcpa/cases/kelloggb/02-11-09kbr-pleaagree.pdf
- Alcatel-Lucent Costa Rica Settlement, http://star.worldbank.org/corruptioncases/node/18453
- US v. Siemens Aktiengesellschaft, Department of Justice Statement of Offense, Annex
2 on Monitorship, http://www.justice.gov/opa/documents/siemens-ag-stmtoffense.pdf
Institute for Legal Reform, February 21, 2012 Letter to Justice Department Re
“Guidance Concerning the FCPA”
http://www.instituteforlegalreform.com/doc/letter-to-the-doj-and-sec-regardingforthcoming-guidance-on-the-foreign-corrupt-practices-act
M. Hudson, D. Danielsen, “Busting Bribery,” (Open Society Foundations) September
2011, http://accountabilityroundtable.org/wp-content/uploads/2011/09/BustingBribery2011September.pdf
Optional:
“SEC Adopts Rules to Establish Whistleblower Program,” SEC Press Release, May 25,
2011, http://www.sec.gov/news/press/2011/2011-116.htm
Asadi v. GE Energy (USA), LLC, US District Court, S.D. Texas, Houston Division, June
28, 2012,
http://www.leagle.com/xmlResult.aspx?page=5&xmldoc=In%20FDCO%2020120628E
20.xml&docbase=CSLWAR3-2007-CURR&SizeDisp=7
-
-
CLASS 5 –
“Whistleblower Provisions What Others Are Saying”
http://fcpaprofessor.blogspot.com/2010/07/whistleblower-provisions-whatothers.html
J. Warin, M. Diamant, V. Root, “Somebody’s Watching Me: FCPA Monitorships and
How They Can Work Better” http://www.gibsondunn.com
FOREIGN LAW ON TRANSNATIONAL BRIBERY (9/18)
(Guest Lecture: Kathryn Nickerson, Senior Counsel, Office of the Chief Counsel for
International Commerce, U.S. Department of Commerce)
OECD and other Convention transnational and commercial bribery prohibitions, peer
review monitoring and illustrative country review findings and cases.
Readings:
- OECD Convention on Combating Bribery of Foreign Public Officials in International Business
Transactions and Related Documents, www.oecd.org
- The UK Bribery Act of 2010, http://www.fco.gov.uk/en/global-issues/conflictminerals/legally-binding-process/uk-bribery-act
- OECD Phase 3 Report on Implementing the OECD Anti-Bribery Convention in the
United Kingdom, March 2012, Executive Summary.
http://www.oecd.org/dataoecd/52/19/50026751.pdf
- OECD Phase 1 Report on Implementing the OECD Anti-Bribery Convention in the
Russian Federation, pgs. 3-4 and 33-34.
http://www.oecd.org/dataoecd/52/19/50026751.pdf
- OECD Working Group on Bribery Annual Report 2011, (pgs. 14-17, select among
Phase 3 Monitoring Reports at pgs. 51-68, and 24-29.)
http://www.oecd.org/dataoecd/45/0/50670546.pdf
CLASS 6 -
PRIVATE SECTOR PROGRAMS & PRACTICE (9/25)
US and evolving international norms of voluntary compliance practice.
Readings:
[Department of Justice Guidance; publication expected shortly]
US Sentencing Commission Organizational Guidelines, Effective Compliance and
Ethics Programs:8B2.1 and Reason for 2010 Amendment to Ch. 8
http://www.ussc.gov/Education_and_Training/Guidelines_Educational_Materials/Or
ganizational_Guidelines.cfm
“Former Morgan Stanley Managing Director Pleads Guilty for Role in Evading Internal
Controls Required by FCPA,” April 25, 2012,
http://www.justice.gov/opa/pr/2012/April/12-crm-534.html
OECD Good Practice Guidance on Internal Controls, Ethics and Compliance,
www.oecd.org
The Bribery Act 2010: Guidance about commercial organizations preventing bribery,
www.justice.gov.uk/legislation/bribery
Optional:
-
Opinion Procedure Release No:08-02, June 13, 2008,
http://www.justice.gov/criminal/fraud/fcpa/opinion/2008/0802.pdf
-
CLASS 7 -
Fighting Corruption, International Corporate Integrity Handbook, ICC (Handout:
Chapter 6)
UN Global Compact Reporting Guidance on the 10th Principle Against Corruption,
www.unglobalcompact.org
Heineman: High Performance with High Integrity (Handout: pgs. 9-24)
PUBLIC SECTOR CORRUPTION: ANTI-CORRUPTION CONVENTIONS (10/2)
UNCAC and other convention provisions; peer review monitoring and illustrative country
reviews
Readings:
- Council of Europe Criminal Law Convention on Corruption and Explanatory Note,
GRECO, http://conventions.coe.int/Treaty/en/Treaties/html/173.htm
- United Nations Convention Against Corruption, Chapters I-V,
www.unodc.org/unodc/en/treaties/CAC
- GRECO Evaluation Report on Georgia Incriminations, Third Evaluation Round, May
2011, Analysis and Conclusions pgs. 20-29
http://www.coe.int/t/dghl/monitoring/greco/evaluations/round3/GrecoEval3(2010)
12_Georgia_One_EN.pdf
- Federative Republic of Brazil, Final Report, Mechanism for Follow-Up on the
Implementation of the Inter-American Convention Against Corruption, December
2008 (Second Round Conclusions & Recommendations, pgs 42-57,
http://www.oas.org/juridico/english/mesicic_II_inf_bra_en.pdf
Reference:
UN Convention Against Corruption & Technical Guide to the UNCAC
http://www.unodc.org/documents/corruption/Technical_Guide_UNCAC.pdf
CLASS 8-
PUBLIC SECTOR CORRUPTION: G-20, TRADE & INVESTMENT AGENDA (10/9)
Expanding adherence through trade agreements, multilateral arrangements and
bilateral ‘dialogues’
Readings:
- G20 Anti-Corruption Action Plan, www.g8.utoronto.ca/g20/2010/g20seoulanticorruption.pdf
- B20 Task Force Recommendations: Concrete Actions for Los Cabos,
http://b20.org/documentos/B20-Task-Force-Recommendations.pdf
- APEC Transparency Standards & Implementation, www.apec.org
- Free Trade Agreements: Matrix of transparency & anti-corruption provisions
(Handout)
- 2012 U.S. Model Bilateral Investment Treaty, Articles 10, 11
http://www.ustr.gov/sites/default/files/BIT%20text%20for%20ACIEP%20Meeting.pdf
Optional:
- Deauville Partnership: Action Plan on Governance & AntiCorruption
- APEC Procurement Transparency Standards in Indonesia, TI-USA, CIPE, TI-Indonesia,
www.transparency-usa.org
CLASS 9-
Ala'I, Padideh. “The WTO and the Anti-Corruption Movement.” Loyola University
Chicago International Law Review 6, no. 1 (2008-2009): 259-278.
National Trade Estimate Report on Foreign Trade Barriers.
DEVELOPMENT ASSISTANCE AGENCIES FIGHTING CORRUPTION (10/16)
GUEST LECTURE: STEVEN ZIMMERMANN, DIRECTOR OF OPERATIONS, WORLD BANK INTEGRITY
VICE PRESIDENCY
Examples from World Bank, Millennium Challenge Corporation, The Global Fund, OECD
Readings:
- INT Annual Report, Fiscal 2011, World Bank Integrity Unit & Debarment,
www.siteresources.worldbank.org
- “New World Bank Chief Backs Defunding Bangladesh Bridge Project, “ Inter-Press
Service, July 3, 2012, http://www.ipsnews.net/2012/07/new-world-bank-chief-backsdefunding-bangladesh-bridge-project/
Millennium Challenge Corporation, www.mcc.gov/pages/activities/activity/fightingcorruption
Final Investigation Report of Sub-recipient PMUK-Bangladesh, (investigative analysis
sections), The Global Fund, July 5, 2012,
http://www.theglobalfund.org/en/oig/reports/
Optional:
- Preventing Corruption in Humanitarian Operations, Transparency
International, www.transparency.org
- CleanBizGov Toolkit for Integrity www.oecd.org/dataoecd
CLASS 10:
THE ROLE OF FINANCIAL INSTITUTIONS & GATEKEEPERS (10/23)
Money laundering and corruption, bank secrecy, offshore havens, beneficial
ownership, legal professional responsibility
Readings:
- Corruption: A Reference Guide and Information Note on the use of the FATF
Recommendations to support the fight against corruption, www.fatf-gafi.org
- Laundering the Proceeds of Corruption, FATF Report, July 2011, www.fatf-gafi.org,
pgs. 16-34.
Keeping Foreign Corruption Out of the United States: Four Case Histories, US Senate
Permanent Sub-Committee on Investigations, pgs 1-14, February 4, 2010
www.hsgac.senate.gov/subcommittees/investigations
- “How Delaware Thrives as a Corporate Tax Haven,” Leslie Wayne, New York Times,
June 30, 2012 http://www.nytimes.com/2012/07/01/business/how-delawarethrives-as-a-corporate-tax-haven.html?pagewanted=all
- “Risks and threats of corruption and the legal profession Survey 2010,” IBA, OECD,
UNODC, pdf available at http://www.anticorruptionstrategy.org/
Optional:
“France Issues Arrest Warrant for Obiang”, S. Rubenfeld, Wall Street Journal, July 13,
2012 http://blogs.wsj.com/corruption-currents/2012/07/13/france-issues-arrest-
warrant-for-obiang/?mod=google_news_blog
“Amended Complaint in Obiang Case Details Alleged Corruption”, S. Rubenfeld, Wall
Street Journal, June 13, 2012, http://blogs.wsj.com/corruptioncurrents/2012/06/13/amended-complaint-in-obiang-case-details-alleged-corruption/
T. S. Greenberg, Politically Exposed Persons: A Guide to Preventive Measures for the
Banking Sector, The World Bank
-
-
CLASS 11 -
INDUSTRY SECTOR INITIATIVES (10/30)
Readings:
E. Campos, G. Ware, Ed.: The Many Faces of Corruption, Corruption in the Petroleum
Sector, pgs. 191-220)
“Anti-bribery and corruption systems and controls in investment banks” Financial
Services Authority, March 2012, http://www.fsa.gov.uk/static/pubs/other/antibribery-investment-banks.pdf
The Wolfsberg Group 2011 Anti-Corruption Guidance
www.wolfsberg-principles.com
Annotated Water Integrity Scans - Manual, www.waterintegritynetwork.net
CLASS 12 -
CORRUPTION & POLITICS (11/6)
Political finance and corruption, disclosure, lobbying and trading in influence
-
-
Citizens United v. Federal Election Commission, Brief Amicus Curiae of Campaign
Legal Center, et al, No.08-205,
http://www.fec.gov/law/litigation/citizens_united_sc_08_bsac_clc.pdf
After Citizens United: Improving Accountability in Political Finance, Committee for
Economic Development, 2011.
Y-M Doublet, Fighting Corruption, Political Funding, GRECO,2012, excerpts to be
determined
Third Evaluation Round Evaluation Report on the USA Transparency of Political
Funding, excerpts to be determined,
http://www.coe.int/t/dghl/monitoring/greco/general/DOUBLET_EN.pdfhttp://www.
coe.int/t/dghl/monitoring/greco/evaluations/round3/GrecoEval3(2011)2_USA_Two_
EN.pdf
CLASS 13 & 14 – PRESENTATIONS OF PAPERS (11/13 & 20)