【作者】 刘忠；

【导师】 沈四宝；

【作者基本信息】 大连海事大学 ， 国际法学， 2011， 博士

【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。更多还原

【Abstract】 Including public area and private sector, conflict of interest is an important content of anti-corruption theory and practice. "In fact, there are lots of law used to fight corruption from the angle of legislation,...adjust conflict of interest, protect whistleblowers and complainers, control accepting gifts and entertainment, people who have sinned because of ethical behaviors are prohibited control or run for public office and obtain official...".There has been a consensus about the basic role and the significance of conflict of interest in international community. The Convention advocates each member to put more emphasis on conflict of interest what is best reflection. Conflict of interest involves two aspects, public area and private sector, private sector as the research object by this paper. Go into the background of conflict of interest for private sector, Europe and American and other developed countries and regions are more perfectly than Asia and Africa and other developing countries and regions. Although, there are specific provisions which are similar with conflict of interest scattered among party discipline and nation law, but most of its point to public area, the private sector has been iguored, just some institutions which is similar with conflicts of interest exist in individual economic laws and regulations, but not system engineering under guidance of conflict of interest, but is a remedial type practices. Until 2009 September, China has clearly stated to establish and to improve regulations of conflict of interest. the system has still sadly lacking.This dissertation is in such a international and domestic background, through the study on relevant elements and meaning of conflict of interet,contrast achievement of regulations of conflict of interest of major international orgazinations and nations and regions for private sector, investigates the current situation of regulation construction of conflict of interest for private sector, count on this basis, put forward the idea and reasons of regulation constrcture syetem about our country’s conflict of interest for private sector.This dissertation consists of eight chapters, includes introduction, body and conclusion.Chapter one, "introduction".It mainly presents the background of the topic, the significance of the topic, current research results and researce methods. Chapter two, "study on meaning of congflict of interest and relevant elements about convention". Under the new situation of continuous development of anti-corruption in international community, meaning of conflict of interest should be questioned and challenged, emphasis of this chapter include meaning of conflict of interest, characteristic, principle, legislation, value target and theoretical basis. Particularly, author puts forward unique view of meaning of conflict of interest under the new situation.Chapter three, "origin of conflict of interest for private sector". The author observes the origin of conflict of interest for private sector throughout the historical development of conflict of interest. American "watergate" and Japan "lockheed commercial bribery" mark the form of institutionalization of conflict of interest for private.Chapter four, "study on existing state of conflict of interest for private sector" Existing state of conflict of interest for private sector is an important issue which can not be avoided. It is directly related to the definition of the scope of conflict of interest and countermeasures.This chapter deeply analyses existence condition from means of implementation of conflict of interest,consequences and participators, purpose is to describe the diversity and complexity of existing state of conflict of interest for private sector.Chapter five, "control measures for conflict of interest of private sector". The Convention open new field of conflict of interest for its care to conflict of interest of private sector.Author demonstrates it from the internal relations of conflict of interest with private sector as well as control measures, meanwhile, have a survey of major international organizations’s, nations as well as regions’s practice.Chapter six, "China’s status quo of conflict of interest for private sector" In order to clearly understand and know our country’s development status quo about conflict of interest for private sector, Better draw to the research achievements about the conflict of interest for private sector on convention, From the theory, practice and system construction, author summarizes and analyzes China’s development status quo of practice and system about conflict of interest for private sector.Chapter seven, "thinking of our country’s system construction of conflict of interest for private sector". In this chapter, base on the research achievements of the convention about conflict of interest for private sector, There is a thinking to China’s system construction of conflict of interest for private sector from six aspects that is the great significance of private sector anti-corruption, take international convention convert into domestic law, the private sector anti-corruption into the system of punisment and prevention, making an independent Against Corruption Law which cover public area and private sector, highlight the extra-territorial effect of Against Corruption Law, constantly perfect the control measures of conflict of interest for private sector.Chapter eight, "conclusion". No doubt, the private sector and public area and public officials are the same, the regulations of conflict of interest is a syetem construction which is fundamental, can not be replaced by other anti-corruption regulations. Author believes, under the convention’s initiative, with all efforts of the international community, system construction of conflict of interest will be paid much attention by developing countries and regions, including China.更多还原