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通用电气、西门子等外企如何卷入中国医疗行业腐败
Bribes and Backdoor Deals Help Foreign Firms Sell to China’s Hospitals

来源:纽约时报    2019-06-18 04:28



        BEIJING — A trip to the sauna. A golf club membership. Luxury watches. Neatly packed bricks of red Chinese bills worth $220,000.        北京——洗桑拿。高尔夫俱乐部会员。奢侈手表。总额达150万元人民币、一捆捆摆放整齐的红色钞票。
        The bribes lined the pockets of health care officials across China. Their purpose: to get public hospitals to buy millions of dollars’ worth of sophisticated medical equipment made by foreign companies like General Electric, Siemens, Philips and Toshiba.        这些贿赂让中国各地的医院官员中饱私囊。贿赂的目的是让公立医院购买由通用电气(General Electric,简称GE)、西门子(Siemens)、飞利浦(Philips)和东芝(Toshiba)等外国公司制造的售价数百万美元的先进医疗设备。
        A review of dozens of Chinese court cases and internal corporate documents as well as interviews with company insiders showed how foreign firms have become deeply enmeshed in the corruption pervading China’s health care industry. The New York Times reviewed more than a dozen cases in which employees of G.E., Philips and Siemens testified to bribing meagerly paid public hospital officials. In many other cases, Western companies signed off on deals involving third-party contractors who paid bribes and sought kickbacks. Sometimes, the companies continued to sign off on deals involving contractors who admitted to bribery in court.        对数十起中国法院案件和企业内部文件的查阅,以及对企业内部人士的采访,都显示出外国企业已经怎样深深地陷入了中国医疗行业普遍存在的腐败之中。在《纽约时报》查阅的十几个案件中,GE、飞利浦和西门子的员工向法院提供了对工资微薄的公立医院官员行贿的证词。在许多其他案件中,西方公司签字认可了涉及第三方代理的交易,这些代表支付了贿赂款和索取的回扣。有时,这些西方公司继续签字认可涉及已在法庭上承认了行贿的代理的交易。
        In one case filed in 2016, a hospital administrator named Wu Dagong was offered more than a $1 million by two G.E. sales representatives to secure the sale of a CT scanner for $4 million. Mr. Wu also took a bribe — the $220,000 in bricks of bills packed in a suitcase — from a G.E. sales contractor, who walked with Mr. Wu to his car and left the suitcase in the trunk. Mr. Wu was sentenced to 15 years.        在法院2016年的一起案件中,为将一台CT扫描机以2700多万人民币的价格卖给一家医院,GE的两名销售代表向该医院管理人员吴大公提供了超过600万人民币的贿赂。他还接受了一名GE销售代理的贿赂——总额150万元人民币、装在手提箱里的成捆钞票,这名代理陪吴大公走到他的车旁,把手提箱放进后备箱。吴大公被判处15年有期徒刑。
        Siemens, G.E., Philips and others say hospitals often force them to sell through a series of middlemen, where much of the bribery takes place. They said they comply with Chinese and international laws and terminate employees and contractors who they find out are directly involved with wrongdoing.        西门子、GE、飞利浦等公司说,医院经常强迫公司通过一系列中间商进行销售,大部分行贿是通过这些中间商发生的。这些西方企业表示,它们遵守中国和国际法律,发现员工或代理有直接不法行为后,会将他们解雇。
        “We are committed to integrity, compliance and the rule of law in every country in which we do business,” said Tara DiJulio, a G.E. spokeswoman.        “我们在每个我们有业务的国家致力于诚信、合规和法治,”GE发言人塔拉·迪胡里奥(Tara DiJulio)说。
        China’s nearly 1.4 billion people ultimately bear the cost of the corruption. Salespeople inflated prices for equipment to fund bribes and kickbacks, the Chinese court documents show. They also refused to undercut one another’s pricing, the documents showed, inflating prices for hospitals by 50 percent or even more.        最终承担这些腐败代价的是近14亿中国人。中国法院的文件显示,为了支付贿赂和回扣,销售人员故意提高医疗设备的定价。文件显示,他们还拒绝削价竞争,导致医院为设备支付的价格高出50%,甚至更多。
        As China grew richer, its people began to yearn for sophisticated smartphones, fresher food and better health care, creating vast business opportunities for Western companies. But China’s growth often outstripped its ability to identify corruption or enforce its own laws. In some industries, like health care, that has created a culture of bribery and corruption.        随着中国日益富裕起来,中国人开始渴求先进的智能手机、更新鲜的食品,以及更好的医疗保健,这为西方企业创造了巨大的商机。但中国的经济增长速度往往超出了政府发现腐败或执行本国法律的能力。在一些行业,比如医疗保健,这已经创造出一种行贿和腐败的文化。
        China is expanding its social safety net and faces pressure to treat an aging population growing increasingly susceptible to chronic diseases. China will spend $1 trillion on health care annually by 2020, according to a McKinsey report.        中国正在扩大自己的社会保障系统,并面临着为越来越易患慢性疾病的老年人口提供治疗的压力。据麦肯锡(McKinsey)的一份报告,到2020年,中国每年花在医疗保健上的钱将达到1万亿美元。
        Foreign companies like G.E. and Siemens dominate the market for CT scanners, M.R.I.s and other equipment China needs to detect cancer and other chronic diseases, though local rivals are catching up. Last year, China imported more than $22 billion worth of medical devices.        为了检测癌症和其他慢性疾病,中国需要CT机、核磁共振扫描仪等各种设备,GE和西门子等外国公司主导着这个市场,尽管中国本土的竞争对手也正在追赶上来。去年,中国进口了总值超过220亿美元的医疗设备。
        “Corruption is endemic in the health care sector in China,” said Yanzhong Huang, a senior fellow for global health at the Council on Foreign Relations. He said one factor was lower salaries for doctors and health care administrators compared with peers in the private sector.        “腐败在中国的医疗保健行业非常普遍,”美国外交关系协会全球健康高级研究员黄严忠说。他表示,一个原因是,与私营部门的同龄人相比,医生和卫生保健管理人员的工资过低。
        “The direct result,” Mr. Huang added, “is that the patients will pay more.”        “直接后果是,病人要掏更多的钱,”黄严忠补充说。
        Officials in China and elsewhere have tried for years to stamp it out. Siemens promised in 2008 to scrutinize deals for graft, including sales of medical equipment in China. Chinese officials five years ago ordered GlaxoSmithKline, the British drug maker, to pay nearly $500 million for bribing doctors and hospitals.        多年来,中国和其他国家的官员一直在试图消除腐败。西门子曾在2008年承诺,将严查包括在华销售医疗设备在内的行贿交易。五年前,英国制药公司葛兰素史克(GlaxoSmithKline)因贿赂医生和医院被中国官员罚款30亿元人民币。
        Then, last year, an investigation by the German newspaper Suddeutsche Zeitung highlighted dozens of recent Chinese cases in which Siemens employees and sales representatives were accused of bribery. In its own review of court cases involving Siemens, Philips, G.E. and Toshiba, The Times found that one or more layers of middlemen often worked with hospital directors to set prices that included bribes and kickbacks. A review of more than a dozen recent deals from Siemens and G.E. shows that the price was at least 50 percent higher or even double when they involved a third-party distributor, according to hospital and corporate documents.        去年,德国报纸《南德意志报》(Suddeutsche Zeitung)的一项调查凸显出中国最近发生的数十起西门子员工和销售代表被控行贿的案件。时报记者在查阅涉及西门子、飞利浦、GE和东芝的法庭案件时看到,往往是一层或多层的中间商与医院主管一起给医疗设备定价,把贿赂和回扣包括在内。查阅西门子和GE最近的十几笔交易可看出,有第三方销售代表参与时,据医院和企业的文件显示,设备价格会高出至少50%,甚至100%。
        “Layering a distributor or vendor in between creates more space and creates the possibility for those vehicles to harbor slush funds or falsify documents along the way and funnel bribes,” said Wade Weems, a former United States prosecutor and lawyer for Kobre & Kim, a law firm.        “中间添加的每层经销商或供应商都给加价创造了更多的空间,也为这些中间商在交易过程中行贿创造了隐藏非法基金或伪造文件的可能性,”美国前检察官韦德·韦姆斯(Wade Weems)说,他现在是高博金律师事务所(Kobre & Kim)的律师。
        In the cases reviewed by The Times, the Western companies were not accused of wrongdoing, as prosecutors kept their focus on corruption by Chinese officials.        在时报查阅的这些案件中,西方公司未被指控犯有不当行为,因为检察官的注意力集中在中国官员的腐败上。
        In one case, a Siemens sales representative testified in 2016 to paying nearly $900,000 to a hospital director in the city of Qinzhou to secure the sale of a Siemens M.R.I. machine. The Siemens representative, named only Jin in court documents, shoved stacks of cash into boxes and delivered them to the trunk of the car of the hospital director, Chen Fengkun. Mr. Chen was sentenced to 15 years in prison. Mr. Jin got three years.        在一个案子里,西门子的一名销售代表在2016年作证称,为确保医院购买西门子的核磁共振成像仪,他向广西钦州一家医院的院长支付了高达600万元人民币的现金。法庭文件中只给出这名西门子代表姓金,他把成捆的现金装在纸箱子里,送到医院院长陈凤坤的汽车上。陈凤坤被判处15年有期徒刑。金某被判处3年有期徒刑。
        The case was covered in detail in a state-owned newspaper called The Legal Evening News, which pointed to 19 other bribery cases involving Siemens employees or contractors from 2014 to 2015.        官方报纸《法制晚报》对此案进行了详细报道。报道指出,在2014至2015年间宣判的案件中,就有19起涉及西门子员工或代理商行贿的问题。
        In another case from 2016, Gao Xuezhong, the president of a hospital in Anhui Province, was convicted of taking bribes from a Siemens sales contractor and from a Siemens sales manager named in court as Mr. An. The bribes included cash as well as homes for Mr. Gao’s wife and for his daughter. At one point, Mr. Gao and Mr. An marked up the price of a $1.3 million M.R.I. machine to $1.7 million. They and intermediaries pocketed the difference.        在2016年审理的另一起案件中,安徽省一家医院院长高学中被判收受了一名西门子销售和一代理名西门子销售经理的贿赂,法庭只给出这名销售经理姓安。这些贿赂包括现金以及高先生妻子和女儿名下的房产。高学中和安某曾将一台核磁共振成像仪的售价从900万人民币提高到1100多万人民币。他们和中间商私分了差额。
        Mr. Gao was sentenced to 11 years in prison. Mr. An’s name appeared in another bribery case around the same time.        高学中被判处11年监禁。大约在同一时间,安某出现在另一起贿赂案中。
        Stefan Schmidt, a spokesman for Siemens Healthineers, the health division of Siemens, said that it opened an investigation into Mr. An but that he refused to cooperate and resigned.        西门子旗下的西门子医疗系统有限公司(Siemens Healthineers)发言人斯特凡·施密特(Stefan Schmidt)说,公司开启了对安先生的调查,但他拒绝配合,辞职离去。
        Siemens trains and monitors its third-party sales representatives, Mr. Schmidt said. “Whenever we identify misconduct on the part of distributors,” he said, “we end our relationship with them.”        施密特说,西门子为第三方销售代表提供培训并予以监督。“只要我们发现分销商有不当行为,就会终止与他们的关系,”他说。
        Some of those firms remain involved anyway.        即使如此,一些有不当行为的分销商仍在参与销售。
        To complete the Anhui sale, Mr. Gao and Mr. An used an importing firm called Anhui Yameiya Import and Export Trade Company. Yameiya, which is based in Anhui, has been named in several other corruption cases involving equipment made by Siemens and G.E. The company declined to answer questions.        为了做成安徽的那笔交易,高学中和安某使用了一家名为安徽亚美亚进出口贸易公司的中间商。总部设在安徽的亚美亚已在几起涉及西门子和GE产品的腐败案件中被点名。该公司拒绝回答记者的问题。
        Siemens said that it terminated its relationship with Yameiya when it learned of the cases in 2014. But Yameiya is involved in dozens of recent transactions as a middle agent for Siemens, G.E., Philips and Toshiba equipment, according to publicly available procurement documents from Chinese hospitals. Just a few months ago, Yameiya bought a Siemens M.R.I. machine from an authorized dealer. In another deal a year ago, Yameiya sold a G.E. device to a hospital in Anhui Province.        西门子说,2014年获悉这些案件之后,公司已终止了与亚美亚的关系。但根据中国医院公开的采购文件,亚美亚作为GE、西门子、飞利浦和东芝设备的中间代理商参与了最近的数十笔交易。就在几个月前,亚美亚从一家授权经销商那里购买了一台西门子的核磁共振成像仪。在一年前的另一笔交易中,亚美亚把一台GE设备卖给了安徽省的一家医院。
        Siemens, Philips, Toshiba and G.E. said that Chinese law required hospitals to hire third-party companies to import foreign equipment and that they had no say in who was involved. “Being a responsible company, everyone in Philips is expected to always act with integrity,” said Steve Klink, a company spokesman.        西门子、飞利浦、东芝和GE说,中国法律要求医院在进口外国设备时使用第三方公司,西方企业对谁参与交易没有发言权。“作为一家负责任的公司,飞利浦期望每名员工都始终保持诚实正直的行为,”公司发言人史蒂夫·克林克(Steve Klink)说。
        Often the bidding is just a show. A court last year convicted Xiao Feng, an administrator at an unidentified Beijing hospital, of taking $330,000 in bribes to buy Toshiba and Siemens equipment. A second administrator identified as Dong in court documents testified that the hospital had already chosen the device and “the bidding is simply a formality that makes the procurement process legal and legitimate.”        采购招标通常只是个形式。去年,一家法院判定北京一家未被指名医院的管理人员肖峰在购买东芝和西门子的医疗设备中受贿230万元的罪名成立。法庭文件中,另一名姓董的管理人员作证说,医院已经选定了这些设备,“招投标只不过是一个程序上的流程,能让采购过程合法合规。”
        Companies know the bids are rigged, said an authorized seller of Toshiba products identified as Han in court documents. “This is an unspoken industrial rule,” Mr. Han testified during Mr. Xiao’s trial. “We cooperate with each other.”        法庭文件中,东芝产品的一名授权销售商韩某称,公司知道这些投标是走过场的。“就是行业内的潜规则,互相配合,”韩某在肖峰受审期间作证说。“我们彼此合作。”
        Canon Medical Systems Group, which bought Toshiba’s medical device business in 2016, has “a zero-tolerance policy toward bribery and unethical business practices,” said Hiroko Eno, a spokeswoman.        佳能医疗系统集团(Canon Medical Systems Group)发言人江野弘子(Hiroko Eno,音)表示,该公司“对贿赂和不道德的商业行为零容忍”。该集团于2016年收购了东芝的医疗设备业务。
        That cooperation can lead to higher prices for hospitals, say health care and compliance experts.        医疗保健和合规专家表示,这种合作可能给医院带来更高的价格。
        Public bidding documents indicate device prices differ sharply between deals with third-party brokers and direct sales. When Siemens won a bid to sell an M.R.I. machine to the Chinese Academy of Medical Sciences in Beijing in 2016, the price was $2.8 million. In another deal, in which Siemens sold the M.R.I. machine through a third-party broker called Chongqing Kangtian Medical Equipment, the price was $4.7 million.        公开招标文件显示,第三方销售商与直接销售之间的设备价格差异很大。2016年,西门子中标向北京的中国医学科学院出售一台核磁共振成像设备,价格近2000万人民币。在另一笔交易中,西门子通过第三方代理重庆市康天医疗设备有限公司出售的同样设备,价格超过了3000万人民币。
        A woman who picked up the phone at Kangtian and declined to give her name said the deal went through normal bidding processes. She declined to answer further questions or refer them to executives.        康天公司一名不愿意透露姓名的接电话女子称,这笔交易经过了正常的投标程序。她拒绝回答进一步的问题,也不愿将问题转交给其他公司领导。
        Using a third-party sales force does not insulate a foreign company from allegations of wrongdoing. Chinese law requires the companies to sign off on the deals through an authorization letter. Under the Foreign Corrupt Practices Act in the United States, companies can be held responsible for the conduct of lower-level distributors.        使用第三方销售团队并不能使外国公司免受不法行为的指控。中国法律要求这些公司通过授权书签署交易。根据美国的《反海外腐败法》(Foreign Corrupt Practices Act),公司要对下级分销商的行为负责。
        “If there is a circumstance under which the difference between a direct sale and third-party sale is double, that’s a red flag,” said Richard Bistrong, who went to prison for bribing foreign officials and now advises companies trying to beef up compliance.        曾经因为贿赂外国官员而入狱,现为希望加强合规的公司提供咨询的理查德·比斯特朗(Richard Bistrong)说,“如果直接销售和通过第三方销售的价差翻一倍,那就是一个危险的信号。”
        Mr. Schmidt, of Siemens, said that the publicized price for a third-party deal “does not always tell the whole story because additional contract components contribute to the price,” including services and supplies.        西门子的施密特说,第三方交易的公开价格“并不总是能说明全部情况,因为额外的合约构成也会影响到价格”,其中包括服务和供应。
        Meng-Lin Liu, the former chief compliance officer for Siemens’s health care unit in China, said device makers were well aware of the bribery. “It’s a conspiracy scheme,” said Mr. Liu, who said he was fired for speaking out about corruption in the China subsidiary. He lost a whistle-blower retaliation lawsuit in New York against Siemens in 2013.        西门子中国医疗部门前首席合规官刘孟麟表示,设备制造商对贿赂行为了如指掌,“这是一种合谋,”刘孟麟说。他表示,自己因为公开谈论这家中国子公司的腐败问题而遭到解雇。2013年,他在纽约状告西门子报复自己的诉讼中败诉。
        “Everyone knows. The problem is how to make people speak up. Because everyone lives on this system, no one dares to report others,” added Mr. Liu, who also goes by Louis Liu.        “大家都知道。问题是如何让人们畅所欲言。因为每个人都生活在这个制度下,没有人敢举报别人,”英文名路易·刘(Louis Liu)的刘孟麟补充说。
        Siemens said Mr. Liu’s allegations were investigated and “found to have no merit.”        西门子表示,对刘孟麟的指控进行了调查,“发现毫无根据”。
        The Chinese market is shifting. Beijing hopes to increase the number of domestically produced devices in public hospitals by half by next year. The trade war with the United States could also make American equipment less competitive.        中国市场正在发生变化。北京方面希望到明年,将公立医院的国产设备数量增加一半。与美国的贸易战也可能降低美国设备的竞争力。
        Still, as long as China remains a fast-growing market, say experts, a culture of graft could linger among China’s hospitals.        不过,专家们表示,只要中国仍然是一个快速增长的市场,中国医院的贪污文化就会继续留存。
        “These companies think they’ve got their nose clean because the corruption is being done by an agent in the middle,” said Peter Humphrey, a British private investigator who was detained in China while working for GlaxoSmithKline during its bribery investigation.        英国私家侦探韩飞龙(Peter Humphrey)表示:“这些公司认为自己是清白的,因为腐败是由中间人进行的。”他受雇药企葛兰素史克(GlaxoSmithKline)做腐败调查期间在中国遭到拘捕。
        “I’ve seen so much of this nonsense,” he added. “This is all window dressing.”        “我听过很多这样的无稽之谈,”他补充说。“这都是在摆样子。”
                
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