CAC_COSP_IRG_I_4_1_ADD_10_EC
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CAC/COSP/IRG/I/4/1/ADD.10 V1502140.doc (English)CAC/COSP/IRG/I/4/1/ADD.10 V1502139.doc (Chinese)
United Nations联合国
CAC/COSP/IRG/I/4/1/Add.10*CAC/COSP/IRG/I/4/1/Add.10*
Conference of the States Parties to the United Nations Convention against Corruption联合国反腐败公约 缔约国会议
Distr.: GeneralDistr.: General
31 March 201531 March 2015
Original: EnglishChinese Original: English
CAC/COSP/IRG/I/4/1/Add.10CAC/COSP/IRG/I/4/1/Add.10
CAC/COSP/IRG/I/4/1/Add.10CAC/COSP/IRG/I/4/1/Add.10
V.15-02140 (E) 280415 290415V.15-02139 (C)
*1502140**1502139*
<>V1502140<>实施情况审议组
<>CAC/COSP/IRG/I/4/1/Add.10<>第六届会议
<><> Implementation Review Group Sixth session*
Vienna, 1-5 June 2015 *因技术原因于2015年4月29日重新印发。
Reissued for technical reasons on 28 April 2015.2015年6月1日至5日,维也纳
Item 2 of the provisional agenda临时议程项目2
****
CAC/COSP/IRG/2015/1.CAC/COSP/IRG/2015/1。
Review of implementation of the United Nations Convention against Corruption审议《联合国反腐败公约》实施情况
Executive summary提要
Note by the Secretariat秘书处的说明
Addendum增编
Contents目录
Page页次
Executive summary提要
22
Kiribati基里巴斯
22
II. Executive summary二. 提要
Kiribati基里巴斯
1. Introduction: Overview of the legal and institutional framework of Kiribati in the context of implementation of the United Nations Convention against Corruption1. 导言:基里巴斯在实施《联合国反腐败公约》方面的法律和体制框架概述
The Republic of Kiribati acceded to the Convention on 27 September 2013 and it entered into force for Kiribati on the same date.基里巴斯共和国于2013年9月27日加入《公约》,《公约》于当日对基里巴斯生效。
Kiribati deposited its instrument of ratification with the Secretary-General of the United Nations on 27 September 2013.基里巴斯于2013年9月27日向联合国秘书长交存了其批准书。
Kiribati is a parliamentary democracy.基里巴斯实行议会民主制。 基里巴斯的法律体系由议会法案、某些英国法规、普通法和习惯法组成。
Kiribati’s legal system is comprised of Acts of Parliament, certain British statutes, common law and customary law.国家元首和政府首脑是总统。
The Head of State and of Government is Te Beretitenti (President).议会实行一院制。
The House of Assembly (Maneaba ni Maungatabu) is a unicameral House of Assembly.基里巴斯的司法机构由上诉法院、高等法院和地方法院组成。
The judicial branch of Kiribati is comprised of the Court of Appeal, High Court and magistrates’ courts.各级法官均由总统任命。
Judges and magistrates at all levels are appointed by Te Beretitenti.《刑事诉讼法》第九部分规定可以通过请愿的方式从地方法院向高等法院提出上诉。
Part IX of the Criminal Procedure Code provides for appeals by way of petition from the magistrates’ courts to the High Court.打击腐败的相关机构包括总统办公室、总检察长、检察长办公室、警务专员、金融情报处、监狱司、总审计长、外交部以及财政和经济发展部。
Relevant institutions in the fight against corruption include the Office of the President, the Attorney General, the Office of the Director of Public Prosecutions (DPP), the Commissioner of Police, the Financial Intelligence Unit, the Department of Prisons, the Auditor General, Ministry of Foreign Affairs and the Ministry of Finance and Economic Development.也与商会举行了会晤。
Meetings were also held with the Chamber of Commerce.2. 第三章:刑事定罪和执法 2.1. 关于所审议条款实施情况的评述 贿赂和影响力交易(第十五、十六、十八和二十一条)
2. Chapter III: Criminalization and law enforcement《1977年刑法》(下称《刑法》)第67章,特别是第85至87条和第366至369条,将公职人员行贿和受贿定为犯罪。
2.1. Observations on the implementation of the articles under review过去五年内未发生贿赂案件。 贿赂外国公职人员和国际公共组织官员未被定为犯罪。 基里巴斯援引一般贿赂条款处理影响力交易案件。
Bribery and trading in influence (arts. 15, 16, 18 and 21)并未对滥用“被认为具有的影响力”作出明确规定。
Active and passive bribery of public officials is criminalized in the Penal Code 1977 (hereinafter, PC), chapter 67, in particular sections 85-87 and 366-369.私营部门内的贿赂行为未被定为犯罪。
There have been no bribery cases in the last five years.洗钱、窝赃(第二十三和二十四条) 2003年《犯罪所得法》第6、12和13条将洗钱定为犯罪。
The bribery of foreign public officials and officials of public international organizations is not criminalized.到目前为止没有就洗钱相关行为提出任何起诉。 《刑法》涵盖企图、串谋和煽动实施洗钱行为(第371至378条)。 基里巴斯采用“严重犯罪”的门槛来界定上游犯罪,涵盖可判处12个月或以上监禁或500澳元以上罚款的罪行。
Kiribati relies on the general bribery provisions to pursue cases of trading in influence.这将把《联合国反腐败公约》确立的属于轻罪的部分罪行(如根据《刑法》第90和367条)排除在外。 自洗钱不在排除之列(《犯罪所得法》第12条第5款)。
The abuse of “supposed influence” is not specifically covered.隐瞒事实被定为犯罪(《刑法》第306至307条)。 贪污、滥用职权和资产非法增加(第十七、十九、二十和二十二条)
Bribery in the private sector is not criminalized.《刑法》第251条对盗窃罪作出一般规定,在处罚上可定为重罪(第254条)。 该法涵盖公职人员进行欺诈和违反信托(第121条)、办事员和公务人员盗窃和贪污(第266条)以及侵占罪(第271条和第297条)。 基里巴斯已提供违反第266条的办事员和公务人员贪污行为的判例法。 私营部门内的贪污行为也适用相同条款。 《刑法》第90条涵盖滥用职权的行为,已提供判例法。 资产非法增加未被定为犯罪。 妨害司法(第二十五条) 《刑法》第95、108、110、115和120条将妨害司法原则上定为犯罪。 有关干扰证人的条款仅适用于欺骗和共谋行为(《刑法》第108和110条)。 已提供有关拒捕和阻挠警察执法的统计数据。 没有关于干扰证人案件的报告。 法人责任(第二十六条) 基里巴斯承认法人的刑事责任,可在惩罚的基础上处以罚款,或以罚款代替惩罚(《刑法》第26和29条)。 未曾对任何法人开展调查或提出起诉。 参与和未遂(第二十七条) 参与犯罪被定为犯罪(《刑法》关于主犯的第21条、关于唆使他人犯罪的第23条、关于共谋犯罪的第376至378条以及关于事后从犯的第379和380条)。 第371至373条涵盖犯罪未遂行为,第374条述及在吉尔伯特群岛或其他地方教唆或煽动他人犯罪的行为,第375条涵盖在防止重罪上的不作为。
Money-laundering, concealment (arts. 23 and 24)基里巴斯对犯罪前的预备行为未有明确规定,但在实践中,犯罪前的预备行为可能属于共谋犯罪(第376条)、怂使他人犯罪(第23条)或犯罪未遂(第371条和第372条)。
Money-laundering is criminalized in sections 6, 12 and 13 of the Proceeds of Crime Act 2003 (POCA).起诉、审判和制裁;与执法机关的合作(第三十和三十七条)
There have been no prosecutions to date relating to money-laundering.通常会根据犯罪行为的严重性来确定制裁措施。
Attempts and conspiracies, as well as incitement, to commit money-laundering are covered under the PC (sections 371-378).根据《宪法》第76条,议会可决定议员享有的特权和豁免,议员享有免于因任何民事诉讼或事项被逮捕和列席的豁免权(1986年《议会特权、豁免和权力法案》第7条)。
Kiribati adopts a “serious offences” threshold to defining predicate offences that covers offences punishable by imprisonment for 12 months or longer or a fine of over AU$ 500.议员豁免权已被撤销(Tetaua Taitai博士诉议长案)。
This would exclude some United Nations Convention against Corruption offences that are misdemeanours (e.g. under sections 90 and 367, PC).总统在刑事事项中没有豁免权。
Self-laundering is not precluded (section 12(5), POCA).基里巴斯总检察长享有广泛的检察裁量权。
Concealment is criminalized (sections 306-307, PC).在实践中,在符合《宪法》关于总检察长权力和任务的第42条的情况下,法律自由裁量权一般由检察官行使。
Embezzlement, abuse of functions and illicit enrichment (arts. 17, 19, 20 and 22)《刑事诉讼法》第106至109条(第17章)述及待审或待上诉期间的释放条件。
The general provision for theft is section 251, PC, and the penalty could constitute a felony (section 254).1986年《假释裁决委员会法》原则上对假释作出了规定,过去五年内无被控犯有腐败相关罪行的囚犯获得假释。
Frauds and breaches of trust by persons employed in the public service are covered (section 121), as well as larceny and embezzlement by clerks or servants (section 266) and conversion (sections 271, 297).《国家服务条款》包含对被控或被判定犯有刑事罪行的公职人员实施纪律措施的相关规定。
Case law on embezzlement by clerks or servants contrary to section 266 was provided.被告人在等待接受刑事审判期间即已被暂停公职:Karianako Kamaua(民事案件)。
The same provisions also apply to embezzlement in the private sector.基里巴斯制定了一个囚犯重新融入社会方案,涵盖生活技能和职业培训。
Section 90, PC covers abuse of office and case law was provided.有报告指出基里巴斯必须彻底审查《监狱条例》。
Illicit enrichment is not criminalized.普通法原则规定法院和检察官在考虑减轻惩罚(即在认罪或与调查当局合作的情况下)时可行使自由裁量权。
Obstruction of justice (art. 25)检察长只可在共同被告人合作的情况下,准许免于起诉,但这一程序不受法律规范。
Obstruction of justice is criminalized principally in sections 95, 108, 110, 115 and 120 PC.保护证人和举报人(第三十二和三十三条)
The provisions on interference with witnesses are limited to acts of deceit and conspiracy (sections 108 and 110, PC).基里巴斯没有采取措施为作证或提供证据的证人和鉴定人或为其亲属及其他与其关系密切者提供保护,使其免遭可能的报复或恐吓。
Statistics on resisting arrest and obstructing police officers were provided.在实践中,警方可准许保护控方证人,包括支付每日津贴和实施人身保护。
There are no reported cases of interference with witnesses.基里巴斯没有采取措施在涉及《反腐败公约》(第三十三条)所规定犯罪的案件中保护举报人和揭发人。
Liability of legal persons (art. 26)冻结、扣押和没收;银行保密(第三十一和四十条)
Kiribati recognizes the criminal liability of legal persons, and fines, in addition to or instead of punishment, may be imposed (sections 26 and 29, PC).《犯罪所得法》第6和21条原则上规定,须依照“严重犯罪”的门槛没收与被定罪个人相关的犯罪所得和工具。
There have been no investigations or prosecutions of legal persons.该法的条款对搜查和扣押作出了规定(即《犯罪所得法》第43-44条、第50-51条、第56条、第58条和第93-95条)。
Participation and attempt (art. 27)未发生与腐败事项相关的没收案件。
Participation in offences is criminalized (section 21, PC on principal offenders, section 23 on counselling another to commit an offence, sections 376-378 on conspiracy, as well as sections 379-380 on accessories after the fact).制定了有关被冻结、扣押和没收财产的基本管理措施,包括由总检察长任命一名人员管理被没收或适用禁止令的财产(《犯罪所得法》第120条)。
Sections 371-373 cover the attempt to commit offences, section 374 addresses soliciting and inciting others to commit offence in the Gilbert Islands or elsewhere and section 375 covers neglect to prevent felony.法院拥有根据申请案情准予获取银行、财务或商业记录的管辖权。
Preparation is not specifically addressed but in practice, the act of preparing for an offence would arguably fall under either conspiracy to commit an offence (section 376), counselling another to commit an offence (section 23) or attempt (sections 371-372).基里巴斯设有一家外资银行,政府持有其25%的权益。
Prosecution, adjudication and sanctions; cooperation with law enforcement authorities (arts. 30 and 37)《犯罪所得法》所规定的可用于取消银行保密的方法不多。
The determination of sanctions generally takes into account the gravity of offences.时效;犯罪记录(第二十九和四十一条)
According to article 76 of the Constitution, the Parliament may determine the privileges and immunities of its members, who enjoy immunities from arrest and attendance in any civil cause or matter (section 7, Privileges, Immunities and Powers of the Maneaba ni Maungatabu Act 1986).刑事事项没有诉讼时效。
The immunity of members of Parliament has been lifted (Dr. Tetaua Taitai v. Speaker of Parliament).根据《刑事诉讼法》,时效期限仅适用于可被处最高100澳元罚款或3个月监禁的罪行(即非《公约》所规定的犯罪)。
The President does not have immunity in criminal matters.法院也拥有因不当拖延而撤销案件的自由裁量权。
The Attorney General of Kiribati enjoys broad prosecutorial discretion.尚不清楚法院能以什么为依据考虑之前在外国被定罪的情况,因为在这方面没有任何经验。
In practice, the discretionary legal powers are often used by the prosecutors, subject to article 42 of the Constitution, which addresses the powers and mandate of the Attorney General.管辖权(第四十二条)
Sections 106-109 of the Criminal Procedure Code (chapter 17) address conditions on release pending trial or appeal.根据《公约》,属地管辖权已得到承认(《刑法》第5、132和53条)。
Parole is regulated principally under the Parole Board Act 1986, and no inmates charged with corruption-related offences have been released on parole in the past five years.作为属地原则的延伸,只要行为发生在其境内,基里巴斯就对船只和飞机上的犯罪行为拥有管辖权。
Relevant provisions with respect to the disciplinary measures against public officials accused or convicted of criminal misconduct are found in the National Conditions of Service (NCS).基里巴斯没有制定主动或被动国籍原则。
Accused persons have been suspended from public office pending criminal proceedings: Karianako Kamaua (civil case).腐败行为的后果;损害赔偿(第三十四和三十五条)
Kiribati has established a prisoner reintegration programme, which covers life skills and vocational training.根据普通法原则,取消或撤销任何合约都是可能的。
There is a reported need for Kiribati to overhaul the Prisons Ordinance.根据《采购法》(第6条),因开展犯罪活动而被定罪的人员不得加入公共合约。
Common law principles provide for the courts and the prosecutors to exercise their discretion in considering mitigating punishment (i.e.并无任何条款阻止个人提起民事诉讼,以就腐败行为寻求赔偿。
guilty pleas, cooperation with the investigating authorities).专职机关和机构间协调(第三十六、三十八和三十九条)
Immunity from prosecution may only be granted by the DPP in the case of cooperating co-defendants, although the process is not regulated by law.主要主管机关包括:总检察长办公室(检察长和副检察长办公室)、基里巴斯警方反腐败处以及金融情报处。
Protection of witnesses and reporting persons (arts. 32 and 33)《宪法》第42条概述了总检察长办公室的独立性。
Kiribati has not adopted measures to provide protection from potential retaliation or intimidation for witnesses and experts who give testimony or provide evidence, or for their relatives and other persons close to them.虽然检察长不应受到任何外部干涉,但有报告指出现实情况并非总是如此。
In practice, protections could be granted by the police for prosecution witnesses, including the payment of per diems and physical protection.除检察长外有两名检察官。
Kiribati has not adopted measures to protect reporting persons and whistle-blowers in cases involving Convention against Corruption offences (art. 33).副检察长办公室为政府提供法律建议,包括针对腐败相关事项提出建议,除副检察长外设有8名工作人员。
Freezing, seizing and confiscation; bank secrecy (arts. 31 and 40)《犯罪所得法》第17条概述了金融情报处的权力和任务。
Sections 6 and 21 POCA principally cover the confiscation of proceeds and instrumentalities of crime, subject to a “serious offences” threshold, in respect of persons convicted of the offence.各部门或实体的预算由各自的负责人控制。
Provisions on search and seizure are covered (i.e.鼓励国家当局间合作和与私营部门合作的措施不多。
sections 43-44, 50-51, 56, 58, 93-95, POCA).特别是,内阁已批准设立一个由总统办公室、检察长、警方、海关和移民局以及总审计长组成的反腐败委员会,但该委员会尚未开始运作。
There have been no cases of confiscation in corruption related matters.与私营部门的合作主要通过金融情报处的监督职能以及议会和商会的外联活动实现。
Basic measures on the administration of frozen, seized and confiscated assets are in place, including through the appointment by the Attorney General of a person to administer property forfeited or subject to a restraining order (section 120, POCA).可用的实施案例较少。
The Court has jurisdiction to grant access to bank, financial or commercial records based on the merit of the application.2.2. 成功经验和良好做法
There is one foreign bank operating in Kiribati, in which the Government holds a 25 per cent interest.总体而言,强调了在实施《公约》第三章方面取得的下述成功经验和良好做法:
Limited procedures are available under POCA that could be used for the lifting of bank secrecy.刑事事项不设时效期。
Statute of limitations; criminal record (arts. 29 and 41)2.3. 实施方面的挑战
There is no statute of limitations in respect of criminal matters.把外国公职人员或国际公共组织官员的贿赂行为定为犯罪,并考虑确立受贿罪。
Under the Criminal Procedure Code, the limitation period applies only to offences which carry a maximum penalty of $100 or 3 months imprisonment (i.e.考虑通过一项具体的影响力交易罪行,涵盖滥用被认为具有的影响力的情况。
not Convention against Corruption offences).考虑设立一项资产非法增加罪。
The Court also has discretion to dismiss cases for undue delay.考虑将私营部门内的贿赂行为定为犯罪。
It is unclear on what basis courts may consider previous foreign convictions as there has been no experience in this.确保《反腐败公约》规定的所有罪行都有资格成为以洗钱为目的的上游犯罪,并向联合国提供立法的副本。
Jurisdiction (art. 42)加强各项措施,以将干扰提供证据或作证证人的行为定为犯罪(第二十五条第 = 1 \* GB4 ㈠项)。
Territorial jurisdiction is recognized in line with the Convention (arts. 5, 132, 53 PC).采取措施加强检察长的独立性。
Kiribati assumes jurisdiction over offences on board vessels and aircraft as an extension of the territoriality principle, provided the conduct occurs within its territorial boundaries.审议人员欢迎基里巴斯努力彻底审查《监狱条例》,现代化和精简现行措施,以及加强囚犯重新融入社会方案。
Kiribati has not established the active or passive nationality principles.考虑制定相关条例,要求犯罪人证明涉嫌犯罪所得的合法来源。
Consequences of acts of corruption; compensation for damage (arts. 34 and 35)采取措施,为就根据本《公约》确立的犯罪作证的证人和鉴定人并酌情为其亲属及其他与其关系密切者提供有效的保护,使其免遭可能的报复或者恐吓,制定取证规则并考虑订立移管协定(第三十二条)。
Pursuant to common law principles, any contract could be deemed void or be annulled.同时确保根据第三十二条第四和第五款保护受害者。
Persons who have been convicted of criminal activity are precluded from participating in public contracts under the Procurement Act (section 6).考虑采取措施,在涉及《公约》确立的犯罪的案件中保护举报人和揭发人(第三十三条)。
There is nothing preventing a person from undertaking civil proceedings in order to seek compensation for corruption.加强相关执法机构、特别是金融情报处的独立性以及相关机构、特别是总检察长办公室的可用资源。
Specialized authorities and inter-agency coordination (arts. 36, 38 and 39)有必要开展能力建设,以加强相关执法机构、特别是警方的调查技能,包括追查和扣押资产的能力。
The key authorities include the Attorney General’s Office (Director of Public Prosecutions (DPP) and the Solicitor General’s Office), Kiribati Police Anti-Corruption Unit and the Financial Intelligence Unit (FIU).制定条款,保护提供配合的犯罪人(第三十七条第四款)。
The independence of the Attorney General’s Office is outlined in article 42 of the Constitution.在社区中提高对腐败问题的认识。
Although the DPP is not supposed to be subject to any external interference, it was reported that in practice this is not always the case.加强取消银行保密的程序,包括通过采取立法措施的方式。
There are 2 prosecutors excluding the DPP.澄清当发生犯罪行为的船只和飞机在其领土边界外时的域外管辖权,并考虑制定主动和被动国籍原则(第四十二条第二款第 = 1 \* GB4 ㈠和 = 2 \* GB4 ㈡项)。
The Solicitor General’s Office provides legal advice to the Government, including on corruption-related matters, and has eight staff members, excluding the Solicitor General.2.4. 在改进《公约》实施方面认明的技术援助需要
The powers and mandate of the FIU are outlined in section 17, POCA.针对第十六、十七、十八、十九、二十、二十一、二十二、二十三、二十四、二十五、二十六、二十七、三十、三十三和四十二条的立法起草/法律咨询意见。
The budgets of each department or entity are controlled by the Head thereof.第二十、二十一、二十二、二十三、三十、三十一、三十二、三十三、三十五、三十六、三十七、三十八、三十九和四十二条方面的良好做法/吸取的教训。
There are limited measures to encourage cooperation among national authorities and with the private sector.针对第十五、十七、十八、十九、二十、二十一、二十二、二十三、二十四、二十五、二十六、二十七、三十、三十一、三十二、三十五、三十六和三十七条协助国家主管部门开展能力建设。
In particular, the Cabinet has approved the creation of an anti-corruption committee comprising the Office of the President, DPP, police, Customs and Immigration and the Auditor General, although this committee is not yet functional. Cooperation with the private sector is mainly exercised through the oversight function of the FIU and the outreach activities of the Parliament and the Chamber of Commerce. Few cases of implementation were available. 2.2. Successes and good practices Overall, the following success and good practice in implementing chapter III of the Convention is highlighted: The absence of a statute of limitations in respect of criminal matters. 2.3. Challenges in implementation Criminalize bribery of foreign public officials and officials of public international organizations, and consider establishing the passive version of the offence. Consider adopting a specific offence of trading in influence that would cover the abuse of supposed influence. Consider establishing the offence of illicit enrichment. Consider criminalizing bribery in the private sector. Ensure that all Convention against Corruption offences qualify as predicate offences for purposes of money-laundering and furnish copies of legislation to the United Nations. Strengthen measures to criminalize the interference with witnesses who provide evidence or give testimony (art. 25(a)). Adopt measures to strengthen the independence of the DPP. The reviewers welcome efforts to overhaul the Prisons Ordinance, to modernize and streamline existing measures and strengthen the prisoner reintegration programme. Consider establishing relevant provisions requiring that an offender demonstrate the lawful origin of alleged criminal proceeds. Adopt measures to provide effective protection from potential retaliation or intimidation for witnesses and experts who give testimony concerning offences established in accordance with this Convention and, as appropriate, for their relatives and other persons close to them, establish evidentiary rules and consider entering into relocation agreements (art. 32). Also ensure the protection of victims in line with article 32(4) and (5). Consider adopting measures to protect reporting persons and whistle-blowers in cases involving offences under this Convention (art. 33). Strengthen independence of relevant law enforcement agencies, in particular the FIU, as well as available resources of the agencies, in particular the Attorney General’s Office. There is a need for capacity-building to strengthen investigative skills of relevant law enforcement agencies, in particular the police, including asset tracing and seizure. Establish provisions to protect cooperating offenders (art. 37(4)). Increase awareness-raising on corruption in the communities. Strengthen procedures for lifting bank secrecy, including through the adoption of legislative measures. Clarify the extraterritorial jurisdiction on board vessels and aircraft where the conduct occurs outside its territorial boundaries and consider establishing the active and passive nationality principles (art. 42(2)(a) and (b)). 2.4. Technical assistance needs identified to improve implementation of the Convention Legislative drafting/legal advice with regard to articles 16, 17, 18, 19, 20, 21, 22, 23, 24, 25, 26, 27, 30, 33 and 42. Good practices/lessons learned with regard to articles 20, 21, 22, 23, 30, 31, 32, 33, 35, 36, 37, 38, 39 and 42. Capacity-building assistance to national authorities with regard to articles 15, 17, 18, 19, 20, 21, 22, 23, 24, 25, 26, 27, 30, 31, 32, 35, 36 and 37. 3. Chapter IV: International cooperation 3.1. Observations on the implementation of the articles under review Extradition (art. 44) Extradition is governed by the Extradition Act, which applies to Commonwealth countries, Pacific Island countries and comity countries. A “backing of warrants” procedure is in place for Pacific Island countries (section 26). Kiribati does not make extradition conditional on the existence of a treaty. However, it can apply bilateral and multilateral treaties like the Convention against Corruption. Kiribati also subscribes to the Commonwealth (London) Scheme on Extradition. Extradition matters in Kiribati are under the responsibility of the Minister for Foreign Affairs. Extradition is subject to dual criminality and is limited to the extent that not all offences under the Convention have been criminalized. The minimum term of imprisonment or other deprivation of liberty of one year for an offence to be extraditable covers most but not all Convention offences. Kiribati could consider the Convention as the legal basis for extradition, although there has been no experience in its application. In the last five years, no extradition requests have been received. One request was sent to Fiji (murder-related), and two people were then extradited to Kiribati. Political offences are exempted from extradition under the Extradition Act (section 6). The nationality of the requested person is a permissive ground for refusal (section 19(2)(b), Extradition Act). The aut dedere aut judicare obligation is addressed. The issues of fair treatment or discriminatory purpose have not been invoked to date. A duty to consult with requesting States before refusing extradition is not specified in the Extradition Act but followed in practice. Transfer of sentenced persons; transfer of criminal proceedings (arts. 45 and 47) As a member of the Commonwealth, Kiribati could, in principle, rely on the Scheme for the Transfer of Convicted Offenders within the Commonwealth, but this has not been used to date. There have been no case examples of prisoner transfer. There is no law or practice on the transfer of criminal proceedings. Mutual legal assistance (art. 46) The Mutual Assistance in Criminal Matters Act (MACMA) provides the legal basis for mutual legal assistance (MLA). Kiribati does not make MLA conditional on the existence of a treaty. As a member of the Commonwealth, Kiribati could, in principle, rely on the Scheme relating to Mutual Assistance in Criminal Matters within the Commonwealth, although there has been no experience in its application. The Central Authority for MLA in Kiribati is the Attorney General. However, requests would normally be received and sent through diplomatic channels. The Central Authority would then analyse and transmit an incoming request to competent domestic authorities for execution. The absence of dual criminality is a permissive ground for refusal (section 12, MACMA). Accordingly, dual criminality may be dispensed with at the discretion of the Attorney General, who would generally exercise this discretion to provide non-coercive assistance wherever possible. MLA is limited to the extent that not all offences established under the Convention have been criminalized. In the last five years, no MLA requests have been received and none have been sent. However, Kiribati is currently in the process of drafting two MLA requests (corruption-related). Kiribati recognizes grounds for refusal in line with the Convention, although assistance may also be refused on the ground that the assistance could prejudice a criminal investigation or proceeding in Kiribati (section 12(d), MACMA). No specific time frames are specified in the MACMA, nor is there any specified procedure for periodic follow up. Kiribati has relied on INTERPOL channels in a domestic investigation for administrative assistance. Bank secrecy is not a ground for refusal and banking records could be provided on request upon the issuance of a relevant court order. A limitation on use of information received through MLA is provided for. Law enforcement cooperation; joint investigations; special investigative techniques (arts. 48, 49 and 50) The law enforcement authorities of Kiribati cooperate through regional and international networks and in specific matters on a case-by-case basis. The existence of a treaty or formal memorandum of understanding (MoU) is not a prerequisite. In principle, Kiribati could consider the Convention against Corruption as the basis for law enforcement cooperation, although there has been no experience in its application. The Transnational Crime Unit (TCU) under the Kiribati Police cooperates internationally, not only through the Pacific Transnational Crime Network (PTCN), but also through other counterparts (including INTERPOL and the Australian Federal Police (AFP)). Since its establishment, there have been secondments of members of the TCU in Kiribati to the Pacific Transnational Crime Coordination Centre in Apia. Kiribati is also party to numerous regional initiatives (i.e. the Pacific Islands Chiefs of Police, Pacific Islands Forum Secretariat, Oceania Customs Organisation, Pacific Patrol Boat Program, the Pacific Islands Law Officer’s Network). The FIU has informal connections with other financial intelligence units (including Fiji FIU) and is involved with the Pacific Association of FIUs (an official memorandum of understanding is yet to be signed). Kiribati could participate in joint investigations on a case-by-case basis based on informal arrangements. One example was cited from the 1960s (not related to corruption). The use of special investigative techniques is not addressed in the domestic legislation and has not been tested.3. 第四章:国际合作
3.2. Successes and good practices3.1. 关于所审议条款实施情况的评述
Overall, the following success and good practice in implementing chapter IV of the Convention is highlighted:引渡(第四十四条) 引渡事宜受《引渡法》管辖,该法适用于所有英联邦国家、太平洋岛屿国家和关系良好国家。 针对太平洋岛屿国家,设有一套“逮捕令背书”程序(第26条)。
Kiribati’s international law enforcement cooperation, particularly in the region.基里巴斯不以订有条约作为引渡的条件。
3.3. Challenges in implementation但是,可以适用双边和多边条约,如《反腐败公约》。
The following steps could further strengthen existing anti-corruption measures:基里巴斯还签署了《英联邦内(伦敦)引渡办法》。
Amend section 5(1)(b) of the Extradition Act to read, “the conduct that constitutes the offence, if committed in Kiribati, would constitute an offence (however described) in Kiribati for which the minimum penalty is imprisonment, or other deprivation of liberty, for a period of 1 year or more”.基里巴斯的引渡事项由外交部长负责。
Kiribati may wish to consider granting extradition of a person for any of the offences covered by this Convention that are not punishable under its own domestic law.引渡必须满足两国共认罪行的要求,并仅限适用于并非《公约》规定的所有犯罪都已被定罪的情况。
Consider granting extradition requests that include several separate offences, one of which is extraditable.最短一年监禁或其他剥夺自由处罚的可引渡犯罪涵盖《公约》确立的多数但并非全部犯罪。
Review the Extradition Act to ensure all offences under the Convention are extraditable.基里巴斯可以视《公约》为引渡的法律基础,但并无相关适用经验。
Consider simplifying and streamlining procedures and evidentiary requirements (such as internal guidelines and/or a request management system) in order to allow for extradition and MLA requests to be dealt with efficiently and effectively.过去五年内,没有收到引渡请求。
Kiribati may wish to consider entering into bilateral or multilateral agreements or arrangements on the transfer of convicted persons for Convention-related offences.已向斐济发出一项请求(谋杀相关案件),随后两名人员被引渡回基里巴斯。
Take legislative measures to ensure that MLA is not refused on the sole ground of bank secrecy and may not be declined on the sole ground that the offence is also considered to involve fiscal matters.《引渡法》(第6条)规定,政治罪免予引渡。
Address the conditions of a prisoner being transferred, as outlined in paragraph 11 of article 46, in its domestic law.允许以被请求引渡者的国籍为由拒绝引渡(《引渡法》第19(2)(b)条)。
Consider amending MACMA to provide that assistance may be postponed, rather than refused, on the ground that the assistance could prejudice a criminal investigation or proceeding in Kiribati (section 12(d), MACMA).规定了不引渡即审判的义务。
Consider the possibility of transferring criminal proceedings to and from a foreign State if it were in the interests of the proper administration of justice, in particular where several jurisdictions are involved.截至目前,不曾援引过公平待遇或歧视目的的问题。
Consider introducing special investigative techniques, as may be necessary and within existing resources, providing the corresponding training to law enforcement personnel and ensuring that evidence derived from such techniques is admissible in court.《引渡法》未明确规定在拒绝引渡前与请求国进行磋商的义务,但该义务在实践中得到遵守。 被判刑人的移管;刑事诉讼的移交(第四十五和四十七条) 作为英联邦的成员国,基里巴斯原则上可以援引《英联邦成员国间移交既决罪犯计划》,但迄今为止未使用过该计划。 没有移交罪犯的案件实例。 没有关于刑事诉讼移交的法律或惯例。 司法协助(第四十六条) 《刑事事项互助法》为司法协助提供了法律基础。 基里巴斯不以订有条约作为司法协助的条件。 作为英联邦的成员国,基里巴斯原则上可以援引《英联邦成员国间刑事事项互助计划》,但并无相关适用经验。 基里巴斯负责司法协助的中央机关是总检察长。 但是,一般会经由外交途径收到或发送请求。 然后该中央机关会分析所收到的请求并将其转递国内主管当局执行。 允许以不存在两国共认罪行为由拒绝提供司法协助(《刑事事项互助法》第12条)。 因此,总检察长可以行使自由裁量权免除两国共认罪行的要求,他一般会在可能的情况下行使该自由裁量权以提供非胁迫性协助。 司法协助仅限适用于并非《公约》规定的所有犯罪都已被定罪的情况。 过去五年内,没有收到或发出司法协助请求。 但是,基里巴斯目前正在起草两份司法协助请求(腐败相关案件)。 基里巴斯认可符合《公约》规定的拒绝协助理由,但也能以这类协助可能会妨碍在基里巴斯开展的任何刑事调查或诉讼为由拒绝提供协助(《刑事事项互助法》第12(d)条)。 《刑事事项互助法》既未明确规定具体的时限,也没有专门规定任何具体的定期跟进程序。 基里巴斯在开展国内调查时透过刑警组织渠道寻求行政援助。 银行保密不是拒绝协助的理由,相关法院命令发出后,即可应要求提供银行记录。 对于通过司法协助获取的信息的使用限制,作出了规定。 执法合作;联合侦查;特殊侦查手段(第四十八、四十九和五十条) 基里巴斯执法当局通过区域和国际网络,就具体事项进行逐案合作。 订立条约或正式谅解备忘录不是先决条件。 基里巴斯原则上可考虑将《联合国反腐败公约》作为执法合作的基础,但并无相关适用经验。 基里巴斯警方下属的跨国犯罪处不仅通过太平洋跨国犯罪问题网络,还通过其他对应方(包括刑警组织和澳大利亚联邦警察局)开展国际合作。 自设立以来,基里巴斯跨国犯罪处一直有成员被借调至位于阿皮亚的太平洋跨国犯罪问题协调中心。 基里巴斯也加入了多项地区倡议(如太平洋岛屿警察局长组织、太平洋岛屿论坛秘书处、大洋洲海关组织、太平洋巡逻艇计划和太平洋岛屿法官网络)。 金融情报处已与其他国家的金融情报部门(包括斐济金融情报处)建立非正式联系,并参加了太平洋金融情报部门协会(正式谅解备忘录尚待签署)。 基里巴斯可以依照非正式安排,参与逐案联合调查。 基里巴斯引用了1960年代的一个例子(非腐败相关)。 国家法律未对特殊侦查手段的使用予以规范,也未进行过相关测试。 3.2. 成功经验和良好做法 总体而言,强调了在实施《公约》第四章方面取得的下述成功经验和良好做法: 基里巴斯的国际执法合作,特别是在该区域内的合作。 3.3. 实施方面的挑战 下列措施可进一步加强现有的反腐败措施: 将《引渡法》第5(1)(b)条改为“若构成犯罪的行为发生在基里巴斯,将构成基里巴斯境内犯罪(无论如何描述),最低处罚是一年或以上的监禁或其他剥夺自由处罚”。 基里巴斯似宜考虑就本《公约》所涵盖但依照本国法律不予处罚的任何犯罪准予引渡。 考虑批准包括几项独立犯罪而其中一项可予引渡的引渡请求。 审查《引渡法》,以确保《公约》规定的所有犯罪均可予以引渡。 考虑简化和精简程序和证据要求(例如内部指导方针和/或请求管理制度),以便能够高效和有效地处理引渡和司法协助请求。 基里巴斯似宜考虑就移交《公约》相关罪行的被定罪者缔结双边或者多边协定或安排。 采取法律措施,确保不得仅以银行保密为由拒绝司法协助请求,也不得仅以犯罪也被视为涉及财税事项为由而拒绝此类请求。 解决本国法第46条第11款所述的移交罪犯条件问题。 考虑修正《刑事事项互助法》,规定能以提供协助可能会妨碍在基里巴斯开展的刑事调查或诉讼为由延迟、而非拒绝提供协助(《刑事事项互助法》第12(d)条)。 在有利于正当司法,特别是在涉及数国管辖权的情况下,考虑与外国相互移交刑事诉讼的可能性。 考虑在现有资源范围内,视需要采用特殊侦查手段,并向执法人员提供相应的培训,而且确保使用这些手段获取的证据能被法庭所接受。
3.4. Technical assistance needs identified to improve implementation of the Convention3.4. 在改进《公约》实施方面认明的技术援助需要
Kiribati indicated that it would require technical assistance, including good practice examples and capacity-building, on extradition and MLA (including a manual/guidelines for staff and an internal database for tracking incoming and outgoing requests), the transfer of prisoners and criminal proceedings, joint investigations, special investigative techniques and to enhance law enforcement cooperation.基里巴斯表示,它需要针对引渡和司法协助(包括一份员工手册/准则以及一个用于追踪收到和发出的请求的内部数据库)、囚犯和刑事诉讼移交、联合侦查、特殊侦查手段的技术援助,包括良好做法范例和能力建设,以及加强执法合作。