V0590549_V0590548_EC
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Questionnaire on the implementation of the United Nations Convention against Transnational Organized Crime联合国
The purpose of the present questionnaire is to collect information from States parties and signatories to the United Nations Convention against Transnational Organized Crime (General Assembly resolution 55/25, annex I) in accordance with guidance provided by the Conference of the Parties to the Convention at its second session and in the context of the programme of work approved at that session (CTOC/COP/2005/8, decision 2/1).联合国打击跨国
The information to be provided will relate to the following areas, as determined by the Conference of the Parties, for consideration at its third session:有组织犯罪公约
(a) Measures to combat money-laundering (art. 7 of the Convention);缔约方会议
(b) Measures related to the investigation of cases of transnational organized crime, with particular attention to articles 19, 20 and 26 of the Convention;1 December 2005
(c) Matters related to the protection of witnesses and victims (arts. 24 and 25);Chinese
(d) Matters related to international law enforcement cooperation (art. 27);Original: English
(e) Matters related to preventive measures (art. 31).V.05-90548 (C)
Does your country need assistance in providing the information requested in this questionnaire?*0590548*
( ) Yes<>V0590548C<>
( ) No<>CTOC/COP/20/05/L.4<>
I. Domestic aspects<><>
A. Measures to combat money-laundering《联合国打击跨国有组织犯罪公约》执行情况调查表
1. Has your country instituted a domestic regulatory and supervisory regime for banks and non-bank financial institutions or other bodies particularly susceptible to money-laundering in order to detect and deter all forms of money-laundering (art. 7, para.本调查表的目的是根据公约缔约方会议第二届会议提供的指导,在该届会议核准的工作方案(CTOC/COP/2005/8,第2/1号决定)的范围内向《联合国打击跨国有组织犯罪公约》(大会第55/25号决议,附件一)的缔约国和签署国收集信息。
1 (a), of the Convention)?拟提供的信息将涉及缔约方会议确定的下列方面,供其第三届会议审议:
( ) Yes(a)打击洗钱的措施(《公约》第7条);
( ) No (a) If the answer is “No”, please explain. (b) If the answer is “Yes”, please identify the institutions to which such a regime is applicable. (c) If the answer is “Yes”, does your country’s regime require: (i) Customer identification? ( ) Yes ( ) No If the answer is “Yes”, please specify. (ii) Record-keeping? ( ) Yes ( ) No If the answer is “Yes”, please specify. (iii) Reporting of suspicious transactions? ( ) Yes(b)与调查跨国有组织犯罪案件有关的措施,特别注重《公约》第19、第20和第26条;
( ) No(c)与保护证人和被害人有关的措施(第24和第25条);
If the answer is “Yes”, please specify and provide any available information on, inter alia, the criteria used for identifying suspicious transactions or the sanctions imposed for non-compliance with reporting requirements.(d)与国际执法合作有关的事项(第27条);
2. Does your country’s legal framework enable the administrative, regulatory, law enforcement or judicial authorities in charge of efforts against money-laundering to cooperate and exchange information at the national level (art. 7, para.(e)与预防措施有关的事项(第31条)。
1 (b))?贵国在提供本调查表所要求的信息时是否需要援助?
( ) Yes()是
( ) No()否
(a) If the answer is “No”, please explain.一、国内方面
(b) If the answer is “Yes”, has a financial intelligence unit been established in your country to serve as a national centre for the collection, analysis and dissemination of information related to money-laundering activities?A. 打击洗钱的措施
( ) Yes1. 贵国是否为侦破和威摄各种形式的洗钱活动而对银行和非银行金融机构或者其他特别易于进行洗钱活动的机构建立了国内监管制度(《公约》第7条第1(a)款)?
( ) No()是 ()否 (a)如果回答“否”,请解释。 (b)如果回答“是”,请指明适用此种制度的各机构。 根据《联合国打击跨国有组织犯罪公约》及其议定书谈判正式记录的解释性说明(准备工作文件),《公约》第7条第1(a)款中的“其他机构”一词可以理解为包括中间人、在有些法域,这些中间人可以包括证券经纪行、其他证券经纪人、货币兑换局或货币经纪人(见A/55/383/Add.1,第14段)。 (c)如果回答“是”,贵国的制度是否要求:
If the answer is “Yes”, please specify.(一)客户身份识别?
Has your country implemented measures to detect and monitor the movement of cash and appropriate negotiable instruments across its borders (art. 7, para.()是
2)?()否
( ) Yes如果回答“是”,请具体说明。
( ) No(三)记录保持?
If the answer is “Yes”, please specify and provide, in particular, any available information on safeguards to ensure the proper use of information and the unimpeded movement of legitimate capital.()是
Please provide either a copy of your country’s relevant legislation (or, where appropriate, relevant regulations and administrative rules), where feasible in electronic form, or website addresses, if any, where such legislation (or, where appropriate, regulations or rules) may be found.()否 如果回答“是”,请具体说明。 (三)报告可疑交易? ()是 ()否 如果回答“是”,请特别具体说明并提供关于对识别可疑交易所使用的标准或对不遵守报告要求所实行的制裁办法的任何现有信息。 根据《有组织犯罪公约》及其议定书谈判正式记录的解释性说明(准备工作文件,“可疑交易”一词可以理解为包括各种异常交易,这种交易因其数额、特点和频度而与客户的商业活动不一致,超出了通常接受的市场参数,或者没有明确的法律依据,而且可能构成或涉及一般的非法活动(见A/55/383/Add.1,第15段)。 2. 贵国的法律框架是否有利于负责反洗钱工作的行政、监管、执法或司法机构在国家一级开展合作和交换情报(第7条第1(b)款)? ()是 ()否 (a)如果回答“否”,请解释。 (b)如果回答“是”,贵国是否设立了金融情报单位,由其作为收集、分析和传播关于洗钱活动情报的国家中心? ()是 ()否 如果回答“是”,请具体说明。 3. 贵国是否采取了侦查现金及有关流通票据跨界流动的措施(第7条第2款)? ()是 ()否 如果回答“是”,请特别具体说明和提供关于可确保适当使用情报和不妨碍合法资本流动的保障措施的任何现有信息。 请提供贵国有关立法(或适当的相关条例和行政规则)的副本,如果可行,采用电子文本形式,或提供可查到这类立法(或适当的条例或规则)的任何网站地址。
B. Measures related to the investigation of cases of transnational organized crimeB. 与调查跨国有组织犯罪案件有关的措施
Does your country’s legislation allow for the appropriate use of special investigative techniques for the purpose of effectively combating organized crime and, in particular, the use of (art. 20, para.1):4. 贵国的法律是否允许为有效地打击有组织犯罪而适当使用特殊侦查手段,特别是使用(第20条第1款):
(a) Controlled delivery?(a)控制下交付?
( ) Yes()是
( ) No()否
and/or和/或
(b) Electronic or other forms of surveillance?(b)电子或其他形式的监视?
( ) Yes()是
( ) No()否
and/or (c) Undercover operations? ( ) Yes ( ) No If the answer to any or all the subsections of question 4 is “Yes”, please provide any available information on specific conditions prescribed by your country’s legislation under which the use of special investigative techniques is permitted. Does your country take measures to encourage persons who participate or have participated in organized criminal groups to provide information useful to competent authorities for investigative and evidentiary purposes or any other concrete help that may contribute to depriving organized criminal groups of their resources or proceeds of crime (art. 26, para. 1)? ( ) Yes ( ) No If the answer to question 6 is “Yes”, does your country’s legal system provide for the possibility of mitigating punishment of an accused person who provides substantial cooperation in the investigation or prosecution of an offence or offences covered by the Convention (art. 26, para. 2)? ( ) Yes ( ) No If the answer to question 6 is “Yes”, does your country’s legal system provide for the possibility of granting immunity from prosecution to a person who provides substantial cooperation in the investigation or prosecution of an offence or offences covered by the Convention (art. 26, para. 3)? ( ) Yes ( ) No If the answer to questions 7 and 8 is “Yes”, please provide any available information on specific conditions prescribed by your country’s legislation to which the cooperation with law enforcement and investigative authorities is subject. Please provide either a copy of your country’s relevant legislation (or, where appropriate, relevant regulations and administrative rules), where feasible in electronic form, or website addresses, if any, where such legislation (or, where appropriate, regulations or rules) may be found. C. Measures related to the protection of witnesses and victims 10. Does your country’s legal system enable the provision of protection from potential retaliation or intimidation for witnesses in criminal proceedings who give testimony concerning offences covered by the Convention (art. 24, para. 1)? ( ) Yes ( ) No 11. If the answer to question 10 is “No”, please explain. 12. If the answer to question 10 is “Yes”, does your country’s legal system extend protection to relatives of witnesses or other persons close to them? ( ) Yes ( ) No If the answer is “Yes”, please specify. 13. If the answer to question 10 is “Yes”, does your country’s legal system enable: (a) The establishment of procedures for the physical protection of witnesses, including their relocation and the non-disclosure or limitations on the disclosure of information concerning their identity and whereabouts (art. 24, para. 2 (a))? ( ) Yes ( ) No If the answer is “Yes”, please specify and provide any available information on constitutional or other basic legal requirements existing in your country’s legal system, if any, and related to the protection of basic rights of the defendant while implementing protective measures for witnesses. (b) The establishment or adjustment of domestic evidentiary rules that would permit witness testimony to be given in a manner that ensures the safety of the witness (art. 24, para. 2 (b))? ( ) Yes ( ) No If the answer is “Yes”, please specify and provide any available information on constitutional or other basic legal requirements existing in your country’s legal system, if any, and related to the protection of basic rights of the defendant while implementing protective measures for witnesses. 14. Does your country’s legislation enable the provision of assistance to and protection of victims of offences covered by the Convention, in particular in cases of threat of retaliation or intimidation (art. 25, para. 1)? ( ) Yes ( ) No 15. If the answer to question 14 is “No”, please explain. 16. Does your country’s legislation establish appropriate procedures to provide access to compensation and restitution for victims of offences covered by the Convention (art. 25, para. 2)? ( ) Yes ( ) No If the answer is “Yes”, please specify. 17. Does your country’s legislation enable views and concerns of victims to be presented and considered at appropriate stages of criminal proceedings against offenders involved in organized criminal activities (art. 25, para. 3)? ( ) Yes ( ) No If the answer is “Yes”, please specify and provide any available information on constitutional or other basic legal requirements existing in your country’s legal system, if any, and related to the protection of basic rights of the defendant while implementing protective measures for victims. Please provide either a copy of your country’s relevant legislation (or, where appropriate, relevant regulations and administrative rules), where feasible in electronic form, or website addresses, if any, where such legislation (or, where appropriate, regulations or rules) may be found. D. Preventive measures Has your country developed any national projects or established and promoted best practices and policies aimed at the prevention of transnational organized crime (art. 31, para. 1)? ( ) Yes ( ) No If the answer is “Yes”, please specify. Has your country adopted measures to reduce existing or future opportunities for organized criminal groups to participate in lawful markets with proceeds of crime (art. 31, para. 2), including: (a) The strengthening of cooperation between law enforcement agencies or prosecutors and relevant private entities, including industry? ( ) Yes ( ) No and/or (b) The promotion of the development of standards and procedures designed to safeguard the integrity of public and relevant private entities, as well as codes of conduct for relevant professions, in particular lawyers, notaries public, tax consultants and accountants? ( ) Yes ( ) No and/or (c) The prevention of the misuse of legal persons by organized criminal groups, in particular by: (i) The establishment of public records on legal and natural persons involved in the establishment, management and funding of legal persons and the exchange of information contained therein? ( ) Yes ( ) No and/or (ii) The introduction of the possibility of disqualifying by court order or any appropriate means for a reasonable period of time persons convicted of offences covered by the Convention from acting as directors of legal persons domiciled in your country’s jurisdiction? ( ) Yes ( ) No and/or (iii) The establishment of national records of persons disqualified from acting as directors of legal persons and the exchange of information contained therein? ( ) Yes ( ) No If the answer is “Yes”, please specify. Does your country’s legislation enable the reintegration into society of persons convicted of offences covered by the Convention (art. 31, para. 3)? ( ) Yes ( ) No If the answer is “Yes”, please specify. 21. Have your country’s competent authorities taken any action to evaluate periodically existing relevant legal instruments and administrative practices with a view to detecting their vulnerability to misuse by organized criminal groups (art. 31, para. 4)? ( ) Yes ( ) No If the answer is “Yes”, please specify. 22. Have your country’s competent authorities taken any action to promote public awareness regarding the existence, causes and gravity of and the threat posed by transnational organized crime, as well as public participation in preventing and combating such crime (art. 31, para. 5)? ( ) Yes ( ) No If the answer is “Yes”, please specify. II. International cooperation A. Measures to combat money-laundering 23. Does your country’s legal and operational framework enable the administrative, regulatory, law enforcement or judicial authorities in charge of efforts against money-laundering to cooperate and exchange information at the international level (art. 7, para. 1 (b))? ( ) Yes ( ) No If the answer is “Yes”, please specify. 24. Does your country participate in any global, regional, subregional or bilateral schemes geared towards promoting cooperation between judicial, law enforcement and financial regulatory authorities in order to combat money-laundering (art. 7, para. 4)? ( ) Yes ( ) No If the answer is “Yes”, please specify. B. Measures related to the investigation of cases of transnational organized crime 25. Has your country entered into any bilateral or multilateral agreement or arrangement whereby, in relation to matters that are the subject of investigation, prosecution or judicial proceedings in one or more States parties, the competent authorities concerned may establish joint investigative bodies (art. 19)? ( ) Yes ( ) No If the answer is “Yes”, please specify. 26. In the absence of any agreement or arrangement of the sort referred to in question 25, does your country’s legislation permit joint investigations on a case-by-case basis? ( ) Yes ( ) No If the answer is “Yes”, please specify. 27. Has your country concluded any bilateral or acceded to any multilateral agreement or arrangement for using special investigative techniques, as mentioned in question 4 above, in the context of international cooperation to combat transnational organized crime (art. 20, para. 2)? ( ) Yes ( ) No If the answer is “Yes”, please specify. 28. In the absence of any agreement or arrangement of the sort referred to in question 27, does your country’s legislation permit the use of special investigative techniques at the international level on a case-by-case basis? ( ) Yes ( ) No If the answer is “Yes”, please specify. 29. Has your country entered into any bilateral or multilateral agreement or arrangement with other States parties concerning the treatment (mitigating punishment, immunity) of persons mentioned in question 6 who can provide substantial cooperation to the competent law enforcement and investigative authorities of either contracting party (art. 26, para. 5)? ( ) Yes ( ) No If the answer is “Yes”, please specify. C. Measures to protect witnesses and victims 30. Has your country entered into any bilateral or multilateral agreement or arrangement with other States for the relocation of witnesses and/or victims, insofar as they are witnesses, in order to ensure their physical protection from potential retaliation or intimidation (art. 24, para. 3)? ( ) Yes ( ) No If the answer is “Yes”, please specify. 31. Has your country entered into any bilateral or multilateral agreement or arrangement on mutual legal assistance that provides for the possibility of conducting a hearing by videoconference where it is not feasible or desirable for the witness to appear in person before the judicial authorities of the foreign State (art. 18, para. 18)? ( ) Yes ( ) No If the answer is “Yes”, please specify. Does your country have the technical facilities to support hearings by videoconference? Please describe. D. Measures related to international law enforcement cooperation 32. Have the competent authorities of your country established or enhanced channels of communication with their counterparts in other States parties in order to facilitate the secure and rapid exchange of information concerning all aspects of offences covered by the Convention, including, where appropriate, links with other criminal activities (art. 27, para. 1 (a))? ( ) Yes ( ) No If the answer is “Yes”, please specify. 33. Has your country taken any measures to promote law enforcement cooperation with other States parties in conducting inquiries with respect to offences covered by the Convention (art. 27, para. 1 (b)), in particular in relation to: (a) The identity, whereabouts and activities of persons suspected of involvement in such offences or the location of other persons concerned? ( ) Yes ( ) No and/or (b) The movement of proceeds of crime or property derived from the commission of such offences? ( ) Yes ( ) No and/or (c) The movement of property, equipment or other instrumentalities used or intended for use in the commission of such offences? ( ) Yes ( ) No If the answer is “Yes”, please specify. 34. Has your country adopted any measures to provide, when appropriate, necessary items or quantities of substances for analytical or investigative purposes (art. 27, para.和/或
1 (c))?(c)便衣行动?
( ) Yes()是 ()否
( ) No5. 如果对问题4中各分项回答“是”,请提供关于贵国法律对准许使用特殊侦查手段规定的具体条件的任何现有信息。
If the answer is “Yes”, please specify.6. 贵国是否采取措施鼓励参加或曾经参加有组织犯罪集团的个人提供有利于主管当局进行调查和取证的情况或者提供任何其他可能有助于剥夺有组织犯罪集团的犯罪手段或犯罪所得的具体帮助(第26条第1款)?
35. Has your country adopted any measures to facilitate effective coordination with law enforcement authorities of other States parties and promote the exchange of personnel or the posting of liaison officers (art. 27, para.()是 ()否 7. 如果对问题6回答“是”,贵国的法律制度是否为在《公约》所涵盖的犯罪的侦查或起诉中给予实质性配合的被指控者提供了减轻刑罚的可能性(第26条第2款)? ()是 ()否 8. 如果对问题6回答“是”,贵国的法律制度是否为在《公约》所涵盖的犯罪的侦查或起诉中给予实质性配合的个人提供了免予起诉的可能性(公约第26条第3款)? ()是 ()否 9. 如果对问题7和8回答“是”,请提供关于贵国法律对配合执法和侦查机构所规定的具体条件的任何现有信息。 请提供贵国有关立法(或适当的相关条例和行政规则)的副本,如果可行,采用电子文本形式,或提供可查到这类立法(或适当的条例或规则)的任何网站地址。 C. 与保护证人和被害人有关的措施 10. 贵国的法律制度是否有利于为刑事诉讼中就本《公约》所涵盖的犯罪作证的证人提供保护,使其免遭可能的报复或恐吓(第24条第1款)? ()是 ()否 11. 如果对问题10回答“否”,请解释 12. 如果对问题10回答“是”,贵国的法律制度是否为证人的亲属或与其关系密切者提供保护? ()是 ()否 如果回答“是”,请具体说明。 13. 如果对问题10回答“是”,贵国的法律制度是否有利于: (a)确立为证人提供人身保护的程序,包括将其转移、不披露或限制披露与其身份和下落有关的情况(第24条第2(a)款)? ()是 ()否 如果回答“是”,请具体说明并提供关于贵国法律制度中可能存在的有关在执行保护证人的措施的同时保护被告基本权利的宪法要求或其他基本法律要求的任何现有信息。 (b)制定或调整国内取证规则,以便以可保证证人安全的方式准许证人作证(第24条第2(b)款)? ()是 ()否 如果回答“是”,请具体说明并提供关于贵国法律制度中可能存在的关于在执行保护证人措施的同时保护被告基本权利的宪法要求或其他基本法律要求的任何现有信息。 14. 贵国的法律是否有利于向《公约》所涵盖的犯罪的被害人提供援助和保护,特别是在其受到报复威胁或恐吓的情况下(第25条第1款)? ()是 ()否 15. 如果对问题14回答“否”,请解释。 16. 贵国的法律是否制定适当的程序,使《公约》所涵盖的犯罪的被害人有机会获得赔偿和补偿(第25条第2款)? ()是 ()否 如果回答“是”,请具体说明。 17. 贵国的法律是否有利于在对参与有组织犯罪活动的犯罪人提起的刑事诉讼的适当阶段,使被害人的意见和关切得到表达和考虑(第25条第3款)? ()是 ()否 如果回答“是”,请具体说明并提供关于贵国法律制度中可能存在的有关在执行保护被害人措施的同时保护被告基本权利的宪法要求或其他基本法律要求的任何现有信息。 请提供贵国有关立法(或适当的相关条例和行政规则)的副本,如果可行,采用电子文本形式,或提供可查到这类立法(或适当的条例或规则)的任何网站地址。
1 (d))?D. 预防措施
( ) Yes18. 贵国是否制定了任何旨在预防跨国有组织犯罪的国家项目或者制定并促进了这方面的最佳做法和政策(第31条第1款)?
( ) No()是 ()否
If the answer is “Yes”, please specify.如果回答“是”,请具体说明。
36. Has your country adopted any measures to promote the exchange of information with other States parties on specific means and methods used by organized criminal groups, including routes and conveyances and the use of false identities, altered or false documents or other means of concealing their activities (art. 27, para.19. 贵国是否采取了措施以减少有组织犯罪集团利用犯罪所得参与合法市场的现有机会或未来机会(第31条第2款),包括:
1 (e))?(a)加强执法机构或检察官与包括业界在内的相关私人实体之间的合作?
( ) Yes()是 ()否
( ) No和/或
If the answer is “Yes”, please specify.(b)促进制定各种旨在维护公共实体和有关私人实体廉洁性的标准和准则,以及有关职业,特别是律师、公证人、税务顾问和会计师的行为准则?
37. Has your country adopted any measures to promote the exchange of information and the coordination of administrative measures with other States parties for the purpose of early identification of the offences covered by the Convention (art. 27, para.()是
1 (f))?()否 和/或
( ) Yes(c)防止有组织犯罪集团对法人作不正当利用,这类措施主要包括:
( ) No(一)建立关于法人的建立、管理和筹资中所涉法人和自然人的公共记录并交流其中所载信息?
If the answer is “Yes”, please specify.()是
38. Has your country entered into any bilateral or multilateral agreement or arrangement on direct cooperation between law enforcement agencies (art. 27, para.()否
2)?和/或
( ) Yes(二)宣布有可能通过法院命令或任何适宜手段在一段合理的期间内剥夺被判犯有本《公约》所涵盖的犯罪而且在贵国管辖范围内居住的人担任法人主管人的资格?
( ) No()是 ()否
If the answer is “Yes”, please specify.和/或 (三)建立被剥夺担任法人主管人资格的人的国家记录并交流其中所载信息?
39. In the absence of any agreement or arrangement referred to in question 38, would your country consider the Convention as the legal basis for mutual law enforcement cooperation in respect of the offences covered by it (art. 27, para.()是
2)?()否
( ) Yes如果回答“是”,请具体说明。
( ) No20. 贵国的法律是否有利于被判犯有本《公约》所涵盖的犯罪的人重新融入社会(第31条第3款)? ()是 ()否 如果回答“是”,请具体说明。 21. 贵国的主管机构是否已采取任何行动定期评价现有有关法律文书和行政管理办法,以发现其中易被有组织犯罪集团作不正当利用之处(第31条第4款)? ()是 ()否 如果回答“是”,请具体说明。 22. 贵国的主管机构是否已采取行动提高公众对跨国有组织犯罪的存在、原因和严重性及其所构成的威胁的认识并促进公众参与预防和打击这类犯罪(第31条第5款)? ()是 ()否 如果回答“是”,请具体说明。 二、国际合作 A. 打击洗钱活动的措施 23. 贵国的法律和业务框架是否有利于负责打击洗钱的行政、监管、执法或司法机构在国际一级开展合作和交换信息(第7条第1(b)款)? ()是 ()否 如果回答“是”,请具体说明。 24. 贵国是否为打击洗钱而参与各种旨在促进司法、执法和金融监管机构间合作的任何全球、区域、分区域和双边计划(第7条第4款)? ()是 ()否 如果回答“是”,请具体说明。 B. 与侦查跨国有组织犯罪案件有关的措施 25. 贵国是否缔结了任何双边或多边协定或安排,以便有关主管当局可据以就涉及一个或多个缔约国的侦查、起诉或审判程序事宜建立联合调查机构(第19条)? ()是 ()否 如果回答“是”,请具体说明。 26. 如未缔结问题25中提及的任何这类协定或安排,贵国的法律是否允许在个案基础上进行联合调查? ()是 ()否 如果回答“是”,请具体说明。 27. 贵国是否为在开展国际合作打击跨国有组织犯罪时使用上文问题4中提及的特殊侦查手段而缔结任何双边协定或安排或加入任何多边协定或安排(第20条第2款)? ()是 ()否 如果回答“是”,请具体说明。
40. Have the competent authorities of your country been involved in international law enforcement cooperation to combat transnational organized crime committed through the use of modern technology (art. 27, para.28. 如果没有问题27中提及的任何这类协定或安排,贵国的法律是否允许在个案基础上在国际一级使用特殊侦查手段?
3)?()是
( ) Yes()否
( ) No如果回答“是”,请具体说明。
E. Preventive measures29. 贵国是否与能相互给予另一缔约国主管执法和调查的当局以实质性配合的缔约国就问题6中提及的人的待遇(减轻处罚、豁免)订立任何双边或多边协定或安排(第26条第5款)?
41. Does your country have an authority or authorities that can assist other States parties in developing measures to prevent transnational organized crime (art. 31, para.()是
6)?()否
( ) Yes如果回答“是”,请具体说明。
( ) NoC. 保护证人和被害人的措施
42. If the answer to question 41 is “Yes”, please provide any available information related to the name and address of such authority or authorities.30. 贵国是否与其他国家订立了关于转移证人和/或作为证人的被害人的任何双边或多边协定或安排以确保他们得到人身保护,免遭可能的报复或恐吓(第24条第3款)?
43. Has your country been involved in collaboration schemes or projects with other States parties or relevant international and regional organizations in order to promote and develop measures to prevent transnational organized crime and, in particular, to alleviate the circumstances that render socially marginalized groups vulnerable to the action of such crime (art. 31, para.()是
7)?()否
( ) Yes如果回答“是”,请具体说明。
( ) No31. 贵国是否订立了有关司法协助的任何双边或多边协定或安排,以便在证人不可能或不宜亲自到外国司法当局出庭的情况下,有可能以视频会议方式进行询问(第18条第18款)?
If the answer is “Yes”, please specify.()是
III. Other information()否 如果回答“是”,请具体说明。
44. Please provide any other information you believe is important for the Conference of the Parties to the United Nations Convention against Transnational Organized Crime to consider at this stage regarding aspects of, or difficulties in, implementing the Convention other than those mentioned above.D. 与国际执法合作有关的措施
Country:32. 贵国主管当局是否建立或加强了与其他缔约国对应当局之间的联系渠道,以促进安全、迅速地交换涉及公约所涵盖的犯罪各个方面的有关情报,适当时,包括与其他犯罪活动的联系的有关情报(第27条第1(a)款)?
Date on which the questionnaire was received:()是
---()否
(day/month/year)如果回答“是”,请具体说明。
The official(s) responsible for responding to the questionnaire is (are):33. 贵国是否采取了任何措施促进同其他缔约国的执法合作,就《公约》所涵盖的犯罪的有关事项(第27条第1(b)款),尤其是有关下列方面的事项进行调查:
Ms./Mr.(a)涉嫌参与这类犯罪的人的身份、行踪和活动,或其他有关人员的所在地点?
Title and/or position:()是
Agency and/or office:()否
Mailing address:和/或
Telephone number:(b)来自这类犯罪的犯罪所得或财产的去向?
Telefax number:()是
E-mail address:()否
Deadline for submission of the questionnaire: 15 April 2006和/或
Completed questionnaires should be sent to:(c)用于或企图用于实施这类犯罪的财产、设备或其他工具的去向? ()是 ()否 如果回答“是”,请具体说明。 34. 贵国是否采取了任何措施,在适当情况下提供必要物品或必要数量的物质以供分析或调查之用(第27条第1(c)款)? ()是 ()否 如果回答“是”,请具体说明。 35. 贵国是否采取了任何措施促进与其他缔约国执法当局的有效协调,并加强人员交流或派出联络官员(第27条第1(d)款)? ()是 ()否 如果回答“是”,请具体说明。 36. 贵国是否采取了任何措施促进与其他缔约国交换关于有组织犯罪集团采用的具体手段和方法的信息,包括关于路线和交通工具,利用假身份、经变造或伪造的证件或其他掩盖其活动的手段的信息(第27条第1(e)款)? ()是 ()否 如果回答“是”,请具体说明。 37. 贵国是否采取了任何措施为尽早查明《公约》所涵盖的犯罪而促进与其他缔约国交换情报并协调所采取的行政措施(第27条第1(f)款)? ()是 ()否 如果回答“是”,请具体说明。 38. 贵国是否订立了关于执法机构之间直接合作的任何双边或多边协定或安排(第27条第2款)? ()是 ()否 如果回答“是”,请具体说明。 39. 如果没有问题38中提及的任何协定或安排,贵国是否考虑将《公约》视为针对公约所涵盖的犯罪进行相互执法合作的法律依据(第27条第2款)? ()是 ()否 40. 贵国主管当局是否参与了借助现代技术实施的打击跨国有组织犯罪的国际执法合作(第27条第3款)? ()是 ()否 E. 预防措施 41. 贵国是否设有可协助其他缔约国制订预防跨国有组织犯罪的措施的一个或多个主管当局(第31条第6款)? ()是 ()否 42. 贵国对问题41回答“是”,请提供有关该当局的名称和地址的现有信 息。 凡已根据缔约方会议的第1/2号决定在关于基本报告义务简要调查表中答复这些问题的国家,如果认为适当且必要,可随附增订的有关信息。 43. 贵国是否参与了与其他缔约国或有关的国际和区域组织的合作计划或项目,以促进和制订措施以预防跨国有组织犯罪,尤其是缓减使处于社会边缘地位的群体遭受这种犯罪行动影响的情形(第31条第7款)? ()是 ()否 如果回答“是”,请具体说明。 三、其他信息 44. 除以上提到的各点之外,请提供你认为对于联合国打击跨国有组织犯罪公约缔约方会议在目前阶段就执行《公约》的各个方面或各种困难进行审议是重要的任何其他信息。 国家: 调查表收到日期: --- (日/月/年) 负责答复调查表的官员: 女士/先生 职衔和(或)职位: 机构和(或)办公室: 投邮地址: 电话号码: 传真号码: 电邮地址: 调查表回复截止日期: 2006年4月15日 调查表填好后请寄:
Division for Treaty AffairsDivision for Treaty Affairs
United Nations Office on Drugs and CrimeUnited Nations Office on Drugs and Crime
Vienna International CentreVienna International Centre
P.O.P.O.
Box 500Box 500
1400 Vienna, Austria1400 Vienna, Austria
Attn.: Demostenes ChryssikosAttn.: Demostenes Chryssikos
Telephone: (+43-1) 26060-5586Telephone:(+43-1) 26060-5586
Telefax: (+43-1) 26060-5841Telefax:(+43-1) 26060-5841
E-mail: demostenes.chryssikos@unodc.org According to the interpretative notes for the official records (travaux préparatoires) of the negotiation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto, the words “other bodies” in article 7, paragraph 1 (a), of the Convention may be understood to include intermediaries, which in some jurisdictions may include stockbroking firms, other securities dealers, currency exchange bureaux or currency brokers (see A/55/383/Add.1, para. 14). According to the interpretative notes for the official records (travaux préparatoires) of the negotiation of the Organized Crime Convention and the Protocols thereto, the words “suspicious transactions” may be understood to include unusual transactions that, by reason of their amount, characteristics and frequency, are inconsistent with the customer’s business activity, exceed the normally accepted parameters of the market or have no clear legal basis and could constitute or be connected with unlawful activities in general (see A/55/383/Add.1, para. 15). States that have already responded to these questions in the context of the brief questionnaire on basic reporting obligations in accordance with decision 1/2 of the Conference of the Parties, may, if they deem it appropriate and necessary, update herewith the relevant information. --- 16 15 United Nations Conference of the Parties to the United Nations Convention against Transnational Organized Crime 1 December 2005 V.05-90549 (E) *0590549* <>V0590549<> <><>E-mail:demostenes.chryssikos@unodc.org
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