CAC_COSP_IRG_I_4_1_ADD_4_EC
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CAC/COSP/IRG/I/4/1/ADD.4 V1406175.doc (English)CAC/COSP/IRG/I/4/1/ADD.4 V1406174.doc (Chinese)
United Nations联合国
CAC/COSP/IRG/I/4/1/Add.4CAC/COSP/IRG/I/4/1/Add.4*
Conference of the States Parties to the United Nations Convention against Corruption [[14-06175]]联合国反腐败公约
[[Cover page and spot-check, J Stone, x 4218]]缔约国会议
Distr.: GeneralDistr.: General
24 September 201424 September 2014
Original: EnglishChinese Original: English
CAC/COSP/IRG/I/4/1/Add.4CAC/COSP/IRG/I/4/1/Add.4
x CAC/COSP/IRG/I/4/1/Add.4CAC/COSP/IRG/I/4/1/Add.4
Implementation Review GroupV.14-06174 (C) GL 071014 071014
Sixth session*1406174*
Vienna, 1-5 June 2015<>V1406174<>
Item 2 of the provisional agenda*<>CAC/COSP/IRG/I/4/1/Add.4<>
Review of implementation of the United Nations Convention against Corruption<><>
Executive summary实施情况审议组
Note by the Secretariat第六届会议
Addendum2015年6月1日至5日,维也纳
Contents*
Page Executive summary因技术原因于2014年11月18日重新印发。
2 Poland临时议程*项目2
2**
*CAC/COSP/IRG/2015/1.CAC/COSP/IRG/2015/1。
II. Executive summary审议《联合国反腐败公约》实施情况 内容提要 秘书处的说明 增编 目录 页次 二. 内容提要 2
Poland波兰
1. Introduction2
The United Nations Convention against Corruption was signed by Poland on 10 December 2003 and ratified on 12 May 2006.二. 内容提要 波兰 1. 导言:波兰在实施《联合国反腐败公约》方面的法律和体制框架概述 波兰于2003年12月10日签署《联合国反腐败公约》,并于2006年5月12日批准。 《公约》得到批准并于2007年9月14日生效之后,便成为国内法不可分割的一部分。
Following ratification and its entry into force on 14 September 2007, the Convention became an integral part of domestic law.波兰于2006年9月15日将其批准书交存联合国秘书长。
Poland deposited its instrument of ratification with the Secretary-General of the United Nations on 15 September 2006.内阁于2014年4月1日通过了“2014-2019年政府反腐败方案”。
A “Government Anti-corruption Programme for the years 2014-2019” was adopted by the Cabinet on 1 April 2014.2. 第三章:刑事定罪和执法
2. Chapter III: Criminalization and law enforcement2.1. 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、二十一条)
2.1. Observations on the implementation of the articles under review《刑法》第229条和第228条分别将国家公职人员的行贿和受贿定为刑事犯罪。 这两条都载有一项基本条款和对较轻或较重情节的规定。
Bribery and trading in influence (arts. 15, 16, 18 and 21)《刑法》第115条第13和19款分别定义了“国内公职人员”和“履行公职的人员”这两个概念。
Active bribery of national public officials is criminalized in article 229 PC and passive bribery in article 228 PC.贿赂罪是“与履行公职相关”的。 《刑法》第115条第19款不将贿赂罪适用于仅仅履行“服务类工作”的国家管理机关的雇员。 排除“服务类工作”,也就排除了没有酌处权或无权处置公共资金的人员。
Both articles contain a basic provision and provisions for less significant or aggravated cases.该条规定特别是要适用于那些尽管受雇于公共管理机构的组织单位但其任务同权力行为没有任何关联的人。 审议专家们注意到,“服务类工作”这一表述可能会在贿赂条款的适用中造成解释问题和漏洞。
The concepts of “domestic public official” and “person performing public functions” are defined in article 115, paragraphs 13 and 19 PC accordingly.他们建议波兰当局修改国内法——或对其进行连贯一致的解释——以确保《刑法》对“公职人员”和“履行公职的人员”的定义中对“服务类工作”的排除不会导致公职人员“与履行职务有关的”作为或不作为被排除在贿赂罪之外。 《刑法》第229条使用了“给予”和“承诺提供”物质好处或个人好处的字样。
The bribery offence occurs “in connection with the performance of public functions”.国家当局解释说,“承诺提供”应当解释为包括提议给予,而波兰刑事法律未使用提议给予这一术语。 审议专家建议,该国当局继续以法律确定性为目的制定连贯一致的判例法,以便在国内法律的贿赂条款中明确区分提议给予和承诺给予不正当好处之间的区别。 《刑法》第229条第5款和第228条第6款将贿赂条款的适用范围扩大到在另一国家/外国或国际组织履行公职的人员。
Article 115, paragraph 19 PC excludes the application of the bribery offence to employees of state administrations performing exclusively “service type work.”《刑法》第115条第19款规定的“履行公职的人员”定义除其他外包括“其在公共活动范围内的权利和义务由法律或对波兰共和国具有约束力的国际协定所定义或承认的”人员。
The exception for “service type work” excludes persons who have no discretionary powers or powers to dispose public funds.审议专家认为,在国内确立犯罪人员在外国或国际组织“与公职有关的”外国贿赂罪是一种良好做法,其适用范围不仅限于“进行国际商务”。
The provision is specifically intended to apply to persons who, although employed in organizational units of public administration, perform tasks that are not linked in any way with acts of authority or power.《刑法》第296a条将私营部门的行贿和受贿定为刑事犯罪。
The reviewing experts noted that the expression “service type work” may create interpretation issues and loopholes in the application of the bribery provisions.该条提及了受贿者的作为——或未能作为——的影响的几种具体形式,这种作为或不作为可能会对进行商务活动的组织单位造成物质损失,或可能构成不公平竞争行为或对买受人或收货人、服务或其他履约行为的不可允许的偏袒。
They recommended that the Polish authorities amend the domestic legislation– or pursue its consistent interpretation – to ensure that the exception for “service type work” in the Penal Code definitions of “public official” and “a person performing public functions” does not result in an exception to the bribery offences for acts or omissions of a public official “in relation to the performance of official duties”.审议专家认为,这一措词设置了补充要求,与《公约》第二十一条相比,限制了国内条款的适用范围。
Article 229 PC uses the words “give” and “promise to provide” a material and personal benefit.因此建议修改国内法律以撤除这类限制性的要求。
The national authorities explained that the “promise to provide” should be interpreted to include an offer, the latter term not being used in the Polish criminal legislation.《刑法》第230a条和230条以及体育法第48条(假球案件)将《公约》第十八条本国化。
The reviewing experts recommended that the national authorities continue to develop consistent jurisprudence for purposes of legal certainty to make a clear distinction between the offer and the promise of an undue advantage in the bribery provisions of the domestic legislation.与贿赂条款相似,审议专家建议该国当局继续以法律确定性为目的制定连贯一致的判例法,以在国内法的影响力交易条款中明确区分提议给予和承诺给予不当好处之间的区别。
Articles 229, paragraph 5 and 228, paragraph 6 PC extend the scope of application of the bribery provisions to persons performing public functions in another country/foreign State or an international organization.洗钱,窝赃(第二十三、二十四条)
The definition of “a person performing public functions” provided by article 115, paragraph 19 PC includes, inter alia, persons “whose rights and obligations within the scope of public activity are defined or recognized by a law or an international agreement binding on the Republic of Poland”.《刑法》第299条以“所有犯罪”办法为基础,将洗钱定为刑事犯罪。
The reviewing experts identified as a good practice the fact that the foreign bribery offences are established domestically “in connection with the public functions” of the perpetrator in a foreign State or an international organization, and that their scope of application is not restricted to the “conduct of international business”. Active and passive bribery in the private sector are criminalized through article 296a PC.《刑法》第299条涵盖了自洗钱。
This article refers to specific forms of impact of the act – or failure to act –of the bribe-taker, which may inflict material damage on an organizational unit carrying out business activity unit or may constitute an act of unfair competition or inadmissible act of preference in favour of a buyer, or a recipient of goods, services or other performance.基本条款提及了一人除其他外采取有可能妨碍或严重阻碍判定资产或财产的犯罪来源及查明、扣押或判决没收这类资产的行动。
The reviewing experts found that this wording sets additional requirements which restrict the scope of application of the domestic provision, as compared to article 21 of the Convention.审议专家注意到“严重阻碍”判定所得的犯罪来源这一限制性要求,并建议删去“严重”一词。
Therefore they recommended the amendment of the domestic legislation to overcome such restrictive requirements.《刑法》第299条实施了《公约》第二十四条。
Article 18 of the Convention is domesticated through articles 230a and 230 PC, as well as article 48 of the Act on sport (match-fixing cases).贪污,滥用职权和资产非法增加(第十七、十九、二十、二十二条)
Similarly to the bribery provisions, the reviewing experts recommended that the national authorities continue to develop consistent jurisprudence for purposes of legal certainty to make a clear distinction between the offer and the promise of an undue advantage in the trading in influence provisions of the domestic legislation.《刑法》第284条和296条将公共部门和私营部门中的贪污定为刑事犯罪。
Money-laundering, concealment (arts. 23 and 24)《刑法》第296条以宽泛的方式将相关行为定为刑事犯罪,犯罪人员越权管理资产或企业或未能履行职责也作为可予处罚的行为包含在内。
Money-laundering is criminalized by article 299 PC, based on an “all-crimes” approach.《刑法》第231条充分实施了《公约》第十九条。
Self-laundering is covered by article 299 PC.波兰审议了将资产非法增加定为刑事犯罪的可能性,但尚未确立此类犯罪。
The basic provision refers to the conduct of a person who, among others, undertakes actions that may obstruct or considerably hinder the assertion of the criminal origin of assets or property and their detection, seizure or adjudication of their forfeiture.妨害司法(第二十五条)
The reviewing experts noted the restrictive requirement of “considerably hindering” the assertion of the criminal origin of the proceeds and recommended the deletion of the word “considerably”.《刑法》第18条、第232-240条和第245条将《公约》第二十五条第 = 1 \* GB4 ㈠项本国化。
Article 24 of the Convention is implemented through section 299 PC.审议专家注意到,没有独立的罪名惩罚提议给予或实际给予不正当好处以诱使在诉讼程序中提供虚假证言或干扰出示证据。
Embezzlement, abuse of functions and illicit enrichment (arts. 17, 19, 20 and 22)《刑法》第232条实施了《公约》第二十五条第 = 2 \* GB4 ㈡项。
Embezzlement in both the public and the private sectors is criminalized through articles 284 and 296 PC.法人责任(第二十六条)
Article 296 PC criminalizes the relevant act in a broad manner, in the sense that the management of property or business by exceeding powers granted to the perpetrator or by failing to perform duties is also covered as a punishable conduct.《集体实体对以处罚禁止的犯罪的责任法案》(2002年)规定了“集体实体”的责任,这种责任具有特殊的性质:不被视为刑事责任,但由刑事法庭根据《刑事诉讼法》的条款加以判决。
Article 19 of the Convention is fully implemented through section 231 PC.审议小组注意到,要求对自然人定罪才能对法人追究责任(《法案》第4条)直接违反了《公约》第二十六条第三款,因而严重妨碍了该《法案》的效力。
Having considered the possibility to criminalize illicit enrichment, Poland has not established such an offence.审议专家建议在国内立法中删除这一要求,并确立有效的法人责任,不限于犯罪的自然人被起诉或定罪的情形。
Obstruction of justice (art. 25)《集体主体责任法案》列举了对贿赂、影响力交易和洗钱的罚款规定。
Article 25(a) of the Convention is domesticated through articles 18, 232-240 and 245 PC.该国当局承认,在执行该《法案》方面没有任何惯例。
The reviewing experts noted that there is no stand-alone offence to punish the offering or giving of an undue advantage to induce false testimony or the production of evidence in a proceeding.除了先对自然人定罪这一要求所造成的问题之外,审议专家还发现了以下问题:对法人的制裁程度极低;缺乏法律支持收集关于法人实施刑事犯罪的证据;一些漏洞可能会被用来逃避法人实体责任(例如,通过与另一实体合并)。
Article 25(b) of Convention is implemented through section 232 PC.审议小组建议该国当局采取措施处理这些问题并确保有效执行相关法律。
Liability of legal persons (art. 26)参与和未遂(第二十七条)
The Act on Liability of Collective Entities for Offences Prohibited under Penalty (2002) provides for the liability of “collective entities”, which is of a sui generis nature: it is not considered as criminal liability, although it is adjudicated by a criminal court pursuant to the provisions of the CPC.《刑法》第18和19条对参与实施刑事犯罪作了规定。
The review team noted that the requirement of the conviction of a natural person in order to impose liability on a legal person (article 4 of the Act) directly contravenes paragraph 3 of article 26 of the Convention, and, thus, severely hinders the effectiveness of the Act.《刑法》第13-15条涵盖了实施刑事犯罪未遂。
The reviewing experts recommended the deletion of this requirement in the domestic legislation and the establishment of effective liability of legal persons that is not limited to cases where the natural person who perpetrated the offences is prosecuted or convicted.犯罪预备只有在法律有规定的情况下才能加以处罚。
The Act on Liability of Collective Subjects enumerates a list of pecuniary sanctions for bribery, trading in influence and money laundering.腐败罪的预备行为不属于刑事犯罪。
The national authorities acknowledged that there is no practice in implementing the Act.起诉、审判和制裁;与执法机关的合作(第三十、三十七条)
Apart from the problems posed by the requirement of prior conviction of a natural person, the reviewing experts identified the following issues: extremely low level of sanctions against legal persons; lack of legislation enabling the collection of evidence against legal persons for the commission of criminal offences; and loopholes that may be utilized to avoid the liability of a legal entity (for example, through merging with another entity).审议小组认为,对实施腐败犯罪的人适用的处罚适当而且足以起到警戒作用。
The review team recommended that the national authorities take measures to address such problems and ensure effective implementation of the relevant legislation.按照波兰法律制度,享受起诉豁免的公职人员范围很广(议员、法官、检察官、国家裁判所成员、最高监察院院长,以及公民权利专员)。
Participation and attempt (art. 27) The participation in the commission of a criminal offence is regulated in articles 18 and 19 PC. The attempt to commit a criminal offence is covered in articles 13-15 PC. Preparation of a criminal offence is subject to a penalty only when the law so provides. The preparation of corruption offences is not incriminated. Prosecution, adjudication and sanctions; cooperation with law enforcement authorities (arts. 30 and 37) The review team found the sanctions applicable to persons who have committed corruption offences to be adequate and sufficiently dissuasive. Under the Polish legal system, there is a wide range of public officials enjoying immunity from prosecution (parliamentarians, judges, prosecutors, members of the Tribunal of State, the President of the Supreme Chamber of Control, and the Commissioner for Citizens' Rights). The reviewing experts recommended the adoption of legislative measures to ensure that investigative action aimed at securing evidence of committing a criminal offence, and particularly related to the lifting of bank secrecy, is allowed before the lifting of immunity takes place and that procedural immunity is narrowed to only criminal prosecution and would not be applicable to pre-trial investigation stage. Article 37 of the Convention is implemented through articles 60; 229, paragraph 6; 230а, paragraph 3; 250а, paragraph 4; 296а, paragraph 5; and 307 PC. Article 229, paragraph 6 PC provides for impunity (“the perpetrator shall not be liable to punishment”) if the material or personal benefit or a promise thereof were accepted by the person performing public functions and the perpetrator had reported this fact to the law-enforcement agency, revealing all essential circumstances of the offence before this authority learned of the offence. Similar “immunity clauses” are found in article 230а, paragraph 3 PC (active trading in influence – “the penalty is not imposed on the perpetrator”) and article 296а, paragraph 5 PC (active bribery in the bribery sector – “the perpetrator shall not be subject to a penalty”). The reviewing experts encouraged the national authorities to consider whether an amendment in the text of the provisions in the form of optional wording (“may not be liable to punishment”; “the penalty may not be imposed on the perpetrator”; “the perpetrator may not be subject to a penalty” accordingly), coupled with the option of mitigating punishment/circumstances, could be conducive to a more flexible application of the provision on a case-by-case basis and could allow the public prosecutor to “weigh” in each case the level of cooperation of the perpetrator of active bribery. Protection of witnesses and reporting persons (arts. 32 and 33) Measures for the protection of witnesses are set forth in the CPC, article 20a of the Act on the Police and article 14 of the Act on the immunity witness. The review team identified the latter Act as a good practice as it provides modern solutions for the protection of immunity witness and his/her next of kin. Poland reported that whistleblowers are subject to protection on the basis of general principles of labour law. Poland also referred to provisions protecting employees-whistleblowers from retaliation, such as the anti-discrimination provisions and the provisions that prohibit mobbing in the place of employment. However, the review team noted the lack of information in response to allegations that the national regulations on whistleblowers protection are largely ineffective due to their disparate and vague application. In particular, the available research indicates that the effectiveness of the labour code provisions in practice is low. Moreover, the Labour Code covers only a part of working population. One of the setbacks identified was the decision to withdraw the whistleblowers protection from the Government Anti-corruption Programme 2014-2019. The reviewing experts encouraged the Polish authorities to amend the Programme and include the whistleblowers protection as an indication of the high priority accorded to it and the political will to improve the efficiency of legal protection for whistleblowers. Another recommendation of the review team was the development of specific legislation on the protection of reporting persons. The following considerations may be taken into account: The introduction of the concept of “protection of whistleblowers”: specific legislation on the protection of reporting persons can be conducive to introducing this protection as a key concept in cases adjudicated by the courts, which – currently – end up as unfair dismissal cases; Retaliation against whistleblowers should be expressis verbis forbidden and retributive actions should also be referred to as a form of discrimination in the legislative text; In terms of implementation, the burden of proof in whistleblowing cases should be expressis verbis placed on the employer. From an operational point of view, the review team identified as a good practice the development of an on-line and helpline reporting system, based on the Act on the Central Anti-Corruption Bureau, to enable Polish citizens and other persons with habitual residence in Poland to report corruption offences. Freezing, seizing and confiscation; bank secrecy (arts. 31 and 40) Criminal law provisions in Poland enable forfeiture in order to deprive offenders of the proceeds and instrumentalities of crime (there is no such penal measure as “confiscation of assets”). The Polish legislation also provides for civil forfeiture pursuant to article 412 of the Civil Code. The property subject to forfeiture is transferred to the State Treasury, which is responsible for its administration. The national authorities recognized the need for introducing and implementing more streamlined provisions on the administration of forfeited proceeds of crime or property, given that the State Treasury cannot obtain benefit of the forfeited assets. Consequently, the reviewing experts recommended the adoption and implementation of such measures.审议专家建议采取立法措施,确保允许在撤销豁免权之前开展调查行动,以便获取实施刑事犯罪的证据,特别是与取消银行保密有关的行动,并确保程序豁免范围缩小至仅限于刑事起诉,而不可适用于审前调查阶段。
Article 40 of the Convention is implemented domestically through article 105, paragraph 1, of the Banking Act.《刑法》第60条、第229条第6款、第230a条第3款、第250a条第4款、第296a条第5款和第307条实施了《公约》第三十七条。
Poland acknowledged that the procedure for applying for bank records-although made ex-parte- may be subject to legal challenges, thus entailing delay in disclosure of these records with the net effect that progress of ongoing investigation may be seriously impaired.《刑法》第229条第6款规定,履行公职的人员接受了物质好处或个人好处或承诺给予的好处,而该犯罪人员已将这一事实报告执法机关,在该机关知悉该犯罪之前透露了犯罪的所有基本情形的,予以豁免(“不对犯罪人员进行处罚”)。
Therefore the review team recommended that effective legislative measures be implemented for disclosure of bank records to take place within a prescribed reasonable timeframe and for the possibility of legal challenges to be curtailed, to avoid unnecessary delays.类似的“豁免条款”见《刑法》第230a条第3款(主动的影响力交易 ——“不对犯罪人员进行处罚”和《刑法》第296a条第5款(在私营部门的行贿——“不应对犯罪人员进行处罚”)。
Statute of limitations; criminal record (arts. 29 and 41) The period of limitation is determined by the length of imprisonment which can be imposed for the offence in question. Pursuant to article 102 PC, the period of limitation is prolonged in case of criminal proceedings instituted against the offender. The review team found the statute of limitations periods adequate enough to serve the purposes of the proper administration of justice. Article 41 of the Convention is implemented through articles 114 and 114a PC. Jurisdiction (art. 42) Jurisdiction based on the principle of territoriality is established in article 5 PC. Dual criminality is generally required to establish extra-territorial jurisdiction (with some exceptions). According to article 110, paragraph 2 PC, the national criminal laws apply to foreigners committing offences abroad other than terrorist offences and those directed against the interests of the State and a Polish citizen or legal person, if, under the Polish penal law, such an offence is subject to a penalty exceeding two years of deprivation of liberty, and the perpetrator remains within the territory of the Republic of Poland and no decision on his extradition has been taken. The reviewing experts noted the use of this provision for the application of the axiom “aut dedere aut judicare”, but also highlighted the restriction posed by the threshold of two years of imprisonment, recommending its deletion. Consequences of acts of corruption; compensation for damage (arts. 34 and 35) According to article 58 of the Civil Code, any illegal activity, even if it takes the form of a contract or any other legal action, has not effect in the legal turnover. The same applies if the contract or other legal action was concluded due to the accepting/giving of the bribe. Article 17, paragraph 5, of the Act of Public Procurement Law stipulates that persons performing actions in connection with award procedures shall be subject to exclusion, if they have been legally sentenced for an offence committed in connection with contract award procedures, bribery, offences against economic turnover or any other offence committed with the aim of gaining financial profit. A victim within the Polish criminal proceedings enjoys all rights of witness. The status of an injured person is regulated in articles 49-52 CPC. Specialized authorities and inter-agency coordination (arts. 36, 38 and 39) The Central Anti-Corruption Bureau (CAB) is a special service operating under the Act of 9 June 2006 on the Central Anti-Corruption Bureau. The Head of the CAB is appointed for a term of four years and recalled by the Prime Minister, following consultations with the President of the Republic of Poland, the Special Services Committee and the Parliamentary Committee for Special Services. During the country visit, representatives from the civil society suggested that the Head of the CAB be appointed by a Parliament decision, on the proposal of the President of the Republic of Poland. This process is similar to the appointment of the Head of the National Audit Office, which, however, functions as a body with a constitutional mandate. The review team invited the national authorities to study these views and assess their applicability within the context of a future discussion on the role, mandates and effectiveness of the CAB. Under article 2 of the Act on the Central Anti-Corruption Bureau, the Bureau deals with the identification, prevention and detection of a series of offences, prosecution of perpetrators, as well as control, analytical and preventive activities. It performs preliminary investigation tasks aimed at disclosing corruption offences and offences detrimental to the State’s economy. During the country visit, representatives from the civil society argued in favour of enhanced CAB efforts geared towards elaborating analytical criminological studies on the implementation of criminal law provisions against corruption. The review team welcomed the existence and function of CAB as a special body against corruption and recommended the continuation of efforts towards enhancing its institutional efficiency.审议专家鼓励该国当局考虑,以任择性措词的形式修改这些条款的案文(分别为“可不进行处罚”;“可不对犯罪人员进行处罚”;“犯罪人员可不受处罚”),并添加备选的从轻处罚/情形,是否会使这种条款具体案件的适用更为灵活,并可使公诉人能够在每个案件中“权衡”行贿人员的合作程度。
The reviewing experts favoured the delineation of the competences of the Bureau by making best use of existing resources (a practical problem reported during the country visit is that of ensuring the accuracy and veracity of assets and conflicts of interest declarations due to the high number of public officials under scrutiny).保护证人和举报人(第三十二、三十三条)
It is up to the Polish authorities to decide whether both law enforcement and preventive functions will remain within the mandate of the CAB or whether the Bureau will focus on law enforcement, pursuant to article 36 of the Convention, with enhanced preventive functions assigned to another body.《刑事诉讼法》、《警察法》第20a条和《豁免证人法案》第14条规定了保护证人的措施。
The General Inspector of Financial Information (GIFI) is responsible for carrying out tasks related to money laundering and terrorist financing.审议小组认为最后一种法案是良好做法,为保护豁免证人及其近亲提供了现代解决办法。
Together with the Department of Financial Information, they create the Polish Financial Intelligence Unit located in the Ministry of Finance.波兰报告称,根据劳动法的一般原则,举报人可受到保护。
The responsibility for the prosecution of corruption offences rests with the prosecution service which supervises the investigations carried out by the CAB and the law enforcement authorities.波兰还提及了保护身为雇员的举报人不受报复的条款,如反歧视条款和禁止在工作场所聚扰的条款。
Statute of 9 October 2009 amending the Prosecution Act separated the functions of the Prosecutor General from the Ministry of Justice.但审议小组注意到,据称关于保护举报人的国家条例基本上没有效力,因为它们在适用上差别很大而且模糊不清,而对此没有提供信息回应。
The aforementioned statute amending the 1985 Prosecution Act established the National Prosecution Council (NPC) as a designated self-government organ for securing and protecting prosecutorial independence.特别是,所掌握的研究结果表明,劳动法条款在实践中的效力很低。
Specialized units against corruption have been created within the prosecution service.此外,劳动法仅涵盖一部分劳动人口。
The national authorities reported on domestic provisions facilitating cooperation between government institutions to combat crime, including corruption offences (mainly article 304 CPC).所确定的障碍之一是从《2014-2019年政府反腐败方案》中取消举报人保护的决定。
They also reported on the cooperation between government institutions and private sector entities (article 15, paragraph 3 CPC and, for money-laundering and financing of terrorism, chapter 4 of the Act on “counteracting money laundering and terrorism financing” of 16 November 2000).审议专家鼓励波兰当局修改该《方案》并列入举报人保护内容,体现对举报人保护给予的高度优先地位,并表明提高对举报人的法律保护效率的政治意愿。
The reviewing experts invited the national authorities to continue efforts aimed at enhancing interagency coordination in the fight against corruption, as well as cooperation between national authorities and the private sector for the same purpose.审议小组提出的另一项建议是制定关于保护举报人的具体法律。
2.2. Successes and good practices可顾及以下考虑因素:
The fact that the foreign bribery offences are established domestically “in connection with the public functions” of the perpetrator in a foreign State or an international organization, and that their scope of application is not restricted to “the conduct of international business”;采用“举报人保护”的概念:关于保护举报人的具体法律可有助于将这种保护作为一个主要概念引入法院裁决的案件,而这些案件目前的结局都是不公正的解雇案件;
The Act on the immunity witness which provides modern solutions for the protection of immunity witnesses and their next of kin;应当明文禁止报复举报人,应在法律案文中提及报复行为是歧视的一种形式;
The development of an on-line and helpline reporting system, based on the Act on the Central Anti-Corruption Bureau, to enable Polish citizens and other persons with habitual residence in Poland to report corruption offences.在执行方面,应当明文规定在举报案件中由雇主一方承担证据责任。
2.3. Challenges in implementation从运作方面看,审议小组认为,依据《中央反贪局法案》建立网上和热线电话举报系统是一种良好做法,可使波兰公民和在波兰有惯常居所的人能够举报腐败罪行。
Continue to develop consistent jurisprudence for purposes of legal certainty to make a clear distinction between the offer and the promise of an undue advantage in the bribery and trading in influence provisions of the domestic legislation;冻结、扣押和没收;银行保密(第三十一、四十条)
Take measures to amend the domestic legislation – or pursue its consistent interpretation – to ensure that the exception for “service type work” in the Penal Code definitions of “public official” and “a person performing public functions” does not result in an exception to the bribery offences for acts or omissions of a public official “in relation to the performance of official duties”;波兰的刑法条款允许进行没收以剥夺犯罪人员的犯罪所得和犯罪手段(没有“没收资产”这类处罚措施)。
Amend the domestic legislation to overcome problems that may be posed by existing requirements which restrict the scope of application of article 296a PC on the criminalization of bribery in the private sector (act – or failure to act –of the bribe-taker, which may inflict material damage on an organizational unit carrying out business activity unit or may constitute an act of unfair competition or inadmissible act of preference in favour of a buyer, or a recipient of goods, services or other performance);波兰法律还规定了依照《民法》第412条进行的民事没收。
Amend the domestic legislation along the lines of removing the word “considerably” in article 299 PC while describing the conduct of “undertaking other actions that may hinder the assertion of criminal origin” of the proceeds (money-laundering);所没收的资产上交国库,由国库负责管理。
Consider including a provision in the national legislation establishing a specific stand-alone offence that explicitly covers the offering or giving of an undue advantage to induce false testimony or the production of evidence in a proceeding;国家当局承认,鉴于国库无法从没收的资产中获益,在管理没收的犯罪所得或资产方面需要采用并实行更简易的条款。
Delete the requirement of a conviction of a natural person in order to impose liability on a legal person and establish effective liability of legal persons that is not limited to cases where the natural person who perpetrated the offences is prosecuted or convicted;因此,审议专家建议采取和执行此类措施。
Take measures to ensure the effective implementation of the domestic legislation on the liability of legal persons, particularly through increasing sanctions, enabling the the collection of evidence against legal persons for the commission of criminal offences and preventing loopholes that may be utilized to avoid the liability of a legal entity;《公约》第四十条通过《银行法》第105条第1款在国内实施。
Take legislative measures to ensure that investigative action aimed at securing evidence of committing a criminal offence, and particularly related to the lifting of bank secrecy, is allowed before the lifting of immunity takes place and that procedural immunity is narrowed to only criminal prosecution and would not be applicable to pre-trial investigation stage;波兰承认,对银行记录适用的程序——尽管是单方面适用——可能存在一些法律上的困难,因而造成这些记录延迟披露,实际影响就是正在进行的调查的进展可能会受到严重阻碍。
Adopt and implement measures to ensure more effective and efficient administration of forfeited proceeds of crime or property;因此审议小组建议,执行有效的法律措施,以便在规定的合理时限内披露银行记录,并且有可能减轻法律上的困难,避免不必要的拖延。
Explore the possibility of amending the Government Anti-corruption Programme 2014-2019 to include the whistleblowers protection; and to develop specific legislation on the protection of reporting persons.时效;犯罪记录(第二十九、四十一条)
Considerations to be taken into account when developing – and implementing - such legislation are mentioned above;时效是按照可对有关犯罪施行监禁的时间长短决定的。
Enhance the efforts of the Central Anti-Corruption Bureau geared towards elaborating analytical criminological studies on the implementation of criminal law provisions against corruption;按照《刑法》第102条,如果对犯罪人员提起刑事诉讼,可以延长时效期。
Study and assess the applicability of suggestions on the establishment of high standards of appointment of the Head of the CAB, involving a Parliament decision on the proposal of the President of the Republic of Poland;审议小组认为,时效期足以允许实行适当的司法行政。
Continue efforts towards enhancing the institutional efficiency of the CAB; delineate the competences of the Bureau taking into account the need for best use of existing resources; and, on that basis, decide whether both law enforcement and preventive functions will remain within the mandate of the CAB or whether the Bureau will focus on law enforcement, pursuant to article 36 of the Convention;《公约》第四十一条通过《刑法》第114条和第114a条实施。
Consider whether an amendment in the form of optional wording in the text of the “immunity clauses” contained in article 229, paragraph 6, article 230а, paragraph 3 and article 296а, paragraph 5 PC (“may not be liable to punishment”, “the penalty may not be imposed on the perpetrator”, “the perpetrator may not be subject to a penalty” accordingly), coupled with the option of mitigating punishment/circumstances, could be conducive to a more flexible application of the provision on a case-by-case basis and could allow the public prosecutor to “weigh” in each case the level of cooperation of the perpetrator of active bribery;管辖权(第四十二条)
Continue efforts aimed at enhancing interagency coordination in the fight against corruption, as well as cooperation between national authorities and the private sector for the same purpose;《刑法》第5条确立了以领土原则为基础的管辖权。
Implement effective legislative measures for the disclosure of bank records within a prescribed reasonable time frame and for the possibility of legal challenges to be curtailed to avoid unnecessary delays; and通常要求两国共认犯罪才能确立域外管辖权(但有某些例外情形)。
Amend the domestic legislation (article 110, paragraph 2 PC) along the lines of removing the threshold of two years of imprisonment for the establishment of domestic criminal jurisdiction for prosecution purposes in lieu of extradition.依据《刑法》第110条第2款,国家刑法适用于在国外实施了除恐怖主义犯罪和侵犯国家、波兰公民或法人利益的犯罪之外的罪行的外国人,条件是,按照波兰刑法,此种犯罪应处以剥夺自由两年以上,犯罪人员留在波兰共和国领土上,而且没有作出将其引渡的决定。
3. Chapter IV: International cooperation审议专家注意到该条款用于适用“不引渡即审判”原理,并且强调两年监禁这一最低要求所造成的限制,建议将其删除。
3.1. Observations on the implementation of the articles under review腐败行为的后果;损害赔偿(第三十四、三十五条)
Extradition; transfer of sentenced persons; transfer of criminal proceedings (arts. 44, 45 and 47)按照《民法》第58条,任何非法活动,即使是以合同或其他合法行为的形式进行的,在合法交易额中均无效。 该条也适用于因受贿/行贿而订立合同或其他合法行为的情形。
In Poland, extradition is regulated in the Constitution, the CPC and in applicable bilateral and multilateral treaties or agreements.《公诉法法案》第17条第5款规定,执行授标程序相关行动的人,凡因所实施的与授标程序有关的犯罪、贿赂、损害经济周转罪或为获得经济利益而实施的任何其他犯罪而已经受到合法判决的,应当排除在外。 波兰刑事诉讼中的受害人享有证人的所有权利。
With regard to other Member States of the European Union, the surrender of fugitives is carried out in line with the requirements of the European Council Framework Decision of 13 June 2002 on the European Arrest Warrant (EAW).《刑事诉讼法》第49-52条对受害人的地位作了规定。
Poland may grant extradition with or without a treaty.专职机关和机构间协调(第三十六、三十八、三十九条) 中央反贪局是一个特殊部门,依据2006年6月9日《中央反贪局法案》开展行动。
In the absence of a treaty, extradition is possible on the basis of reciprocity.中央反贪局局长由总理与波兰共和国总统、特殊部门委员会和议会特殊部门委员会协商后任免,任期四年。 在国别访问期间,民间社会代表建议,反贪局长由议会根据波兰共和国总统的提议决定任命。
Poland considers the Convention a legal basis for extradition.这一程序与国家审计署署长的任命相似,但国家审计署是依据宪法规定的任务授权作为一个机构运行的。
The absence of dual criminality, which is determined on the basis of the “underlying conduct” approach (good practice), is an absolute reason for refusal of extradition.审议小组请国家各机关研究这些意见,并在今后关于中央反贪局的职责、任务授权和效力问题的讨论中评估这些意见的可适用性。 根据《中央反贪局法案》第2条,反贪局处理的事项有:识别、防止和侦察一系列犯罪;起诉犯罪人员;以及进行管制、分析和预防等活动。 它履行初步调查任务,目的是揭露腐败罪和有损于国家经济的犯罪。 在国别访问期间,民间社会的代表主张反贪局加强努力,对反腐败刑法条款的执行情况进行详细的犯罪学分析研究。
The reviewing experts recommended the adoption of a more flexible approach, in line with article 44, paragraph 2, of the Convention.审议小组欣见反贪局作为一个特别反腐败机构的存在和职能,并建议继续努力提高其机构效率。
The offence should carry a penalty of deprivation of liberty for not less than one year.审议专家赞成最大限度利用现有资源,界定反贪局的权限(在国别访问期间报告的一个现实问题是确保资产和利益冲突申报的准确性和真实性的问题,因为受监察的公职人员人数很多)。
All Convention offences constitute extraditable offences.由波兰当局决定是否将执法和预防这两项职能都保留在反贪局的任务授权中,或者是否按照《公约》第三十六条由反贪局重点负责执法,而将增强后的预防职能分派给另一个机构。
Article 55 of the Constitution prohibits the extradition of nationals.金融信息督察长负责履行与洗钱和资助恐怖主义有关的任务。 与金融信息处一道,在财政部设立了波兰金融情报股。
However, the extradition of a Polish citizen may be granted upon a request made by a foreign State or an international judicial body if such a possibility stems from an international treaty ratified by Poland.检察部门负责起诉腐败罪,该部门对反贪局和执法机关的调查工作进行监督。
None of the offences established pursuant to the Convention is deemed a political offence.2009年10月9日修正《检察法案》的法规将检察长和司法部的职能分开。 上述修正1985年《检察法案》的法规设立了国家检察委员会,作为一个指定的自治机构,负责获得并保护检控权独立性。
With regard to extradition requests relating to fiscal matters, Poland does not deny extradition requests on the sole ground that they involve fiscal matters.在检察部门内部设立了反腐败专职单位。 国家各机关报告了便利政府机构之间合作打击犯罪(包括腐败罪)的国内条款(主要是《刑事诉讼法》第304条)。 各机关还报告了政府机构和私营部门实体之间的合作情况(《刑事诉讼法》第15条第3款,在洗钱和资助恐怖主义方面,则是2000年11月16日关于“打击洗钱和资助恐怖主义”的法案第4章)。
The grounds for refusal of an extradition request, both mandatory and optional, are prescribed in article 604 CPC.审议专家请国家各机关继续努力,争取在打击腐败方面加强机构间协调,并增进国家机关与私营部门之间为这一目的而进行的合作。 2.2. 成功经验和良好做法 在国内确立了犯罪人员在外国或国际组织进行的“与公职有关的”外国贿赂罪,而且这些罪名的适用范围并不仅限于“国际商务行为”;
The length of extradition proceedings is dependent on the matter of the case.关于豁免证人的法案为保护豁免证人及其近亲提供了现代解决办法; 依据《中央反贪局法案》建立了网上和热线电话举报系统,使波兰公民和在波兰有惯常居所的人能够举报腐败罪。
Simple cases and cases adjudicated according to simplified procedures are usually carried out approximately within three months from the time of submission of the extradition request.2.3. 实施方面相应遇到的挑战
Other extradition cases could take up to two years to be completed, depending on their complexity.继续以法律确定性为目的制定连贯一致的判例法,以便在国内法关于贿赂和影响力交易的条款中明确区分提议给予和承诺给予不正当好处;
Poland is bound by the European Convention on Extradition and its two Additional Protocols, as well as multilateral and bilateral treaties providing a basis for extradition.采取措施修改国内法——或者争取一致解释——以确保《刑法》中“公职人员”和“履行公职的人员”的定义中对“服务类工作”的排除不会导致将公职人员“与履行公职有关”的作为或不作为排除在腐败犯罪之外; 修改国内法以解决现有的要求因限制《刑法》关于将私营部门贿赂定为刑事犯罪的第296a条的适用范围而可能造成的问题(受贿者的作为—或不作为—可能对开展商业活动的组织单位造成物质损失,或者可能构成不公平竞争行为或对买受人或收货人、服务或其他履约行为的不可允许的偏袒);
The reviewing experts highlighted the need for a more systematic approach in compiling statistical data on extradition cases and encouraged the national authorities to continue efforts in this regard.删除《刑法》第299条中“严重”一词并照此修改国内法,同时阐述“采取可能妨碍确定所得的犯罪来源的其他行动”的行为(洗钱);
The transfer of sentenced persons is regulated in articles 608-611f CPC.考虑在国内立法中添加一项条款,确立一项具体的独立罪名,明确涵盖提议给予或实际给予不正当好处以诱使在诉讼中提供虚假证言或干扰提供证据;
Poland is a party to the Council of Europe Convention on the Transfer of Sentenced Persons and its Additional Protocol.删除自然人定罪要求,以追究法人责任,并确立有效的法人责任,不仅限于犯有罪行的自然人被起诉或定罪的情形; 采取措施确保有效执行关于法人责任的国内法,特别是通过加重处罚、授权收集关于法人实施刑事犯罪的证据,以及防止出现漏洞被用于逃避法律实体的责任;
The transfer of criminal proceedings is regulated in Chapter 63 CPC (articles 590-592).采取立法措施,确保能够在撤销豁免权之前开展调查行动,以便获得刑事犯罪证据,特别是与撤销银行保密有关的证据,并将程序豁免的范围缩小至仅限于刑事起诉,而且不可适用于审前调查阶段;
Mutual legal assistance (art. 46)采取和执行各项措施,确保更有效而高效地管理没收的犯罪所得或资产; 研究是否可能修改《2014-2019年政府反腐败方案》,以列入举报人保护;并制定关于保护举报人的专门立法。
The CPC governs mutual legal assistance (MLA) in the absence of a treaty.上文提及了在制定和执行此种立法时所要顾及的考虑因素; 加大中央反贪局的努力,争取对刑法中反腐败条款的执行情况进行详细的犯罪学分析研究;
The lack of dual criminality is a discretionary ground for refusal of an MLA request.研究和评估关于为反贪局局长的任命制定高标准的建议的可适用性,其中涉及议会对波兰共和国总统提案的决定; 继续努力提高反贪局的机构效率;制定反贪局的权限,同时考虑到最佳利用现有资源的必要性;在此基础上,决定是否将执法和预防这两项职能都保留在反贪局的任务授权中,或者是否依据《公约》第三十六条由反贪局重点负责执法;
MLA may be provided for coercive and non-coercive measures, but court authorization is required for coercive measures.考虑,在《刑法》第229条第6款、第230a条第3款和第296a条第5款所载的“豁免条款”案文中以任择性措词的形式进行的修正(分别为“可不进行处罚”、“可不对犯罪人员进行处罚”、“犯罪人员可不受处罚”),再加上备选的从轻处罚/情节,是否有利于该条款视具体案件而灵活适用并允许公诉人在每个案件中“权衡”行贿人员的合作程度;
The Ministry of Justice has been designated as the central authority to receive requests for mutual legal assistance.继续努力改善打击腐败方面的机构间协调,增进国家当局和私营部门为这一目的而进行的合作; 执行有效的立法措施,以在规定的合理期限内披露银行记录,并有可能减轻法律上的难题以避免不必要的拖延;
The grounds for refusal of MLA requests are foreseen in article 588 CPC.修改国内法(《刑法》第110条第2款),删除对确立不引渡即起诉的国内刑事管辖权规定的至少两年监禁这一要求。
Bank secrecy and fiscal matters, when relating to acts of corruption, are not grounds to deny an MLA request.3. 第四章:国际合作
With regard to the execution of MLA requests, the Polish law shall be applied.3.1. 关于所审议条款实施情况的评述
However, if these agencies require special proceedings or some special form of assistance, their wishes should be honoured, unless this is in conflict with the principles of the domestic legal order.引渡;被判刑人的移管;刑事诉讼的移交(第四十四、四十五、四十七条)
Poland is bound by the United Nations Convention against Transnational Organized Crime and other regional instruments providing the legal basis for MLA.在波兰,《宪法》、《刑事诉讼法》及适用的双边和多边条约或协定都对引渡作了规定。
Bilateral treaties with 42 countries were reported.关于欧洲联盟其他成员国,移管逃犯按照欧洲理事会2002年6月13日关于《欧洲逮捕令》的框架决定的要求进行。
Similarly to extradition, the reviewing experts reiterated their encouragement to the national authorities to put in place and render fully operational information system compiling in a systematic manner information on MLA cases, with a view to facilitating the monitoring of such cases and assessing the effectiveness of implementation of MLA arrangements.波兰可在有条约或无条约的情况下准予引渡。
Law enforcement cooperation; joint investigations; special investigative techniques (arts. 48, 49 and 50)在没有条约的情况下,可在互惠基础上进行引渡。
Poland has taken measures to facilitate the exchange of information with foreign law enforcement counterparts.波兰将《公约》作为引渡的一个法律依据。
Bilateral and multilateral agreements are in place for the exchange of information in connection with investigations and the exchange of personnel to share information on best practices.两国共认犯罪是依据“基础行为”办法确定的(良好做法),不属两国共认犯罪是拒绝引渡的绝对理由。
Poland is also a member of Europol, Interpol, the Camden Asset Recovery Inter Agency Network and the Egmont Group.审议专家建议按照《反腐败公约》第四十四条第二款采取较为灵活的办法。
The CAB is a member of the European Partners against Corruption / European Anti-Corruption Network.犯罪应处以剥夺自由一年以上。
Poland considers the United Nations Convention against Corruption a legal basis for law enforcement cooperation in respect of the offences covered by the Convention.《公约》中的所有犯罪均为可引渡犯罪。
The conduct of joint investigations is regulated in articles 589b-589f CPC.《宪法》第55条禁止引渡国民。 但如果波兰批准的国际条约规定了此种可能性,则可应另一国或国际司法机构的请求准予引渡波兰公民。
The Prosecutor General is authorized domestically to enter an agreement with the competent authority of another State for the establishment of a joint investigative team.依据《公约》确立的罪行均不被视为政治罪。
The law enforcement authorities, and in cases of corruption offences the CAB as well, are empowered to use special investigative techniques.关于与财政事项有关的引渡请求,波兰不仅仅以其涉及财务事项为由拒绝引渡请求。 《刑事诉讼法》第604条规定了强制性的和非强制性的拒绝引渡请求理由。 引渡程序的时间长短取决于案情。 简单的案件和按照简易程序判决的案件通常在提交引渡请求后大约三个月内处理。 其他引渡案件视其复杂程度而定,最长可能要两年结案。 波兰遵守《欧洲引渡公约》及其两项《补充议定书》,以及为引渡提供依据的多边和双边条约。 审议专家强调需要采用更系统的办法编制引渡案件统计数据,并鼓励国家当局在这方面继续努力。 《刑事诉讼法》第608-611f条对被判刑人员的移管作了规定。 波兰是《欧洲委员会移管被判刑人公约》及其《补充议定书》的缔约国。 《刑事诉讼法》第63章(第590-592段)对刑事诉讼的移交作了规定。 司法协助(第四十六条) 在没有条约的情况下,司法协助由《刑事诉讼法》管辖。 不属两国共认犯罪是拒绝司法协助请求的一个酌处理由。 可为强制性和非强制性措施提供司法协助,但强制性措施需经法院授权。 司法部被指定为接收司法协助请求的中央当局。 《刑事诉讼法》第588条规定了拒绝司法协助请求的理由。 银行保密和财政事项若与腐败行为有关,便不是拒绝司法协助请求的理由。 关于执行司法协助请求,应当适用波兰法律。 但是,如果这些机构要求特别程序或某种特别的协助形式,则应尊重其愿望,除非这与国内法律秩序的原则相冲突。 波兰遵守《联合国打击跨国有组织犯罪公约》和其他为司法协助提供法律依据的区域性文书。 据报告与42个国家订有双边条约。 与引渡类似,审议专家再次鼓励国家当局建立并全面落实系统汇集司法协协助案件信息的信息系统,目的是便利监督此类案件并评估司法协助安排执行工作的有效性。 执法合作;联合侦查;特殊侦查手段(第四十八、四十九、五十条) 波兰已经采取措施促进与外国执法对应方的信息交流。 订立了双边和多边协定,以交换与调查有关的信息并交流人员以共享最佳做法信息。 波兰还是欧洲警察组织、刑警组织、卡姆登资产追回机构间网络和埃格蒙特集团的成员。 反贪局是欧洲反腐败伙伴/欧洲反腐败网络的成员。 波兰将《联合国反腐败公约》作为在该《公约》涵盖的犯罪方面进行执法合作的一个法律依据。 《刑事诉讼法》第589b-589f条对进行联合调查作了规定。 国内授权总检察长与另一国主管机关订立协议设立联合调查小组。 执法机关以及在腐败罪案件中的反贪局有权使用特别调查手段。
Poland has concluded several agreements authorizing the use of such techniques in the investigation of organized crime and corruption.波兰已经订立了一些协议,授权在调查有组织犯罪和腐败时使用此类手段。
In the absence of agreements, decisions can be made on a case-by-case basis.如果没有协议,则可在个案基础上作出决定。
3.2. Successes and good practices3.2. 成功经验和良好做法
The comprehensive legal framework (provisions of CPC) on international cooperation in criminal matters;关于刑事事项国际合作的综合法律框架(《刑事诉讼法》中的条款);
The interpretation of the double criminality requirement focusing on the underlying conduct and not the legal denomination of the offence.对两国共认犯罪要求的解释侧重于基础行为,而不是法律对犯罪的命名。
3.3. Challenges in implementation3.3. 实施方面相应遇到的挑战
Explore the possibility of relaxing the strict application of the double criminality requirement in cases of Convention-based offences that go beyond those relating to the execution of European Arrest Warrants, in line with article 44, paragraph 2, of the Convention against Corruption;探讨能否按照《反腐败公约》第四十四条第二款,在《公约》所涵盖的、与执行《欧洲通缉令》不相关的犯罪案件中,放宽两国共认犯罪要求的严格适用;
Continue efforts to put in place and render fully operational information system compiling in a systematic manner information on extradition and mutual legal assistance cases, with a view to facilitating the monitoring of such cases and assessing in a more efficient manner the effectiveness of implementation of international cooperation arrangements;继续努力建立并全面落实系统汇集引渡和司法协助案件信息的信息系统,目的是便利监测这类案件并更高效地评估国际合作安排执行工作的有效性;
Continue to explore further opportunities to actively engage in bilateral and multilateral agreements with foreign countries (particularly non-European countries), with the aim to enhance the effectiveness of international cooperation in criminal matters.继续开拓进一步的机会积极参与同外国(特别是非欧洲国家)的双边和多边安排,目的是加强刑事事项国际合作的有效性。