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CAC/COSP/IRG/I/4/1/ADD.6 V1500571.doc (English)CAC/COSP/IRG/I/4/1/ADD.6 V1500570.doc (Chinese)
United Nations联合国
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
28 January 201528 January 2015
Original: EnglishChinese Original: English
V.15-00571 (E) 030215 040215V.15-00570 (C) GX 050215 050215
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Implementation Review Group联合国 CAC/COSP/IRG/I/4/1/Add.6
Sixth session联合国反腐败公约 缔约国会议 Distr.: General 28 January 2015 Chinese Original: English CAC/COSP/IRG/I/4/1/Add.6 CAC/COSP/IRG/I/4/1/Add.6 V.15-00570 (C) 030215 040215 *1500570* 实施情况审议组 第六届会议
Vienna, 1-5 June 20152015年6月1日至5日,维也纳
Item 2 of the provisional agenda临时议程项目2
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内容提要
Note by the Secretariat秘书处的说明
Executive summary内容提要
II. Executive summary二. 内容提要
1. Introduction: Overview of the legal and institutional framework of Palau in the context of implementation of the United Nations Convention against Corruption1. 导言:帕劳在实施《联合国反腐败公约》方面的法律和体制框架概述
The Republic of Palau (hereinafter Palau) deposited its instrument of accession with the Secretary-General on 24 March 2009 (C.N.184.2009.TREATIES-6), pursuant to the Joint Senate Resolution 8-7 that was adopted on 20 February 2009.帕劳共和国(以下称为“帕劳”)根据2009年2月20日通过的参议院第8-7号联合决议,于2009年3月24日向秘书长交存了加入书(C.N.184.2009.TREATIES-6)。
The Convention entered into force in Palau on 23 April 2009.《公约》于2009年4月23日在帕劳生效。
Palau was placed under the administration of the United States of America after the Second World War as one of the United Nations Trust Territories, but gained independence on 1 October 1994.第二次世界大战之后,帕劳系联合国托管领土之一,受美利坚合众国管辖,于1994年10月1日获得独立。
Its governing system is therefore much influenced by and modelled after the American and its legal system.因此其管理制度深受美国人及其法律制度的影响并仿照了美国制度,同时还按照一元论方法,将国际条约和公约经批准后作为国家法律。
It also follows the monist approach making international treaties and conventions the law of the land after ratification.该国的主要官方语言为英文。
English is the country’s main official language.帕劳于1981年通过其《宪法》。 《宪法》规定实行三权分立,将政府分为行政机关、立法机构和司法机关。
Palau adopted its Constitution in 1981.作为国家政府行政长官的总统掌握行政权。 立法权力则归两院制立法机构——国会掌握。
The Constitution provides for the separation of powers into three branches of Government: the executive, legislature and judiciary.国会由下议院(众议院)和上议院(参议院)组成。
The executive power is vested in the President, who acts as the chief executive of the National Government.打击腐败的主要部门是司法部总检察长办公室、特别检察官、公共审计处、道德委员会、监察员办公室、公共安全局和金融情报机构。
The legislative power resides in a bicameral legislature known as the Olbiil Era Kelulau (OEK), composed of a lower house, the House of Delegates, and an upper house, the Senate.2. 第三章:刑事定罪和执法
Key authorities in regard to the fight against corruption are the Office of the Attorney-General under the Ministry of Justice, the Special Prosecutor, the Office of Public Auditor, Ethics Commission, Office of Ombudsman, Bureau of Public Safety and the Financial Intelligence Unit (FIU).2.1. 关于所审议条款实施情况的评述
2. Chapter III: Criminalization and law enforcement贿赂和影响力交易(第十五、十六、十八和二十一条)
2.1. Observations on the implementation of the articles under review《帕劳国家法典》第17编《2014年帕劳刑法典》第4100条(a)款(1)项和(2)项以及《帕劳国家法典》第40编第656条载有关于贿赂的规定;但后者须结合《帕劳国家法典》第17编第661条(惩罚)和第3902条(犯罪私了)进行解读。
Bribery and trading in influence (arts. 15, 16, 18 and 21)公务员的被动贿赂被列为B类重罪(《帕劳国家法典》第17编第4100条(d)款)。
Provisions on bribery can be found in the Penal Code of Palau 2014 under Title 17 of the Palau National Code (PNC) in sections 4100(a)(1) and 4100(a)(2), as well as section 656 of Title 40 of PNC; these are to be read in conjunction with sections 661 (penalties) and 3902 (compounding a crime) of Title 17 of PNC.《帕劳国家法典》第17编第3800条(15)项将“公务员”定义为“任何政府部门的任何官员或雇员,不管其是经选举产生的,还是委任的,甚或以其他方式聘用的;以及作为顾问或咨询人或以其他方式参与履行政府职能的任何人;但该术语不包括陪审员或证人”。 《帕劳国家法典》第17编第4100条(c)款又将此定义进行了拓展,包括被选举、任命或指定为公务员但尚未就职的人。 该定义不包括外国公务员或国际公务员。 帕劳未将外国公职人员或者国际公共组织官员的贿赂行为定为刑事犯罪。 《帕劳国家法典》第17编第3917条涵盖了公职人员行为不当的犯罪。 帕劳依据有关贿赂(《帕劳国家法典》第17编第4100条(a)款)和公职人员行为不当的一般规定来处理影响力交易案件。 《帕劳国家法典》第17编第4100条(c)款涵盖了被认为具有的影响力。 《帕劳国家法典》第17编第3000条载有关于私营部门贿赂行为的规定。 洗钱、窝赃(第二十三和二十四条) 《帕劳国家法典》第17编第3301条将洗钱犯罪定为刑事犯罪。 调查洗钱案件的立法见于《帕劳国家法典》第17编和2001年《反洗钱和犯罪收益法》。 对犯罪未遂、教唆和共谋的一般规定也适用于洗钱。 《反洗钱和犯罪收益法》第4条(g)款将“犯罪”或“上游犯罪”定义为在帕劳实施的属于重罪的任何行为,或者在国外实施、在实施所在国构成犯罪且若发生在帕劳亦构成犯罪的任何行为。 对照《刑法典》第105条(b)款的“犯罪”定义来看,“犯罪系指可判处一年以上监禁的......重罪。 ”《帕劳国家法典》第17编第104条(a)款(2)至(3)项与第3301条(c)款互为补充。 帕劳采用了阈值方法,广泛列入了一系列上游犯罪。 然而,《反洗钱和犯罪收益法》第3条(c)款并未要求对诸如“......的行为定罪,从而认定有关财产为上游犯罪所得,或者认定为对此种所得的洗钱犯罪。 ”
The passive form of bribery of a public servant is deemed a class B felony (s.4100(d), Title 17 of PNC).《帕劳国家法典》第17编第2600条(g)款和第2612条(a)款对窝赃做出了规定,须结合《反洗钱和犯罪收益法》解读,包括对非法获得的犯罪所得资产的窝赃行为。
A “public servant” is defined in section 3800(15) of Title 17 of PNC as “any officer or employee of any branch of government, whether elected, appointed, or otherwise employed, and any person participating as advisor, consultant, or otherwise, in performing a governmental function, but the term does not include jurors or witnesses”.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) 《帕劳国家法典》第17编第2300条和第2600条(a)至(g)款定义了贪污及相关犯罪。 第2600条将盗窃及其他相关犯罪定为刑事犯罪,包括获得或擅自控制财产、通过欺骗获得或擅自控制财产、挪用财产、以欺骗手段获得服务、转移服务、未对资金进行必要处置及接收赃物。 第23和26章(包括第2600条(a)至(g)款)还涵盖了私营部门的贪污行为。 《帕劳国家法典》第17编第3917条将滥用职权定为刑事犯罪。 凡公职人员(如《帕劳国家法典》第33编第601条所定义)以公职名义实施任何非法行为者,或故意疏于依法履行公职者,即犯有公职人员行为不当罪。 帕劳由于受宪法所限,未将资产非法增加定为刑事犯罪。 妨害司法(第二十五条)
Section 4100(c) of Title 17 of PNC extends the definition to also include persons who have been elected, appointed or designated to become a public servant although not yet occupying that position.《帕劳国家法典》第17编全面涵盖了妨害司法及相关犯罪。
The definition does not extend to a foreign public servant or an international civil servant.第4300至4304条将证人贿赂、恐吓证人、收买证人、打击报复证人和妨害司法公正定为刑事犯罪。 第1403条和第1404条将殴打执法人员定为刑事犯罪,而第4307条则涵盖了收买陪审团的行为。
Bribery of foreign public officials or officials of public international organizations is not criminalized in Palau.法人责任(第二十六条)
Section 3917 of Title 17 of PNC covers the offence of misconduct in public office.《帕劳国家法典》第17编第112条(g)款“包括经科学分析而确定身份的任何自然人......以及相关情况下的公司或非法人社团。 ”第227条规定了尚待确立的法人刑事责任,涵盖公司和非法人社团。 第228至229条设定了代表其行事或有责任代表其行事的自然人的刑事责任。
Palau relies on the general provisions on bribery (s.4100(a), Title 17 of PNC) and misconduct in public office to pursue cases of trading in influence.《帕劳国家法典》第17编第618条和第650条规定了责任、定义和可专门适用于法人的处罚,如罚款、没收和吊销许可证。
Supposed influence is covered in section 4100(c) of Title 17 of PNC.除刑事制裁之外,凡根据《帕劳国家法典》第17编第33章被判定犯有洗钱罪者,法院也可诉诸行政处罚,终止或限制被定罪人的业务(第3302条),并将处罚加重三分之一(第3303条)。
Provisions governing bribery in the private sector are found in section 3000 of Title 17 of PNC.参与和未遂(第二十七条)
Money-laundering, concealment (arts. 23 and 24)《帕劳国家法典》第17编第900条和第1000条涵盖了参与犯罪行为。
Section 3301 of Title 17 of PNC criminalizes the offence of money-laundering.《帕劳国家法典》第17编第801、802、900和1000条涵盖了共谋、未遂和准备行为。 起诉、审判和制裁;与执法机关的合作(第三十和三十七条)
The legislation to investigate cases of money-laundering is in Title 17 of PNC and the Anti-Money-laundering and Proceeds of Crime Act of 2001 (MLPC).法律将《联合国反腐败公约》确立的大多数罪行都定为刑事犯罪,最长监禁期限为5年或10年;《帕劳国家法典》第17编第650、651和655条还做出了罚款规定,金额从500到50,000美元不等,或者等于犯罪所得金钱收益两倍的任何更高金额。
General provisions of criminal attempt, solicitation and conspiracy also apply to money-laundering.第3301条(c)款规定了对洗钱罪的罚款,最高可达洗钱金额的两倍或500,000美元,以较大金额者为准。 公职人员以公职身份行事时享有称为“诚信”豁免的职能豁免。
Section 4 (g) of MLPC defines a “crime” or “predicate offence” to be any act committed in Palau that is a felony, or any act committed abroad, which constitutes an offence in that country and could have constituted a felony had it occurred in Palau.《宪法》规定了对法官及国会议员的绝对豁免权,但议员只在会议期间享有豁免权。
In cross-referencing the definition of the word “crime” with section 105 of the Penal Code paragraph (b), “a crime is a felony ... sentenced to a term of imprisonment that is in excess of one year”.行政机关可个别免除这种豁免权,也确实这么做过。
Sections 104(a)(2)-(3) and 3301(c) of Title 17 of PNC are complementary.总检察长具有广泛的法律裁量权,可起诉贪污犯罪者(第288号行政命令第1条),类似于特别检察官办公室。
Palau adopts the threshold approach to include a wide range of predicate offences. Nevertheless, section 3(c) of MLPC does not require a conviction of such an “...保外候审或上诉的条件是通过警方及法院(《帕劳国家法典》第18编第217条和第601至608条),以财产、现金或第三方担保而进行保释。
offence to establish that the property was the proceeds of a predicate offence or to be convicted of laundering such proceeds”.在腐败案件中,法院也可自由裁量准予保释。
Sections 2600(g) and 2612(a) of Title 17 of PNC govern concealment, and read together with the MLPC, cover the concealment of assets obtained illegally that are the proceeds of crime.《帕劳国家法典》第17编第667条载有假释程序,包括期限、再犯和最终无条件释放。
Embezzlement, abuse of functions and illicit enrichment (arts. 17, 19, 20 and 22)囚犯享有宪法赋予的权利,在服满刑期三分之一后申请假释,而在此阶段,外国人往往被遣返回原籍国。 在国家访问时,总检察长办公室正在起草假释委员会的指导方针。 根据《帕劳国家法典》第33编第425条,公务员可被免职、降职或无薪停职任何时间,但停职超过两天者,雇员须有说明原因的书面通知,且有权就有关决定向申诉委员会提起申诉(《帕劳国家法典》第40编第661条;《帕劳国家法典》第33编第426条)。 至于取消担任公职资格,可适用第11章“公共服务体系规则和条例”,撤销被告公职,禁止其在未来10年内申请公职。 由于国家人口规模较小而受雇于政府的人数较多,因此决定在一定期限后,并不永久禁止被定罪罪犯担任公职。 第11章第11.5条涵盖了“任何董事会、公营公司、委员会或其他机构的成员或由总统在参议院建议并同意下任命的公职人员”。 现行纪律措施包括对雇员进行免职、降职或无薪停职。 可向申诉委员会申诉(《帕劳国家法典》第33编第425至426条;《帕劳国家法典》第40编第661条)。 总检察长办公室和特别检察官办公室在适当时候有权自由裁量:以较轻罪行或刑罚控告被告而换取合作;或者在调查和起诉其他罪犯时与被告辩诉交易以换取合作。 经法院批准授予罪行豁免或证言使用豁免;帕劳通常采用后者。 豁免可延伸适用于帕劳的任何人(不分国籍)。
Embezzlement and related crimes are defined in sections 2300 and 2600(a)-(g) of Title 17 of PNC.但对于洗钱,《帕劳国家法典》第17编第3304条规定,可减轻对犯罪人的惩罚而换取合作。
Section 2600 criminalizes theft and other related offences, including obtaining or exerting unauthorized control over property, obtaining or exerting control of property through deception, appropriating property, obtaining services by deception, diverting services, failing to make required disposition of funds and receiving stolen property.保护证人和举报人(第三十二和三十三条)
Chapters 23 and 26 (which include ss.2600(a)-(g)) also cover embezzlement in the private sector.虽然帕劳没有专门的证人保护方案,但《帕劳国家法典》第17编第3901条(a)至(b)款将干扰举报犯罪的行为定为刑事犯罪。 除非申诉人书面同意,否则举报人必须保持匿名(《帕劳国家法典》第40编第271条),但所设想的更广泛保护仍是草案形式(众议院第9-149-7号法案)。 冻结、扣押和没收;银行保密(第三十一和四十条) 《帕劳国家法典》涵盖了无定罪没收、刑事没收和行政没收。 《帕劳国家法典》第17编第701至704、3305、3340和3801条对非法收益和财产的冻结做出了规定。 第3305条规定,在实施洗钱过程中当作好处、金钱利益或补偿提议给予、给予、同意给予或接受的任何财产均应没收归帕劳所有。 这些条款还规定了没收程序,掩盖罪行的工具、财产以及用于或拟用于实施所涵盖犯罪的工具均按没收和豁免以及洗钱特别涉及的财产没收和冻结规定处理。
Abuse of functions is criminalized in section 3917 of Title 17 of PNC.《帕劳国家法典》第17编第710条规定了扣押和行政没收措施,金额高达100,000美元。
A person who, being a public official (as defined under s.601, Title 33 of PNC), does any illegal acts under the colour of office, or who wilfully neglects to perform the duties of his or her office as provided by law, shall be guilty of misconduct in public office.然而,《帕劳国家法典》第17编第701、714、716、3800和3801条规定了财产的处置及其没收,前提是该财产无法在物质上获得,或已大幅度贬值,甚或与其他财产相混合。
Illicit enrichment is not criminalized in Palau due to constitutional limitations.第707条大致规定了执法人员和机构在扣押和没收过程的权力和职责。 根据《帕劳国家法典》第716条,所有没收财产及其销售收益分配如下:
Obstruction of justice (art. 25)50%归实施调查并致使被没收财产者被捕的管理人员或雇员所在的政府单位;
Obstruction of justice and related offences are comprehensively covered in Title 17 of PNC.25%归提起诉讼致使财产被没收的总检察长;和
Sections 4300 to 4304 criminalize the bribery of or by a witness, intimidating a witness, tampering with a witness, retaliating against a witness and obstruction of justice.25%归“没收财产基金”。 《帕劳国家法典》第17编第713条倒置了举证责任,规定所有者或利益持有者必须证明不受没收的财产系其通过合法途径所得。 《帕劳国家法典》第17编第704条(b)款(2)至(5)项和《反洗钱和犯罪收益法》第32条对善意第三方予以了保护。
Sections 1403 and 1404 criminalize assaults against a law enforcement officer, while section 4307 covers jury tampering.《帕劳国家法典》第17编第704条(a)款(8)项规定了没收程序中对银行记录等文件的获取。
Liability of legal persons (art. 26)在实践中,获取受银行保密保护的信息须由总检察长签发信函,必要时须获得法院命令。 时效;犯罪记录(第二十九和四十一条) 根据《帕劳国家法典》第17编第106条,起诉《反腐败公约》确立的大多数犯罪均须在犯罪实施后三年或五年内。 对欺诈、欺骗或违反信托义务的起诉可在发现犯罪后三年内提起。 如果被告连续离开帕劳,或者在帕劳没有可合理查明的地址、住所或工作,则可延长时效期限,但无论如何从规定期限届满起延期不得超过四年。 第717条为没收程序规定了同样的时效。
Section 112(g) of Title 17 of PNC “includes any natural person whose identity can be established by means of scientific analysis ... and where relevant, a corporation or an unincorporated association”.可以考虑以前在其他司法管辖区的定罪情况(《帕劳国家法典》第17编第664条)。
Section 227 provides for penal liability to also be established for legal persons and covers corporations and unincorporated associations.管辖权(第四十二条) 《帕劳国家法典》第17编第104条规定,如果作为犯罪要件的行为或行为结果发生在共和国境内,则帕劳拥有属地管辖权。 《帕劳国家法典》第17编第3301条(e)款规定,发生在帕劳本国领土以外的洗钱行为的任何要件以及在帕劳境外实施的上游犯罪都可在共和国用作证据。
Sections 228-229 establish the criminal liability of a natural person acting, or under a duty to act, on their behalf.如果犯罪发生帕劳之外,在符合共和国合法权益的情况下,帕劳仍可行使管辖权。 实际上,帕劳如果知悉国外有类似调查、起诉或司法程序,则应与外国主管部门协商,以便协调诉讼。 腐败行为的后果;损害赔偿(第三十四和三十五条)
Sections 618 and 650 of Title 17 of PNC govern liabilities, definitions and penalties that may specifically apply to legal persons, such as fines, forfeiture and revocation of licenses.至于惩罚,可援引《帕劳国家法典》第17编第618、661至663及3302条。
In addition to the penal sanctions, if convicted of money-laundering under Chapter 33 of Title 17 of PNC, the court may also resort to administrative sanctions and terminate or restrict the business of the person convicted (s.3302) and increase the penalty by one third (s.3303).法律规定了各种具体惩罚,如没收公司执照、撤销或限制营业执照,以及在某些情况下加重惩罚。 法院可在合理范围内经核实后责令将犯罪造成的损失恢复原状。 如果同时处以罚款,将优先考虑恢复原状和赔偿(《帕劳国家法典》第17编第656条和第718条)。 专职机关和机构间协调(第三十六、三十八和三十九条) 帕劳由总检察长办公室负责提供法律服务,同时任命特别检察官调查和起诉公众关心的问题,包括腐败和洗钱。 警察归属司法部下的公共安全局。 因此局长向司法部长报告。 腐败犯罪相关部门包括刑事调查司和惩戒司。 金融情报机构根据《2001年金融机构法》及《反洗钱和犯罪收益法》成立于2002年。 这些法律还促成了金融机构委员会的设立,旨在监督银行和金融情报机构调查超过10,000美元的可疑现金交易。 此外,《帕劳国家法典》第33章第3300条涉及洗钱,涵盖了大量的私营部门公司,从赌场到金属和宝石经销商,以及信托和公司服务提供商。 总统办公室的监察员负责“接收对政府及其机构所提供服务、方案和活动的投诉;审查各项投诉的是非曲直,及时设法解决和协助解决前述投诉”。 伦理委员会系根据《道德守则法》成立于1999年。 《宪法》规定,公共审计师由总统任命,并经帕劳国会确认。 《宪法》赋予公共审计师业务独立性。 在执法方面,帕劳与各国之间有若干以区域合作为主题重点的谅解备忘录,以及包括公共安全局在内的执法部门、海关、税务机关、劳动部门、移民部门和金融情报机构之间的国家谅解备忘录。 此外,公共审计处与特别检察官办公室之间也有谅解备忘录。 已成立的反洗钱工作组包括总检察长、金融机构委员会主席、税务机关、公共安全局等。 公共安全局可通过电话、邮件(也通过脸书)或面交方式接收投诉;提示和报告可匿名提交。 公共审计处也可接收投诉。 2.2. 成功经验和良好做法 《帕劳国家法典》第17编第3917条(a)款的广泛性,因为所规定的公职人员行为不当罪适用范围广泛。
Participation and attempt (art. 27) Participation is covered in sections 900 and 1000 of Title 17 of PNC. Conspiracy, attempt and preparation are covered under sections 801, 802, 900 and 1000 of Title 17 of PNC. Prosecution, adjudication and sanctions; cooperation with law enforcement authorities (arts. 30 and 37) Most offences under the United Nations Convention against Corruption are criminalized by a maximum term of imprisonment of 5 or 10 years; sections 650, 651 and 655 of Title 17 of PNC also provide for fines ranging from $500-50,000 or any higher amount equal to double the pecuniary gain from the offence. Section 3301(c) allows fines in cases of money-laundering, up to twice the amount laundered or $500,000, whichever is the greater. Public officials have a functional immunity referred to as “good faith” immunity, i.e. acting within the colour of office. However, the Constitution affords judges’ absolute immunity as well as members of Congress, albeit during session only. Individual waivers of this immunity can and have been executed by the executive branch. The Attorney-General has wide discretionary legal powers to prosecute persons for corruption offences (s.1, Executive Order No. 288) similar to the Office of the Special Prosecutor. Conditions on release pending trial or appeal are secured through bail offered by the police as well as the courts (ss.217 and 601-608, Title 18 of PNC) with property, cash or a third party as guarantee. Bail can also been granted at the court’s discretion in corruption cases. The procedures governing parole, including the terms, recommitment and final unconditional release, are set out in section 667 of Title 17 of PNC. Prisoners have a constitutional right to request parole after serving one-third of their sentence, at which stage foreigners are often deported to their country of origin. At the time of the country visit, the Attorney-General’s Office was drafting guidelines for the Parole Board. Public servants may be dismissed, demoted or suspended for any length of time without pay, but in cases exceeding two days, the employee must be given written notice stating the reasons why according to section 425 of PNC Title 33, with a right to appeal the decision to a grievance panel (s.661, PNC Title 40; s.426, PNC Title 33). Regarding disqualification from holding public office, the application of Chapter 11 of the “Public Service System Rules and Regulations” has led to the removal of an accused from office and prevented the person from applying to public office for the next 10 years. Due to the size of the population and high number of people employed by the Government, it was decided not to permanently prevent convicted offenders from being considered for public office after a given period of time. Part 11.5 of Chapter 11 covers “members of any board, public corporation, commission, or other agency or appointed public officials whose appointments are made by the President with the advice and consent of the Senate”. Existing disciplinary measures include dismissal, demotion or suspension of an employee without pay. An appeal can be issued to a grievance panel (ss.425-426, Title 33 of PNC; s.661, Title 40 of PNC). The Offices of the Attorney-General and Special Prosecutor have the discretion, when appropriate: to charge a defendant with lesser offences or sentences in exchange for cooperating; or to plea bargain with an accused in exchange for cooperating in investigating and prosecuting other offenders. Transactional or testimonial immunity can be granted with the approval of the Court; Palau commonly uses the latter. Immunity can be extended to any person (regardless of nationality) in Palau. However, in relation to money-laundering, section 3304 of Title 17 of PNC provides for a decrease in the penalties against perpetrators in exchange for cooperation. Protection of witnesses and reporting persons (arts. 32 and 33) While no specific witness protection programme exists in Palau, section 3901(a)-(b) of Title 17 of PNC criminalizes the interference with reporting a crime. Although whistle-blowers must remain anonymous, unless the complaining person consents in writing (s.271, Title 40 of PNC), wider protection envisaged is still in draft format (House Bill No. 9-149-7). Freezing, seizing and confiscation; bank secrecy (arts. 31 and 40) PNC covers non-conviction-based, criminal and administrative forms of forfeiture. Sections 701-704, 3305, 3340 and 3801 of Title 17 of PNC regulate the freezing of unlawful proceeds and property. Section 3305 provides that any property offered, conferred, agreed to be conferred, or accepted as a benefit, pecuniary benefit or compensation in the commission of money-laundering is to be forfeited to Palau. These sections also provide for forfeiture proceedings, cover offences, property and instruments used in or intended for use in the commission of a covered offence are subject to forfeiture and exemptions, as well as forfeiture and freezing of property specifically relating to money-laundering. The measures of seizure and administrative forfeiture are regulated in section 710 of Title 17 of PNC, up to an amount of $100,000. However, the disposition of property and its forfeiture, when it cannot be physically obtained, has substantially diminished in value or commingled with other property, is provided for in sections 701, 714, 716, 3800 and 3801 of Title 17 of PNC. Section 707 outlines the powers and duties of law enforcement officers and agencies in the seizing and forfeiture process. All forfeited property, and the sale proceeds thereof, are distributed according to section 716 of PNC, as follows: 50 per cent to the governmental unit(s) whose officers or employees conducted the investigation and caused the arrest of the person whose property was forfeited; 25 per cent to the Attorney-General who instituted the action producing the forfeiture; and 25 per cent shall be distributed to the Forfeited Property Fund. Section 713 of Title 17 of PNC reverses the burden of proof as the owner or interest-holder must show that the property is not subject to forfeiture as having been acquired through legitimate means. Bona fide third parties are protected by sections 704(b)(2)-(5) of Title 17 of PNC and Title 32 MLPC. Section 704(a)(8) of Title 17 of PNC provides for the obtaining of bank records and other documents in forfeiture proceedings. In practice, the Attorney-General issues a letter to obtain information protected by bank secrecy, or where required, obtains a court order. Statute of limitations; criminal record (arts. 29 and 41) According to section 106 of Title 17 of PNC, prosecution of most offences under the Convention against Corruption is to be commenced within either three or five years after commission. The prosecution of fraud, deception or a breach of a fiduciary obligation can be commenced within three years after the discovery of the offence. The period of limitation can be tolled when the accused is continuously absent from Palau or has no reasonably ascertainable place or abode or work within Palau, but in no case shall the limitation period be extended by more than four years from the expiration of the prescribed period. Section 717 prescribes the same period of limitation for forfeiture proceedings. Former convictions in another jurisdiction (s.664, Title 17 of PNC) can be taken into consideration. Jurisdiction (art. 42) Section 104 of Title 17 of PNC establishes that Palau has territorial jurisdiction when the conduct or the result of conduct that is an element of the offence occurs within the Republic. Section 3301(e) of Title 17 of PNC provides that any element of money-laundering that occurs outside the national territory of Palau may be used as proof in the Republic as well as predicate offences committed outside the territory of Palau. If offences occur outside Palau, Palau may still exercise its jurisdiction where it is in the legitimate interest of the Republic. As a matter of practice, Palau would consult with foreign competent authorities if it learned of similar investigations, prosecutions or judicial proceedings abroad in order to coordinate actions. Consequences of acts of corruption; compensation for damage (arts. 34 and 35) In regard to penalties, sections 618, 661-663 and 3302 of Title 17 of PNC were cited. A variety of concrete penalties are provided for, such as forfeiture of the corporate charter, revocation or restriction of business license, and increased penalties in certain cases. The court can order restitutions for reasonable and verified losses as a result of the offences. If a fine is also ordered, the restitution and compensation will have priority (ss.656 and 718, Title 17 of PNC). Specialized authorities and inter-agency coordination (arts. 36, 38 and 39) The Attorney-General’s Office is responsible for providing legal services to Palau. The Special Prosecutor is appointed to investigate and prosecute issues of public concern including corruption and money-laundering. The police are in the Bureau of Public Safety, which sits under the Ministry of Justice. The Director of the Bureau therefore reports to the Minister of Justice. The Divisions relevant to corruption offences include the Divisions of Criminal Investigation and of Corrections. The FIU was established in 2002, pursuant to the Financial Institutions Act 2001 and MLPC. These laws also triggered the establishment of the Financial Institutions Commission (FIC) to supervise banks and the FIU to investigate suspicious and cash transactions above $10,000. Furthermore, section 3300 of the Chapter 33 of PNC on money-laundering, covers a vast array of private sector companies, ranging from casinos to dealers in metals and precious stones as well as trust and company service providers. The position of the Ombudsman within the Office of the President has the responsibility “to receive grievances regarding services, programs and activities provided by the Government and its agencies; to review the merits(s) of each grievance and promptly seek to resolve and assist in the resolution of said grievances”. The Ethics Commission was established in 1999, pursuant to the Code of Ethics Act. The Constitution provides for a Public Auditor appointed by the President and confirmed by the OEK. The operational independence of the Public Auditor is entrenched in the Constitution. There are several memorandums of understanding (MOUs) relating to law enforcement with a thematic focus, on regional cooperation among the States of Palau, as well as a national MOU between law enforcement that includes the Bureau of Public Safety, customs, tax, labour, immigration and the FIU. Moreover, the Public Auditor’s Office has an MOU with the Office of the Special Prosecutor. A Money-Laundering Working Group has been established and comprises of the Attorney-General, FIC Chairman, tax authority, Bureau of Public Safety and others. The Bureau of Public Safety can receive complaints via telephone, mail (also via Facebook) or in person; tips and reports can be made anonymously. The Office of the Public Auditor can also receive complaints. 2.2. Successes and good practices The breadth of section 3917(a) of Title 17 of PNC, as it allows for a wide application of the offence of misconduct in public office. The disposition of forfeited property as an incentive for law enforcement (s.716, Title 17 of PNC). The court’s jurisdiction to order the confiscation of the proceeds of crime irrespective of their location, pursuant to section 714 of Title 17 of PNC. The court’s authority under section 3302 of Title 17 of PNC to restrict business, pursuant to section 618 of Title 17 of PNC, namely when a high managerial agent (as defined by s.229(c), Title 17 of PNC) is convicted of money-laundering. 2.3. Challenges in implementation The following actions are recommended to further strengthen the existing anti-corruption framework: Adopt legislation to criminalize the active bribery of foreign public officials and officials of public international organizations, and consider adopting legislation to make criminal the passive version of the offence (art. 16 of the Convention against Corruption); Consider adopting legislation to make illicit enrichment a criminal offence (art. 20); Furnish a copy of the money-laundering provisions and any subsequent amendments thereto to the Secretary-General of the United Nations (art. 23, para. 2 (d)); Establish a longer statute of limitations period or provide for the suspension of the statute where the alleged offender has evaded the administration of justice (art. 29); Endeavour to promote the reintegration into society of convicted persons (art. 30, para. 10); Adopt legislation or other appropriate measures to provide effective protection for witnesses, victims and experts, as well as whistle-blowers, in accordance with articles 32 and 33 of the Convention; Clearly articulate the functions of each anti-corruption body and consider harmonizing their roles, in particular administrative resources. Such bodies should be granted the necessary independence to carry out their functions effectively and without any undue influence (i.e. grant statutory appointment of the Ombudsman) (art. 36); Encourage and support existing anti-corruption bodies that play a key role in preventing and fighting corruption, such as the Office of the Special Prosecutor (art. 36). 2.4. Technical assistance needs identified to improve implementation of the Convention Palau indicated that it would require a range of technical assistance in the following areas: Legislative drafting/advice: arts. 16, 20 and 42 of the Convention; Model legislation: art. 16; Summary of good practices/lessons learned: arts. 16, 20, 32 and 42; Capacity-building programmes: arts. 32-33 and 36; On-site visit of expert: art. 30; Technological assistance: art. 32; Other types of assistance include: forensic accounting (art. 23); resources (arts. 30, 32, 33, 36); proposals for regional solutions (art. 33); establishment of criminal history information database to enable the sharing of information, as well as tools and resources to contact other foreign authorities (art. 41); an attachment and training to another FIU (preferably in the Pacific), updating of procurement procedures, consolidation of the existing law which is easily accessible to all (i.e. online contributing to an open government policy), and coordination process for complex corruption cases (art. 36). 3. Chapter IV: International cooperation 3.1. Observations on the implementation of the articles under review Extradition; transfer of sentenced persons; transfer of criminal proceedings (arts. 44, 45 and 47) Sections 1002 and 10.103(a) of Title 18 of PNC and the Extradition and Transfer Act of 2001 regulate extradition. While Palau does not make extradition conditional on the existence of a treaty, it does not use the Convention as a legal basis. Extradition may also be granted using the principle of reciprocity. Palau requires dual criminality (s.10.103(a), Title 18 of PNC) and the conditions for extradition, including the minimum penalty requirements and grounds for refusal are outlined in sections 10.103-104. However, this does not prohibit the Republic from extraditing an individual if there are additional charges that are not criminalized under its domestic law. Additionally, Palau’s legislation on embezzlement, bribery, public misconduct and so forth is broad enough to apply to all of the acts prohibited by the Convention. The principle of aut dedere aut judicare is applicable as a general principle of law. The Minister of Justice or a designee may apply to the Supreme Court for a provisional arrest warrant without filing an application for extradition where there is a substantial flight risk (s.10.120(a), Title 18 of PNC). Palau allows an extradition objection where the defendant is accused of a political offence (s.10.104, Title 18 of PNC). Section 10.102(n) defines “political offense” as any charge or conviction based on a person’s political beliefs or affiliation but does not include criminal acts under the Convention. Palau may not refuse a request for extradition on the sole ground that the offence is also considered to involve fiscal matters (s.10.103(d), Title 18 of PNC). Palau would consult with the requesting State before an extradition is refused. Section 670 of Title 17 of PNC allows for a sentence to be served abroad and section 10.171 of Title 18 of PNC governs the transfer of convicted persons. Additionally, Palau has bilateral agreements with the United States, Taiwan Province of China and the Marshall Islands, and confirmed that the first has been successfully used on several occasions. The transfer of criminal proceedings is not currently covered. Mutual legal assistance (art. 46) The Attorney-General is empowered (sections 1311 and 1313 of Title 18 of PNC) to make and act on mutual legal assistance (MLA) requests through the Minister of State, relating to investigations or proceedings instituted in Palau for serious offences, i.e.对没收财产的处置,作为执法激励(《帕劳国家法典》第17编第716条)。
an offence that carries a prison sentence in excess of one year (s.105, Title 17 of PNC).法院的管辖权,可根据《帕劳国家法典》第17编第714条下令没收犯罪所得,不管其位于何处。
MLA requests can be made for both natural and/or legal persons (s.112(g), Title 17 of PNC).《帕劳国家法典》第17编第3302条规定的法院权限,可根据《帕劳国家法典》第17编第618条限制业务,即在高级管理人员(如《帕劳国家法典》第17编第229条(c)款所定义)被判定犯有洗钱罪的情况下。
Gathering evidence and serving documents are governed by section 1315 of Title 18 of PNC.2.3. 实施方面的挑战
Moreover, the identification, freezing and tracing proceeds of crime for purposes of asset recovery are covered in the decree of the Attorney-General.为了进一步加强现有的反腐败框架,建议采取以下行动:
Sections 706 and 707 of Title 17 of PNC also govern the seizure of property and the corresponding powers and duties of law enforcement officers and agencies.通过立法将外国公职人员或者国际公共组织官员的主动贿赂定为刑事犯罪,并考虑通过立法将这一犯罪的被动形式定为刑事犯罪(《反腐败公约》第十六条);
Section 1331 of Title 18 of PNC regulates the privilege for foreign documents and section 1332 limits the use of evidence and materials obtained by mutual assistance, unless the Supreme Court of Palau permits otherwise.考虑通过立法,将资产非法增加规定为刑事犯罪(第二十条);
Palau would promptly inform the requesting State, were it not able to comply with the requirement of confidentiality.将反洗钱规定及所有后续修正案副本呈交给联合国秘书长(第二十三条第二款第㈣项)。
Sections 3334(c)(1)-(2) and (e) PNC Title 17 of PNC are also applicable to the privileged information.对被指控罪犯已逃避司法的情形确定更长时效或规定中止时效(第二十九条);
Any refusal or postponement of an MLA request would be explained to and consulted with the requesting State first (s.1311, Title 18 of PNC).努力促进被定罪人重新融入社会(第三十条第十款); 通过立法或采取其他适当措施,根据《公约》第三十二、三十三条为证人、受害人或鉴定人以及举报人提供有效保护; 清楚说明各反腐败机构的职能,并考虑协调其作用,尤其是行政资源。
Bank secrecy may be lifted, pursuant to section 704(a)(8) of Title 17 of PNC.应赋予此类机构必要的独立性,使其能够在不受任何不当影响的情况下有效地履行自己的职能(即依法任命监察员)(第三十六条);
Palau’s Attorney-General is authorized to request a foreign State to transfer to the Republic a person in custody who consents to assist in the relevant investigation or proceedings (ss.1313(f), 1316 and 1318, Title 18 of PNC).鼓励和支持预防和打击腐败中发挥关键作用的现有反腐败机构,如特别检察官办公室(第三十六条)。
The Ministry of Justice is the central authority in MLA matters, but can send and receive MLA request via the Office of the Attorney-General.2.4. 在改进《公约》实施方面认明的技术援助需要
However, requests may only be received through the diplomatic channels.帕劳表示,将需要以下几个方面的一系列技术援助:
The Transnational Crime Unit (TCU), which was established in 2008 under the Bureau of Public Safety can, in urgent circumstances, can receive MLA requests through INTERPOL.法律起草/建议:《公约》第十六、二十和四十二条;
In urgent circumstances, oral requests could be received but a formal request is required before action can be taken; Palau has not received an oral request to date.示范立法:第十六条;
There is no regulation on the time frame of responding to MLA requests in the legislation.良好做法/所汲取教训摘要:第十六、二十、三十二和四十二条;
However, Palau is currently developing an Office Manual on the treatment of MLA requests.能力建设方案:第三十二、三十三和三十六条;
The requirement to provide the identity, location and nationality of any person concerned by the MLA request falls under “give any other information that may assist in giving effect to the request”, the “catch-all” paragraph of section 1314(9) of Title 18 of PNC.专家现场访问:第三十条; 技术援助:第三十二条; 其他类型援助包括:法证会计(第二十三条);资源(第三十、三十二、三十三、三十六条);区域解决办法提案(第三十三条);建立犯罪记录信息数据库,实现信息以及工具和资源共享,以便能联系其他外国机构(第四十一条);附属于另一金融情报机构并接受培训(最好是在太平洋),更新采购程序,整合现有法律,便于所有人查询(即在线为公开政府政策出谋划策),并协调处理复杂的腐败案件(第三十六条)。 3. 第四章:国际合作 3.1. 关于所审议条款实施情况的评述 引渡;被判刑人的移管;刑事诉讼的移交(第四十四、四十五和四十七条) 《帕劳国家法典》第18编第1002条和第10.103条(a)款及2001年《引渡与移交法》对引渡做出了规定。 虽然帕劳不以订有条约为引渡条件,但也不将《公约》作为法律依据,而是本着互惠原则准予引渡。 帕劳有两国共认犯罪(《帕劳国家法典》第18编第10.103条(a)款)和引渡条件的要求,包括最低刑罚要求,第10.103至104条概要列出了拒绝引渡的理由。 但是,这并未禁止共和国引渡个人,前提是存在根据其本国法律并未定为刑事犯罪的其他指控。 此外,帕劳有关贪污、贿赂、公职人员行为不当等的立法非常广泛,足以适用于《公约》禁止的所有行为。 不引渡即审判原则可作为一般法律原则适用。 在潜逃风险很高的情况下,司法部长或其指定人员可向最高法院申请临时逮捕令,而无需提出引渡申请(帕劳国家法典》第18编第10.120条(a)款)。 在被告被指控政治犯罪的情形下,帕劳准许拒绝引渡(《帕劳国家法典》第18编第10.104条)。 第10.102条(n)款将“政治犯罪”定义为基于一个人的政治信仰或政治背景而提出的任何指控或定罪,但不包括《公约》确立的犯罪行为。 帕劳不会仅以犯罪也被视为涉及财税事项为由而拒绝引渡(《帕劳国家法典》第18编第10.103条(d)款)。 帕劳在拒绝引渡前将与请求国协商。 《帕劳国家法典》第17编第670条准许海外服刑,而《帕劳国家法典》第18编第10.171条则规定了被定罪人的移交。 此外,帕劳已与美国、中国台湾省和马绍尔群岛签订了双边协定,并确认已在多个场合成功适用了前述第一份协定。 法律目前未涵盖刑事诉讼的移交。 司法协助(第四十六条) 总检察长有权(《帕劳国家法典》第18编第1311条和第1313条)通过国务部长就对可判处一年以上监禁的严重犯罪在帕劳提起的调查或诉讼(《帕劳国家法典》第17编第105条)提出和回应司法协助请求。 司法协助请求可针对自然人和(或)法人提出(《帕劳国家法典》第17编第112条(g)款)。 收集证据和送达文件受《帕劳国家法典》第18编第1315条管辖。 此外,总检察长的法令涵盖了辨认、冻结和追查犯罪所得,以便追回资产。 《帕劳国家法典》第17编第706条和第707条还规定了财产扣押以及执法人员和机构的相应权力和职责。 《帕劳国家法典》第18编第1331条规定了外来文献的特权,而第1332条则规定,除非帕劳最高法院另有许可,否则限制使用通过互助获得的证据和材料。 帕劳如果不能遵守保密要求,则将及时通知请求国。 《帕劳国家法典》第17编第3334条(c)款(1)至(2)项和(e)款也适用于特许不泄露的资料。 对司法协助请求的任何拒绝或推迟均需首先向请求国解释并与之协商(《帕劳国家法典》第18编第1311条)。 依据《帕劳国家法典》第17编第704条(a)款(8)项,可解除银行保密。 帕劳总检察长有权请求外国将同意协助相关调查或诉讼的在押人员移交共和国(《帕劳国家法典》第18编第1313条(f)款、第1316条和第1318条) 司法部是司法协助事项的中央机构,可通过总检察长办公室发送和接收司法协助请求。
MLA requests are executed in accordance with the domestic law of the requested State and where possible, in accordance with the procedures contained in the specific request.不过,有的请求也许只能通过外交途径接收。
If videoconferencing services were available, Palau could use them.2008年在公共安全局下成立的打击跨国犯罪小组在紧急情况下可通过刑警组织接收司法协助请求。
Palau would bear the ordinary costs of executing an MLA request while the requesting State would be consulted should the request be of substantial or extraordinary nature.在紧急情况下,可接收口头请求,但须在收到正式请求后方可采取行动;帕劳至今尚未收到过口头请求。
Information being requested in an MLA request that is not available to the general public could be provided through an official letter or Court order.法律未规定回应司法协助请求的时限。
Law enforcement cooperation; joint investigations; special investigative techniques (arts. 48, 49 and 50)但帕劳目前正在编制有关处理司法协助请求的《办公室手册》。
The law enforcement and specialized agencies (such as the Public Auditor’s Office, the Ombudsman and FIU) in Palau are part of a large number of regional and international cooperation networks.司法协助请求对提供任何有关人员的身份、所在地和国籍的要求属于《帕劳国家法典》第18编第1314条(9)项的“兜底”规定,即“提供可能有助于执行请求的任何其他信息”。
Furthermore, cooperation is also carried out through bilateral agreements and arrangements, as well as on an ad-hoc basis.司法协助请求应按被请求国的国内法以及在可能的情况下按照具体请求所载程序执行。
The legal basis to carry out joint investigations is set out in sections 1311 and 1312 of Title 18 of PNC.如果有视频会议服务,帕劳可予以采用。
Special investigative techniques are limited to money-laundering and proceeds of crime are set out in sections 23 and 24 of MLPC.帕劳将承担执行司法协助请求的一般费用,但如果请求性质重要而特殊,则应与请求国协商。
Section 3334 of Title 17 of PNC provides that the FIU may disclose any report or information to a foreign government agency or institution, or an international organization that performs similar functions and is subject to similar secrecy obligations.如果司法协助请求要求提供的信息不可提供给一般公众,则可通过正式信函或法院命令提供。
3.2. Successes and good practices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)
Palau’s international law enforcement cooperation, particularly in the region, is commendable.帕劳的执法机构和专门机构(如公共审计处、监察员和金融情报机构)加入了大量的区域和国际合作网络。
3.3. Challenges in implementation此外,还通过双边协定和安排展开合作,也会开展临时合作。
The following steps are recommended to further strengthen Palau’s international cooperation:实施联合调查的法律依据载于《帕劳国家法典》第18编第1311条和第1312条。
May grant extradition of a person for any of the offences covered by this Convention that are not punishable under its own domestic law (art. 44, para.《反洗钱和犯罪收益法》第23条和第24条规定了仅用于侦查洗钱和犯罪所得的特殊侦查手段。
2, of the Convention);《帕劳国家法典》第17编第3334条规定,金融情报机构可向外国政府部门或机构、或履行类似职能并负有类似保密义务的国际组织披露任何报告或信息。
Consider granting extradition requests that include several separate offences, one of which is extraditable (art. 44, para.3.2. 成功经验和良好做法
Ensure that any extradition treaties that Palau may conclude with other Member States contain references to Convention offences as being extraditable (art. 44, para.3.3. 实施方面的挑战
Consider using the Convention as a legal basis for extradition in respect of Convention offences (art. 44, paras. 4-6);可以就本《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(《公约》第四十四条第二款);
Consider simplifying and streamlining procedures and evidentiary requirements (such as specific requirement form, internal guidelines and/or a request management system) in order to allow for extradition requests to be dealt with efficiently and effectively (art. 44, para.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(第四十四条第三款);
Consider granting legal authority to the Attorney-General to proactively transmit information to a foreign competent authority in relation to MLA, without a prior request, where such information could assist in the investigation and prosecution of offences (art. 46, para.针对《公约》所规定的犯罪,考虑将《公约》用作进行引渡的法律依据(第四十四条第四至六款);
Take such legislative measures as may be necessary to ensure that MLA involving non-coercive measures is afforded in the absence of double criminality (art. 46, para.考虑授予总检察长法定权限,在司法协助相关信息有助于调查和起诉犯罪的情况下,无需事先请求,主动将此等信息转递给外国主管部门(第四十六条第四款);
Notify the Secretary-General of the United Nations of the central authority designated for MLA, as well as the acceptable language for executing MLA requests (art. 46, paras. 13-14);向联合国秘书长通报所指定的负责处理司法协助事宜的中央主管当局,以及执行司法协助请求的可接受语文(第四十六条第十三至十四款);
Ensure that MLA is not refused on the sole ground that the offence is also considered to involve fiscal matters (art. 46, para.确保不会仅以犯罪也被视为涉及财税事项为理由而拒绝司法协助(第四十六条第二十二款);
Consider simplifying and streamlining procedures (such as specific requirement form, internal guidelines and/or a request management system) in order to allow for MLA requests to be dealt with efficiently and effectively (art. 46, para. 24); Consider the possibility of transferring criminal proceedings to and from a foreign State where it would be in the interests of the proper administration of justice, in particular where several jurisdictions are involved (art. 47);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(第四十七条);
Consider introducing special investigative techniques, as may be necessary and within existing resources (beyond money-laundering and proceed of crime offences), and providing the corresponding training to law enforcement personnel (art. 50).考虑在现有资源范围内(在洗钱和犯罪所得之外),视需要采用特殊侦查手段,并向执法人员提供相应的培训(第五十条)。