Correct misalignment Change languages order
CAC/COSP/IRG/I/4/1/ADD.8 V1502057.doc (English)CAC/COSP/IRG/I/4/1/ADD.8 V1502056.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
26 March 201526 March 2015
Original: EnglishChinese Original: English
V.15-02057 (E) 010415 020415V.15-02056 (C) GP 220415 220415
Implementation Review Group实施情况审议组
Sixth session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审议《联合国反腐败公约》实施情况
Convention against Corruption提要
Executive summary秘书处的说明
Note by the Secretariat Addendum增编
Executive summary提要
Marshall Islands马绍尔群岛
II. Executive summary二. 提要
Marshall Islands马绍尔群岛
1. Introduction: Overview of the legal and institutional framework of the Marshall Islands in the context of implementation of the United Nations Convention against Corruption1. 导言:马绍尔群岛在实施《联合国反腐败公约》方面的法律与体制框架概述
The Government of the Marshall Islands acceded to the Convention on 17 November 2011.马绍尔群岛政府于2011年11月17日加入《公约》。
Pursuant to section 1(3)(d), article V of the Constitution, the Nitijela (Parliament) approved the accession of the Marshall Islands.根据《宪法》第五条第1(3)(d)节,马绍尔群岛下议院(Nitijela)批准马绍尔群岛加入《公约》。
The Convention entered into force on 17 December 2011.《公约》于2011年12月17日对其生效。
The Marshall Islands 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 in 1983 and achieved full sovereignty in 1986, under the Compact of Free Association with the United States of America.马绍尔群岛在第二次世界大战后作为联合国托管领土之一受美国管辖,1983年获得独立,并于1986年与美国签订《自由联系条约》后获得完整主权。
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。
It also follows the monist approach making international treaties and conventions the law of the land after ratification.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。
English is the country’s main official language.英语为该国主要官方语言。
The Constitution, adopted in 1979, is the supreme law of the Marshall Islands, and any inconsistent law will, to the extent of the inconsistency, be void.于1979年通过的《宪法》是马绍尔群岛的最高法律,凡与《宪法》不一致的任何其他法律,其不符之处均为无效。
The Government of the Marshall Islands operates under a mixed parliamentary-presidential system.马绍尔群岛政府实行总统与议会混合制政体。
Elections are held every four years in universal suffrage, with each of the 44 constituencies electing representatives to the lower house of the bicameral legislature of the Marshall Islands, the Nitijela.每四年举行一次普选,44个选区分别选出代表至马绍尔群岛两院制立法体系中的下议院(Nitijela)任职。
The legislative authority is vested in the Nitijela, pursuant to article VI of the Constitution.依照《宪法》第六条,下议院被授予立法权。
The upper house, the Council of Iroij, is an advisory body comprising of 12 tribal chiefs.上议院(Iroij)是由12名部落酋长组成的顾问机构。
The executive branch consists of the President, elected by the Nitijela, and his/her Presidential Cabinet of 10 Ministers.执行机构由下议院选出的总统及10位部长构成的总统内阁组成。
The judicial power of the Marshall Islands is vested in the Supreme Court, High Court, Traditional Rights Court and such District, Community or other courts, as created by law.马绍尔群岛司法权被授予最高法院、高等法院、传统权利法院以及依法设立的此类地区、社区或其他法院。
These courts are independent of the legislative and executive powers (art. VI, Constitution; s.这些法院不受立法权与执法权的制约(《宪法》第六条;《司法组织法》第203节)。
203, Judiciary Act).反腐斗争的主要权威机构为:总检察长办公室、国家警署、总审计长办公室、公共服务委员会、政府道德操守委员会和国内金融情报股。
Key authorities in regard to the fight against corruption are the Attorney General’s Office, National Police, Auditor-General’s Office, Public Service Commission, Government Ethics Board and the Domestic Financial Intelligence Unit (DFIU).2. 第三章:刑事定罪和执法
2. Chapter III: Criminalization and law enforcement关于已调查、已起诉和已裁定的腐败案件数量,国家访问时确认,过去几年的案件数量非常有限。
Regarding statistics of corruption cases investigated, prosecuted and adjudicated, it was confirmed during the country visit that there have only been a very limited number of cases in the last few years.案例的缺失会影响对马绍尔群岛实施该公约章节情况的分析,目前无法确定现有法制框架是否得到有效实施。
The absence of case examples affects the analysis of the implementation of the chapter by the Marshall Islands, insofar as it was not possible to reach a determination of the effective implementation of the legislative framework in practice. 2.1. Observations on the implementation of the articles under review2.1. 关于所审议条款实施情况的评述
Bribery and trading in influence (arts. 15, 16, 18 and 21)贿赂和影响力交易(第十五、十六、十八和二十一条)
Active and passive bribery of public officials is criminalized in section 240.1 of the Criminal Code (CC).根据《刑法典》第240.1节,主动或被动向政府官员行贿属违法行为。
“Public servant” is the term used in the law, which is comprehensively defined, in accordance with article 2 (s.“公职人员”一词为法律用语,《联合国反腐败公约》第二条(第240.0(7)节)对其做了广义界定。
240.0(7)) of the United Nations Convention against Corruption.被动行贿在《政府道德操守法》第1704节中被进一步定罪。
Passive bribery is further criminalized in section 1704 of the Ethics in Government Act.目前尚无已结案的与行贿指控有关的起诉。
There have been no completed prosecutions arising from allegations of bribery.《刑法典》第240.1(3)节仅提到了主动向国外公职人员行贿的问题。
Only active bribery of foreign public officials is addressed in section 240.1(3) of CC.马绍尔群岛依据一般贿赂条款处理权力交易案件。
The Marshall Islands relies on the general bribery provisions to pursue cases of trading in influence.《刑法典》第240.1(2)(e)节涵盖假定权力,第241.9节以公职人员为例对其做了说明。
Supposed influence is covered by section 240.1(2)(e) of CC and through the impersonating of a public servant (s.私营部门主动与被动行贿行为在《刑法典》第224.9节有部分提及,然而违法者(例如:受托人、律师)的范围有限并且此类罪行仅被归类为行为不检。
241.9, CC).洗钱和窝赃(第二十三和二十四条)
Active and passive bribery in the private sector is partially covered by section 224.9 of CC; however, the scope of perpetrators (i.e.洗钱犯罪行为在《银行法》中做了规定。
trustee, lawyer) is limited and the offence is classified as a misdemeanour.第166节依照《公约》要求载列了洗钱罪的主客观要素。
Money-laundering, concealment (arts. 23 and 24)然而其仅处罚对转换或转让财产的行为,以及对窝赃或掩饰此类财产的真实性质、来源、所在地、处置、转移或所有权的行为“给予协助”的人员。
The offence of money-laundering is provided for in the Banking Act.马绍尔群岛已采取措施广泛打击第23(1)(b)(ii)条(《刑法典》第2.06、5.01和5.03节;《银行法》第166(1)(b)和(3)节)中所述的参与性行为。
Section 166 contains the objective and subjective elements of the money-laundering offence as required under the Convention.《银行法》利用一种“严重犯罪”门槛法来确定“最高可获不少于12个月监禁或其他剥夺其自由的处罚”的罪行(第102(dd)节)。
However, it only penalizes a person who “renders assistance” to the conversion or transfer of property and to concealing or disguising the true nature, origin, location, disposition, movement or ownership of such property.该法涵盖了《反腐败公约》规定的大部分罪行。
The Marshall Islands has adopted measures that broadly cover the participatory acts outlined in article 23(1)(b)(ii) (ss. 2.06, 5.01 and 5.03, CC; s.2003年,马绍尔群岛已有一例洗钱起诉案件结案。
166(1)(b) and (3), Banking Act).《刑法典》将窝赃定为违法犯罪,第241.7节对此做了总体规定,而第224.4节则对窝藏可记录仪器等具体行为做了规定。
The Banking Act uses a “serious offence” threshold approach for predicate offences where “maximum penalty is imprisonment or other deprivation of liberty for a period of not less than 12 months” (s.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)
102(dd)), which includes most offences under the Convention against Corruption.贪污被收录在《刑法典》第240.7节和《政府道德操守法》第1704(9)节。
There has been one successful prosecution of a money-laundering case in the Marshall Islands in 2003.财产定义广泛,包括“一切有价值的物品”。
Concealment is criminalized in CC, more generally under section 241.7, but also for specific acts, such as the concealment of recordable instruments (s.私营部门内贪污行为在《刑法典》第224.14节中提及,但仅限于“受托财产”,其处分为视作行为不检。
224.4). Embezzlement, abuse of functions and illicit enrichment (arts. 17, 19, 20 and 22) Embezzlement is addressed in section 240.7 of CC and section 1704(9) of the Ethics in Government Act. Property is also broadly defined to include “anything of value”. In relation to private sector embezzlement, section 224.14 of CC only covers “property that has been entrusted to such person as a fiduciary” and the penalty is a misdemeanour. Abuse of functions is criminalized in section 240.6 of CC, whereby a public servant (as defined in section 240.0(7) of CC) who (1) “knowingly does an unlawful act under the color of office” will be guilty of a felony of the second degree or (2) “recklessly neglects to perform the duties of the office as provided by law” is guilty of a felony of the third degree. Section 240.8 of CC specifically criminalizes illicit enrichment. Obstruction of justice (art. 25)滥用职权在《刑法典》第240.6节中被定为犯罪行为,其中规定:符合《刑法典》第240.0(7)节定义的任何公职人员若(1)“在履行职务时故意违反法律”将被视为二级重罪,或(2)“在执行法定职务时严重失职”将被视为三级重罪。
Obstruction of justice is criminalized principally in sections 240.2, 241.6, 241.7, 242.2 and 242.3 of CC.《刑法典》第240.8节明确将资产非法增加定为犯罪行为。
In particular, section 241.6 (tampering with witnesses and informants) appears to cover the bribery of witnesses and informants and also extends to specified means (use of physical force, threats or intimidation), while section 242.2 could conceivably extend to interference with law enforcement officials.妨害司法(第二十五条)
Section 240.2 (influencing official matters by threat) is the general provision that could be applied.妨害司法行为主要在《刑法典》第240.2、241.6、241.7、242.2和242.3节中被定罪。
There have been no cases of obstruction of justice. Liability of legal persons (art. 26) Section 1.13(8) of CC defines “persons” as both natural and legal persons. The liability of a legal person can be civil, criminal or administrative, as provided for in the Business Corporations Act, Revised Partnership Act, Limited Partnership Act and Limited Liability Company Act, which are collectively known as the Associations Law. There have been no examples of implementation, either investigations or proceedings. Participation and attempt (art. 27) The participation in offences is criminalized in the Marshall Islands (ss. 2.06, 5.02 and 5.03, CC). “Criminal attempt” is covered in section 5.01 of CC. There have been no related investigations or prosecutions. Preparation is criminalized in section 2.06(3)(a)(ii) of CC. Prosecution, adjudication and sanctions; cooperation with law enforcement authorities (arts. 30 and 37) The determination of sanctions is covered in section 1.04 of CC. Public officials enjoy functional immunity. However, according to article IV, section 16 of the Constitution, Nitijela Members enjoy functional immunity from civil or criminal proceedings for conduct concerning Nitijela matters. Furthermore, “Members of the Nitijela shall, except in cases of felony, be privileged from arrest during any session of the Nitijela, and in going to or returning from the same” (art. IV, s.16(2), Constitution). The Marshall Islands follows a system of discretionary prosecution. The Attorney General, pursuant to section 3, article VII of the Constitution, has broad discretion to prosecute. There are several legal safeguards in place that require him or her to exercise this discretion judiciously, in the public interest and based on the sufficiency of evidence. Prosecution decisions are also subject to judicial review, although there have been no such cases. Conditions on release pending trial are designed to ensure the presence of the defendant at the criminal proceedings (r.46, Rules of Criminal Procedure). The Marshall Islands has a Parole Board whose functions are outlined in section 306 of the Parole of Prisoners Act. The Board makes recommendations on parole to the Cabinet. There have never been persons released on parole in corruption-related matters, as such a request has never come before the Board. The suspension of a Government employee who has been charged with an offence is covered by rule 71 of the Public Service Regulations. However, even where an employee has been accused of an offence, his/her immediate supervisor or the Public Service Commission may determine matters of suspension. There is an appeal process, whereby the Appeal Board’s recommendation is given to the Public Service Commissioner who makes the ultimate decision.特别是第241.6节(收买证人和举报人)似乎涵盖向证人或举报人行贿的行为,并包含采用具体方式(例如动用武力、威胁或恐吓),而第242.2节可能将范围扩大到收买执法官员的行为。
The termination of Government employees is covered in section 6.07 (termination of public employment for felony conviction) of CC, while the “suspension with or without pay for specific periods of time” may be imposed by the Government Ethics Board (s.第240.2节(通过威胁影响官方事务)是可被普遍应用的条款。
1706(2)(b) of the Ethics in Government Act).目前尚未出现妨害司法行为。
Thus, the disqualification of a convicted person from holding public office is covered.法人责任(第二十六条)
Further civil and administrative remedies against public officials are covered in section 1706 of the Ethics in Government Act.《刑法典》第1.13(8)节将“人”界定为自然人或法人。
The Government Ethics Board “may [also] make regulations ... to specify additional ethical restrictions and requirements for public officials” (s.依照《商业公司法》、《订正合伙法》、《有限合伙法》和《有限责任公司法》(统称为《协会法》)规定,法人责任可以分为民事责任、刑事责任或行政责任。
The Marshall Islands used to have a prisoner rehabilitation programme, which ceased to exist in 2013.参与和未遂(第二十七条)
There are currently no prison facilities to house female inmates.马绍尔群岛将参与犯罪视为犯罪行为(《刑法典》第2.06、5.02和5.03节)。
The Marshall Islands has established measures to encourage defendants and persons who participated in the commission of offences to cooperate in investigations and prosecutions, and to provide testimony or evidence in line with article 37 of the Convention against Corruption.《刑法典》第5.01节提及“犯罪未遂”。
The Attorney General’s Office has a wide discretion and engages in plea-bargaining.目前尚未出现相关调查或起诉。
Protection of witnesses and reporting persons (arts. 32 and 33)《刑法典》第2.06(3)(a)(ii)节将预备作案亦归为犯罪。
The Marshall Islands has not adopted measures to protect witnesses or experts, with the exception of permitting an initial appearance in preliminary proceedings by video conference (r.起诉、审判和制裁;与执法机关的合作(第三十和三十七条)
5, Rules of Criminal Procedure).制裁的确定在《刑法典》第1.04节提及。
In relation to reporting persons, section 914 of the Auditor-General Act protects informers in relation to their identity when they provide the Auditor-General with information.公职人员享有职能豁免权。
Freezing, seizing and confiscation; bank secrecy (arts. 31 and 40)然而,根据《宪法》第四条第16节,下议院成员在下议院事务方面拥有免受民事起诉或刑事起诉的职能豁免权。
The Proceeds of Crime Act (POCA) and Banking Act provide for conviction-based confiscation and provisional measures for purposes of confiscation.此外,“在任何下议院会议期间以及在赴下议院参会或会议结束返程期间,若非重罪,下议院成员拥有不被逮捕的特权”(《宪法》第四条第16(2)节)。
Under section 222 of POCA, the High Court may, on the application of the Attorney General, make a confiscation order against tainted property in relation to a person’s conviction of a serious offence.马绍尔群岛实行裁量起诉制度。
In relation to money-laundering offences, the relevant provision is section 174 of the Banking Act, and either the Commissioner or the Attorney General can make the application.依照《宪法》第七条第3节,总检察长享有较大的起诉裁量权,若干现有法律保障措施规定,其应考虑公众利益与证据充分程度,理智谨慎地使用该权力。
“Serious offence” is defined in this context to include any offence in or outside the Marshall Islands, which is punishable by imprisonment for not less than 12 months (s.诉讼决定亦必须受到司法审查,虽然目前尚未发生此类案件。
102, Banking Act).规定取保候审的条件是为了确保被告在刑事诉讼程序中出庭(《刑事诉讼条例》第46条)。
“Tainted property” under POCA may be inferred under certain circumstances to be property used in, or in connection with, the commission of a serious offence or “proceeds of crime” (s.马绍尔群岛设有假释裁决委员会,其职能在《囚犯假释法》第306节中做了概括。
The authorities confirmed that tainted property includes instrumentalities used and destined for use in the commission of a serious offence.目前尚未出现因腐败问题而假释的人员,因此,该委员会尚未收到此类请求。
Under the Banking Act, “tainted property” means any property obtained in whole or in part from the proceeds of a criminal offence or from the proceeds of money-laundering (s.有关因违法而受指控的政府工作人员的停职问题在《公共服务规章》第71条中提及。
“Proceeds of crime” is defined under section 102 of the Banking Act as any property derived from or obtained, directly or indirectly through the commission of a serious offence; in POCA, this is defined as “fruits of a crime, or any property derived or realized directly or indirectly from a serious offense and includes, on a proportional basis, property into which any property derived or realized directly from the offense was later successively converted, transformed or intermingled, as well as income, capital or other economic gains derived or realized from such property at any time since the offense” (s.被控人员可以上诉,上诉委员会届时将向公共服务专员提出建议,由后者做出最后决定。
205(1)(k)). In general, there were a number of inconsistencies noted between POCA and the Banking Act. The police officer who seizes property is the administrator of that property (s. 255, POCA). Sections 251, 252, 254, 258 and 261-265 of POCA provide for production or monitoring orders against property under certain conditions to prevent the dealing or disposal of the property, as well as search and seizure of suspected tainted or other property under a search warrant, or without in emergencies. The procedure needed to obtain a court-issued warrant for investigating authorities to access government and financial or commercial records was deemed straightforward in practice. Section 217(1)(b) of POCA provides that “the defendant and any other person who claims an interest in the property may appear and adduce evidence at the hearing of the application and (c) the High Court may ... direct the Attorney-General to: (i) give notice of the application to any person who, in the opinion of the High Court, appears to have an interest in the property”. The rights of bona fide third parties are covered in section 225 of POCA. There have been no related cases of confiscation, freezing or seizure. Section 154(1)(d) of the Banking Act provides for bank secrecy to be lifted by a judicial order. Statute of limitations; criminal record (arts. 29 and 41) The period of limitations for offences is outlined in section 1.06 of CC. For most corruption offences, including felonies and misdemeanours, the limit is six years, while for “petty misdemeanours” it is one year. The limitation commences from the date of the commission of the offence. The period of limitation can be tolled when: (a) the accused is continuously absent from the Marshall Islands or has no reasonably ascertainable place or abode or work within the Marshall Islands, but in no case shall the limitation period be extended by more than three years from the expiration of the prescribed period, or (b) a prosecution against the accused for the same conduct is pending in the Marshall Islands (s.1.06(6), CC). Previous convictions, including foreign convictions, can be taken into account during sentencing by the courts. Jurisdiction (art. 42) Jurisdiction over offences committed on board vessels and aircraft appears to be regulated as an extension of the territorial jurisdiction of the Marshall Islands and is addressed for money-laundering offences. The Marshall Islands has not adopted the active and passive personality principles or the State protection principle in its domestic law. Consequences of acts of corruption; compensation for damage (arts. 34 and 35) The Marshall Islands has only adopted a few measures to address consequences of corruption. Under the Associations Law, the Registrar of Corporations can deregister a company. Under the Procurement Code, the Bidding Committee can reconsider procurement grants where there are acts of corruption. Compensation for entities or persons who have suffered damage as a result of an act of corruption is addressed in sections 215 of POCA and 185 of CC. Specialized authorities and inter-agency coordination (arts. 36, 38 and 39) The key anti-corruption authorities include the Attorney General’s Office, National Police, Office of the Auditor General and DFIU. There is also the Public Service Commission and Government Ethics Board. To date, of the limited number of corruption cases, most have involved public funds that the Auditor General’s Office has investigated. DFIU has an administrative role and is located within the Banking Commission; it currently does not have a dedicated staff member. Arrangements, both formal and informal, are in place for cooperation among the authorities. There are memoranda of understanding between the compliance authorities and between the National Police and Auditor General’s Office, with also another pending between the Police and Customs Authority. A formal arrangement focuses on money-laundering (Anti-Money Laundering Taskforce). Otherwise, informal cooperation is commonly used. While there is no comprehensive programme of interaction or outreach to the private sector, basic informal arrangements facilitate cooperation between the national authorities and the private sector. There is no specific duty to report corruption by public officials. However, the Auditor-General’s Office encourages persons to report acts of corruption through its hotline and website.政府工作人员的停职问题在《刑法典》第6.07节(因重罪定罪而停止公职)中提及,然而按照《政府道德操守法》第1706(2)(b)节,政府道德操守委员会可以决定“停职期间是否发放工资”。
2.2. Successes and good practices因此,涵盖了取消受控员工担任公职资格的问题。
Overall, the following success and good practice in implementing Chapter III of the Convention is highlighted:有关公职人员的更多民事及行政补救措施在《政府道德操守法》第1706节中提及。
Proactive sharing of information between national law enforcement authorities in accordance with article 38 of the Convention.政府道德操守委员会“(亦)可制定规章......来具体说明针对公职人员的额外道德限制与要求”(第1707节)。
2.3. Challenges in implementation马绍尔群岛曾经设有罪犯改造项目,但于2013年终止。
The following steps could further strengthen existing anti-corruption measures:目前没有关押女犯的监狱设施。
Consider adopting legislation to criminalize the passive form of both bribery of foreign public officials and trading in influence (Convention art. 16, para.马绍尔群岛已采取措施鼓励被告和参与违法行为的人员配合调查和起诉工作,并依照《反腐败公约》第37条提供证词与证据。
2, art. 18, para. b). Consider adopting legislation to broaden the scope of the law in relation to: (a) criminalizing bribery in the private sector, extending it to any person who directs or works for a private sector entity (art. 21); and (b) embezzlement in the private sector in order to cover all private sector bodies (art. 22). Amend the money-laundering provisions to comply with article 23, in particular subparagraph (1)(a), of the Convention. Furnish copies of the law in relation to money-laundering to the Secretary-General of the United Nations (art. 23(2)(d)). Set forth in legislation effective, proportionate and dissuasive sanctions against persons, including legal persons, for the commission of Convention offences (art. 26), including increasing the existing penalty of “misdemeanour” for bribery in the private sector (art. 21). Consider establishing a longer statute of limitations period in which to commence proceedings for offences under the Convention (art. 29). Ensure that sanctions take into account the gravity of that offence and provide the necessary facilities for also women to serve their prison sentences in accordance with international human rights standards (art. 30, para. 1). Consider adopting legislation or procedures to disqualify, for a period of time, a person convicted of a Convention offence from holding office in a State-owned enterprise (art. 30, para. 7). Endeavour to promote the reintegration into society of persons convicted of offences under the Convention (art. 30, para. 10). Consolidate POCA and the Banking Act in relation to freezing, seizure and confiscation in accordance with Convention article 31, ensuring that they apply to all corruption offences. Take measures to enable the freezing of an item, including a bank account, by competent authorities for the purpose of eventual confiscation (art. 31, para. 2). Adopt legislation or other appropriate measures to provide effective protection for witnesses, victims and experts, in accordance with article 32 of the Convention. Consider adopting appropriate measures to provide protection against any unjustified treatment for any person who reports in good faith and on reasonable grounds instances of corruption, in accordance with article 33 of the Convention.总检察长办公室享有广泛的自由裁量权并订立认罪求情协议。
Take measures to address the consequences of corruption, especially with regard to contracts and concessions (art. 34).保护证人和举报人(第三十二和三十三条)
Ensure that persons or bodies specialized in combating corruption are vested with the necessary independence to carry out their functions effectively and without any undue influence, such as the DFIU (art. 36).马绍尔群岛尚未采取保护证人或专业人士的措施。
May consider seeking to enter into agreements or arrangements with other States parties to facilitate assistance of cooperating offenders under article 37(5) of the Convention.仅允许相关人士以视频会议形式首次出庭(《刑事诉讼法规》第5条)。
Consider adopting such measures as may be necessary to establish jurisdiction in relation to the active and passive personality and State protection principles (art. 42, para.至于举报人,《总审计长法》第914节中规定,当举报人向总审计长提供信息时,其身份将保密。
2.4. Technical assistance needs identified to improve implementation of the Convention《犯罪所得法》与《银行法》规定定罪后没收财产并对没收财产规定了临时措施。 依照《犯罪所得法》第222节,高等法院可以按照总检察长的申请,在一个人被判犯有严重罪行以后对其污点财产发出没收令。
The following technical assistance needs were identified:对于洗钱犯罪行为,相关条款是《银行法》第174节,专员或总检察长均可提出没收申请。
Legislative drafting/legal advice with regard to articles 15, 16, 19, 21, 22, 23, 26, 27, 30, 31, 32, 33, 36, 37, 41 and 42.“重罪”在此处包括任何在马绍尔群岛境内外发生的、监禁期不少于12个月的犯罪行为(《银行法》第102节)。 《犯罪所得法》所提到的“污点财产”在某些情况下可以被推定为用于实施重大犯罪行为或与其相关的财产,或“犯罪所得”(第205(1)(p)节)。
Good practices/lessons learned with regard to articles 16, 19, 21, 22, 26, 27, 29, 30, 31, 32, 33, 34, 36, 37, 39, 41 and 42.官方确认,污点财产包括用于或预谋用于实施重大犯罪的工具。
Capacity-building assistance to national authorities with regard to articles 17, 23 and 31.依照《银行法》,“污点财产”系指在犯罪或洗钱过程中获取的所有或部分财产(第102(ff)节)。
On-site assistance by an anti-corruption expert (articles 19 and 23).《银行法》第102节将“犯罪所得”定义为因严重罪行直接或间接衍生或获取的任何财产;在《犯罪所得法》中被定义为“犯罪产物,或因严重罪行直接或间接衍生或获取的任何财产,并包括了一定比例的、直接从犯罪活动中衍生或获得的财产其后所转换、转变或混合成的财产,以及在犯罪后的任何时候从此类财产衍生或获取的收入、资本或其他经济利益。
Development of an action plan for implementation (article 19).”(第205(1)(k)节)。 总体上说,《犯罪所得法》与《银行法》对此的定义有一些不一致。
Training for investigators and prosecutors (articles 15, 16 and 17), public awareness-raising/anti-corruption educational programmes, capacity development (articles 17 and 23) particularly in establishing a DFIU position and perhaps a training and attachment to the Fiji FIU, development of a case management system with the necessary training, and an inter-agency coordination mechanism to fighting corruption in the Marshall Islands.扣押相关财产的警官即是该财产的管理人(《犯罪所得法》第255节)。
3. Chapter IV: International cooperation《犯罪所得法》第251、252、254、258及261-265节规定,某些条件下对财产实行出示或监测命令,以防止处理或处置该财产,并根据搜查令搜查和扣押疑似污点财产或其他财产,在紧急情况下则无需搜查令。 获得法院签发的令状使侦查机关能够查阅政府和财务或商业记录所需的程序被视为便于实际操作。 《犯罪所得法》第217(1)(b)节规定,“被告与此财产的其他任何受益人可以出席听证会并举证,(c)高等法院可以......命令总检察长(i)向高等法院确认的此财产的任何潜在受益人发出财产处置通知”。 善意第三方的权利已在《犯罪所得法》第225节中提及。 此前并未有过没收、冻结或扣押的相关案例。 《银行法》中第154(1)(d)节规定根据裁决令免除银行保密义务。 时效;犯罪记录(第二十九和四十一条)
3.1. Observations on the implementation of the articles under review犯罪的时效期在《刑法典》第1.06节中做了概述。
Extradition; transfer of sentenced persons; transfer of criminal proceedings (arts. 44, 45 and 47)大多数腐败犯罪行为,包括重罪和行为不检,其时效均为六年,而“情节较轻的行为不检”的时效为一年。
The procedures regulating extradition to and from the Marshall Islands are contained in the Criminal Extradition Act (CEA).时效期从犯罪之日起计算。 在下述情况下,时效期间可以延长:(a)当被控方持续不在马绍尔群岛境内或在马绍尔群岛境内无固定居所或工作的,然而任何情况下时效期都不得延长至超过规定时间三年以上,或(b)在马绍尔群岛境内因相同行为而起诉被控方的案件正在审理中(《刑法典》第1.06(6)节)。
The Marshall Islands makes extradition conditional on the existence of a treaty.法庭在判决时可以考虑以往的定罪,包括国外定罪。
The legislation does not impose the requirement of dual criminality in order for an extradition request to be granted.管辖权(第四十二条) 对在船只和航空器上所实施犯罪的管辖权的规定似乎是马绍尔群岛属地管辖权的延伸,并且涉及洗钱犯罪。 马绍尔群岛没有在本国法中采用主动和被动属人管辖权原则或国家保护原则。
Extradition is permitted where the respective offence in the Marshall Islands is classified as a “felony”.腐败行为的后果;损害赔偿(第三十四和第三十五条)
The Marshall Islands only has two bilateral treaties currently in place, one with the United States and one with Taiwan Province of China.马绍尔群岛仅采取了几项应对腐败行为后果的措施。
A lack of extradition treaties with other States has led to an inability to provide assistance when requested by a number of States including Nauru and Papua New Guinea.根据《协会法》,公司注册员可以撤销公司的注册。
The Marshall Islands has not used the Convention as a legal basis for extradition in respect of any Convention-related offences but noted that it would seek to introduce relevant amendments to domestic law in order to facilitate the use of the Convention for these purposes.根据《采购准则》,存在腐败行为时,竞买委员会可以重新考虑采购拨款。
The reviewers noted that the limitation on the provision of extradition to felony offences meant that extradition could not be provided in relation to, for example, bribery in the private sector.《刑事诉讼法》第215节和《刑法典》第185节规定了因腐败行为而遭受损害的实体和个人所获的赔偿。
The Marshall Islands does not extradite an individual where it believes that the request has been made for the purpose of prosecuting or punishing a person on account of that person’s sex, race, religion, nationality, ethnic origin or political opinions.专职机关和机构间协调(第三十六、三十八和三十九条)
The Marshall Islands is able to extradite its own nationals under its bilateral treaty with the United States and has done so in the past.主要的反腐败机关包括总检察长办公室、国家警察、审计长办公室和国内金融情报股股。 此外还有公务员委员会和政府道德操守委员会。 迄今为止,在有限的腐败案例中,大多数都涉及公共资金,审计长办公室已着手调查。
However, where possible, domestic prosecution would be attempted first.国内金融情报股设在银行委员会,承担行政责任,目前还没有专职工作人员。 已作出正式和非正式安排,促进主管机关之间的合作。
In the Marshall Islands, extradition proceedings are conducted in the same manner as criminal proceedings.各履约机关间,以及国家警察与审计长办公室之间签订了谅解备忘录,另一份谅解备忘录即将在警察和海关之间签署。 洗钱问题由一项正式安排(反洗钱工作组)主要负责。
The general guarantees of fair treatment are contained in section 212 of CEA and as provided for in the Constitution.除此以外,通常采用非正式合作。
The legislation does not contain provisions requiring consultations to take place with requesting States before refusing extradition; however, in practice, such consultations have been conducted.虽然没有出台与私营部门进行互动或外联的综合方案,但一些基本的非正式安排促进了国家机关与私营部门的合作。
The Marshall Islands is able to take the person sought into custody prior to the extradition hearing if it is considered necessary for the purposes of facilitating the request (s.没有规定有关举报公职人员腐败行为的具体义务。
214, CEA).但审计长办公室鼓励个人通过热线和网络举报腐败行为。 2.2. 成功经验和良好做法 总体而言,强调了在实施《公约》第三章方面取得的下述成功经验和良好做法: 根据《公约》第38条,国家执法机关间积极的信息共享。 2.3. 实施方面的挑战 下述步骤可进一步加强现有的反腐败措施: 考虑通过立法,将被动贿赂外国公职人员和权力交易定为犯罪(《公约》第十六条第2款和第十八条第b款)。 考虑通过立法,扩大针对以下方面的法律范围:(a)把私营部门的贿赂行为定为犯罪,使其涵盖领导私营部门实体或为该实体工作的任何人(第二十一条);以及(b)私营部门贪污,使其涵盖所有私营部门机构(第二十二条)。 修正洗钱条款,以遵守《公约》第二十三条,尤其是第1款(a)项。 向联合国秘书长提供与洗钱有关的法律副本(第二十三条第2款(d)项)。 陈述犯有《公约》确立罪行的法人和个人受到有效、适度和劝诫性的制裁(第二十六条),包括提高对在私营部门内贿赂的“行为不检”的现有处罚(第二十一条)。 考虑建立一个较长的时效,以便在此期限内对《公约》确立罪行启动诉讼程序(第二十九条)。 确保制裁与犯罪严重性相当,并根据国际人权标准,为女性服刑提供必要设施(第三十条第1款)。 考虑通过立法或程序,取消被判犯有《公约》确立罪行的个人在一段期限内在国企任职的资格(第三十条第7款)。 努力促使被判犯有《公约》确立罪行的个人重新融入社会(第三十条第10款)。 根据《公约》第三十一条,巩固《刑事诉讼法》和《银行法》在冻结、扣押和没收方面的条款,确保它们适用于所有腐败罪行。 采取措施,确保主管机关能够冻结物品,包括银行账户,以便最终予以没收(第三十一条第2款)。 通过立法或采取其他适当措施,根据《公约》第三十二条为证人、受害人或鉴定人提供有效保护。 考虑通过适当措施,根据《公约》第三十三条,对秉承善意且基于合理理由举报腐败行为的任何人提供保护,使其不致受到任何不公正的对待。 采取措施,消除腐败行为的后果,尤其在合同和特许权问题上(第三十四条)。 确保予以专门打击腐败的个人或机构(如国内金融情报股)必要的独立性,使其能够在不受任何不正当影响的情况下有效地履行职能(第三十六条)。 可以考虑与其他缔约国订立协议或安排,以按照第三十七条第5款,促进违法者与主管机关的配合。 考虑通过必要措施,建立主动和被动属人管辖权原则和国家保护原则(第四十二条第2款)。 2.4. 在改进《公约》实施方面认明的技术援助需要 已经认明下述技术援助需求: 针对第十五、十六、十九、二十一、二十二、二十三、二十六、二十七、三十、三十一、三十二、三十三、三十六、三十七、四十一和四十二条的立法起草/法律咨询意见。 第十六、十九、二十一、二十二、二十六、二十七、二十九、三十、三十一、三十二、三十三、三十四、三十六、三十七、三十九、四十一和四十二条方面的良好做法/吸取的教训。 针对第十七、二十三和三十一条协助国家主管机关开展能力建设。 反腐专家提供现场援助(第十九和二十三条)。 制定实施工作行动计划(第十九条)。 调查员和检察官培训(第十五、十六和十七条)、提高公众认识/反腐败教育方案、能力发展(第十七和二十三条),尤其是设立一个国内金融情报股职位,以及可能在斐济金融情报股建立培训和附属部门、制定个案管理系统并提供必要培训、以及制定机构间协调机制以打击马绍尔群岛腐败现象。 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) 《罪犯引渡法》规定了引渡到马绍尔群岛以及从马绍尔群岛引渡的程序。 马绍尔群岛根据已有条约进行引渡。 立法并不要求以双重犯罪作为准许引渡请求的前提。 只要相应罪行在马绍尔群岛被定为“重罪”,即可准许引渡。 目前,马绍尔群岛只有两项现行双边条约,分别是与美国和中国台湾省签署的。 由于没有与其他国家达成引渡条约,在包括瑙鲁和巴布亚新几内亚等若干国家提出请求时,马绍尔群岛无法提供援助。 马绍尔群岛不以《公约》作为法律依据,处理与《公约》相关罪行有关的引渡,但指出其将努力对国内法律进行相关修正,以支持使用《公约》进行工作。 审议员指出对重罪引渡的限制意味着无法对与私营部门贿赂等有关的行为进行引渡。 如果认为提出引渡请求是为了以某人的性别、种族、宗教、国籍、族裔或者政治观点为由对其进行起诉或者处罚,则马绍尔群岛不会同意引渡。 根据与美国达成的双边条约,马绍尔群岛可以引渡其公民,且在过去已经这么做了。 然而,如有可能,将先尝试国内检控。 在马绍尔群岛,引渡程序的开展方式同刑事诉讼程序一样。 《罪犯引渡法》第212节和《宪法》载有关于公平待遇的一般性保障。 立法没有对拒绝引渡前与请求国进行协商做出规定;然而,实际上进行了这类协商。
The Marshall Islands does not refuse a request for extradition on the sole ground that the offence is also considered to involve fiscal matters and has granted extradition in relation to tax fraud cases.如果认定可以有助于引渡请求,马绍尔群岛能够在引渡听证会前拘留相关人员(《罪犯引渡法》第214节)。
The authority responsible for extradition and mutual legal assistance (MLA) in the Marshall Islands is the Attorney General.马绍尔群岛不会仅以犯罪也被视为涉及财政事项为由而拒绝引渡,且已经准许对涉及税收欺诈的案件进行引渡。
The bilateral treaty between the Marshall Islands and the United States provides for the transfer of sentenced persons.在马绍尔群岛,负责引渡和司法互助的是总检察长。
Moreover, measures have not been put in place to facilitate the transfer of criminal proceedings to another jurisdiction.马绍尔群岛与美国的双边条约规定移送被判刑人员。
Mutual legal assistance (art. 46)此外,尚未采取措施便利移交刑事程序至其他司法管辖区。
The procedures regulating MLA are contained in the Mutual Assistance in Criminal Matters Act (MACMA) and CC.司法协助(第四十六条)
The purpose of MACMA is set out in section 403, namely “[t]his Act applies to the Marshall Islands and to any foreign State which may request assistance in criminal matters on a reciprocal basis”.司法协助程序载于《刑事事项互助法》和《刑法典》。
In practice, the Marshall Islands seeks to take a flexible approach to the provision of MLA.《刑事事项互助法》宗旨载于第403节,即“本法适用于马绍尔群岛,以及基于对等原则,可能就刑事事项提出协助请求的任何其他国家”。
MLA confirmed that where consideration is being given to refusing a request, national officials would first consult with the requesting State to consider whether assistance may be granted subject to certain terms and conditions.实践中,马绍尔群岛设法采用灵活的方法,提供司法协助。
Where a request for assistance is refused, the Marshall Islands will provide reasons for such a refusal.司法协助确认在考量拒绝请求时,国家官员将事先与请求国协商,以考虑是否可在特定情况和条件下给予协助。
The Marshall Islands applies a dual criminality requirement to the provision of MLA, but a flexible conduct-based test is used (ss. 404 and 409, MACMA).如果拒绝协助请求,马绍尔群岛将给出拒绝理由。
However, assistance may be provided in the absence of dual criminality where only non-coercive measures are required to satisfy the request.马绍尔群岛在提供司法协助时,适用双重犯罪要求,但也使用灵活的、基于表现的考察(《刑事事项互助法》第404和409节)。
Furthermore, the Marshall Islands is also flexible in providing informal assistance to other States in the absence of dual criminality.然而如果请求只需要采取非强制措施,那么也可在非双重犯罪的情况下提供协助。
For example, the Transnational Crime Unit (TCU) of the Marshall Islands Police Force spontaneously transfers information to other Pacific TCUs through the Pacific Transnational Crime Network.此外,在非双重犯罪的情况下,马绍尔群岛也灵活地向其他国家提供非正式协助。
The Marshall Islands is able to provide MLA forms as outlined in article 46(3) of the Convention against Corruption, including the execution of search warrants and freezing orders where a court order is obtained.例如,马绍尔群岛警方打击跨国犯罪股自发地通过太平洋跨国犯罪问题网络向其他太平洋打击跨国犯罪股传递信息。
While there is no legal basis for the proactive transmission of information by law enforcement officials from the Marshall Islands, this is conducted in practice on a regular basis.马绍尔群岛能够提供《反腐败公约》第46条第3款中所列的司法协助形式,包括在获得法院指令下,执行搜查令和冻结令。
The Marshall Islands also confirmed that it is able to facilitate the transfer of detained persons for purposes of identification, testimony or otherwise providing assistance in obtaining evidence for investigations, prosecutions or judicial proceedings in relation to Convention offences.虽然没有法律基础要求马绍尔群岛的执法官员主动传递信息,但在实践中,经常进行此类传递。
The Marshall Islands permits the use of videoconference for hearing a witness where conferencing services are available.马绍尔群岛还确认能够支持移交被羁押的人,以便其进行辨认、作证或提供其他协助,从而为与《公约》确立罪行有关的侦查、起诉或审判程序取证。
MLA requests are not refused on the grounds of bank secrecy, and effective cooperation has been established between law enforcement authorities, the Banking Commissioner and domestic banks in this regard.马绍尔群岛允许在会议服务可行的情况下,使用视频会议形式进行听证。
Section 408 of MACMA ensures that MLA requests made to the Marshall Islands are required to contain the categories of information covered in Convention article 46(15).不会以银行机密为由拒绝司法协助请求。
Law enforcement cooperation; joint investigations; special investigative techniques (arts. 48, 49 and 50)执法机关、银行专员以及国内银行已经在此方面建立了有效合作。
Law enforcement is part of a large number of regional and international cooperation networks, such as the Pacific Transnational Crime Network.《刑事事项互助法》第408节确保对马绍尔群岛提出的司法协助请求需要列明《公约》第46条第15款所涉信息类别。
Furthermore, cooperation is carried out through bilateral agreements and arrangements, as well as on an ad hoc basis.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)
The Marshall Islands noted that it had conducted successful joint investigations and prosecutions in the past with the assistance of and cooperation with the Office of the Inspector General of the United States Department of the Interior with respect to fraud offences.执法机关加入了大量的区域和国际合作网络,如太平洋跨国犯罪问题网络。
Under the Public Safety Act and CC, law enforcement authorities are authorized to use undercover surveillance.此外,还通过双边协议和安排展开合作,也会开展临时合作。
While equipment is available for electronic surveillance including auditor recording, national officials indicated that insufficient training had been provided to facilitate its effective use.马绍尔群岛指出,过去在美国内政部监察长办公室的协助和合作下,该国已对欺诈行为进行了成功的联合侦查和检控。
3.2. Successes and good practices根据《公共安全法》和《刑法典》,执法机关获权可进行秘密监视。
Overall, the following success and good practice in implementing Chapter IV of the Convention is highlighted:虽然有包括审计记录等电子监视手段,但国家官员表示,没有足够的培训支持这些手段的有效使用。
International law enforcement cooperation by the Marshall Islands, particularly in the region, is commendable (art. 48).3.2. 成功经验和良好做法
3.3. Challenges in implementation总体而言,强调了在实施《公约》第四章方面取得的下述成功经验和良好做法:
The following challenges and recommendations were highlighted by the reviewers:马绍尔群岛的国际法执行合作,尤其在该区域的合作,值得称道(第四十八条)。
Consider granting extradition requests that include several separate offences, one of which is extraditable (art. 44, para.3.3. 实施方面的挑战
Ensure that any extradition treaties that the Marshall Islands may conclude with other Member States contain references to Convention offences as being extraditable (art. 44, para. 4). Consider adopting additional extradition and MLA agreements in order to allow for extradition with a broader range of States (art. 44, para. 18; art. 46, para. 30). Put in place the relevant domestic legislative measures and raise awareness among relevant public officials in order to facilitate the use of the Convention as a legal basis for extradition (art. 44, para. 5). Take measures to expedite extradition procedures and consider simplifying the evidentiary requirements for extradition requests in relation to Convention offences (art. 44, para. 9). May consider entering into additional agreements or arrangements on the transfer of sentenced persons (art. 45). Introduce measures to improve transparency, channels of communication and information sharing between the various authorities in the Marshall Islands so as to allow for more effective responses to MLA requests from other States, as required under the Convention (art. 46, para. 1). 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). 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). Consider taking additional measures to allow for the effective use of special investigative techniques such as surveillance, undercover operations and, where appropriate, electronic surveillance operations, and providing the corresponding training to law enforcement personnel, including for the use of such techniques for international cooperation (art. 50).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3款)。
3.4. Technical assistance needs identified to improve implementation of the Convention确保马绍尔群岛可能与其他会员国缔结的任何引渡条约均将《公约》确立罪行视为可以引渡的犯罪(第四十四条第4款)。
The following technical assistance needs were identified:考虑通过额外的引渡和司法互助协议,以扩大适用引渡的缔约国范围(第四十四条第18款;第四十六条第30款)。
Training to law enforcement officials, prosecutors and the judiciary on the use of the Convention as a treaty basis for extradition.推出相关的国内立法措施,增强相关公职人员的意识,以推动使用《公约》作为引渡的法律依据(第四十四条第5款)。 采取措施加快引渡程序,并考虑简化对与《公约》确立罪行有关的引渡请求的证据要求(第四十四条第9款)。
Legal advice with regard to articles 46 and 47.可以考虑缔结关于移交被判刑人的额外协议或安排(第四十五条)。
Good practices/lessons learned with regard to articles 46, 47, 49 and 50.实行措施提高透明度并改善沟通渠道以及马绍尔群岛各机关间的信息共享,以确保更有效地响应其他缔约国按照《公约》提出的司法互助请求(第四十六条第1款)。
Capacity-building programmes for authorities in relation to international cooperation in criminal matters, for cross-border law enforcement cooperation and for designing and managing the use of special investigative techniques.向联合国秘书长通报所指定的负责处理司法互助事宜的中央主管机关,以及执行司法互助请求的可接受语文(第四十六条第13至14款)。
Technological assistance (i.e.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)。 考虑采取额外措施,允许有效使用特殊侦查手段,如监视、秘密行动,以及适当时使用电子监视形式,并为执法人员提供相关培训,包括在国际合作中使用此类手段(第五十条)。 3.4. 在改进《公约》实施方面认明的技术援助需要 已经认明下述技术援助需求: 培训执法官员、检察官和司法官员,使之能够使用《公约》作为引渡的条约基础。 针对第四十六和四十七条提出法律咨询意见。 第四十六、四十七、四十九和五十条方面的良好做法/吸取的教训。 负责刑事事项工作国际合作、跨境执法合作、以及负责设计和管理特殊侦查手段使用的主管机关的能力建设方案。
establishment and management of databases/information-sharing systems).技术援助(即建立和管理数据库/信息共享系统)。