MODEL LEGISLATIVE PROVISIONS AGAINST ORGANIZED CRIME_EC
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Model Legislative Provisions against Organized Crime打击有组织犯罪示范立法条文
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Contents目录
Page页次
Introduction导言
Logic and structure of the model legislative provisions示范立法条文的逻辑结构
Relationship with existing model laws与现有示范法的关系
Chapter I.第一章.
General provisions总则
Article 1.第1条.
Objective of the model legislative provisions示范立法条文的目的
Article 2.第2条.
Scope of application适用范围
Article 3.第3条.
Definitions and use of terms术语的定义与使用
Chapter II.第二章.
Coordination and prevention of organized crime有组织犯罪的协调与预防
Article 4.第4条.
National coordinating committee全国协调委员会
Article 5.第5条.
Data collection and analysis数据收集和分析
Chapter III.第三章.
Offences犯罪
Section A.第A节.
Offences related to participation in an organized criminal group参加有组织犯罪集团行为相关的犯罪
Article 6.第6条.
Jurisdiction管辖权
Article 7 (Option 1).第7条.
Conspiracy(备选案文1)共谋
Article 7 (Option 2).第7条.
Criminal association(备选案文2)犯罪团伙
Article 8.第8条.
Aiding, abetting, organizing or directing a serious crime协助、教唆、组织或指挥严重犯罪
Article 9.第9条.
Proof of intention through circumstantial evidence间接证据证明犯罪意图
Section B.第B节.
Offences related to obstruction of justice妨害司法行为相关的犯罪
Article 10.第10条.
Obstruction of justice妨害司法
Section C.第C节.
Penalties and sentencing considerations处罚和量刑考虑
Article 11.第11条.
Penalties and sentencing considerations处罚和量刑考虑
Article 12.第12条.
Liability of legal persons法人责任
Chapter IV.第四章.
Investigations侦查
Article 13. Controlled delivery第13条.控制下交付
Article 14. Assumed identities第14条.假扮身份
Article 15. Infiltration第15条.渗透
Article 16. Electronic surveillance第16条.电子监视
Article 17. International law enforcement cooperation第17条.国际执法合作
Article 18. Joint investigations第18条.联合侦查
Article 19. Conferral of powers on foreign law enforcement officials in joint investigations第19条.在联合侦查中授权给外国执法人员
Chapter V. Prosecution of convention offences第五章.《公约》所涵盖犯罪的起诉
Article 20. Exercise of discretion to prosecute第20条.行使起诉裁量权
Article 21. Leniency and immunity from prosecution第21条.宽大和起诉豁免
Chapter VI. Special procedures and evidentiary rules第六章. 特殊程序和证据规则
Article 22. Statute of limitation第22条.诉讼时效法规
Article 23. Transfer of criminal proceedings第23条.刑事诉讼的移交
Article 24. Ensuring offenders do not flee for Convention offences第24条.确保罪犯不因《公约》所涵盖犯罪而逃跑
Article 25. Evidence of prior convictions of Convention offences第25条.《公约》所涵盖犯罪先前定罪的证据
Chapter VII. Protection of witnesses第七章.保护证人
Article 26. Safety of witnesses第26条.证人的安全
Article 27. Judicial protection of witnesses第27条.证人的司法保护
Chapter VIII. Restitution and compensation for victims of Convention offences第八章.对《公约》所涵盖犯罪受害人的补偿
Article 28. Compensation and/or restitution by the offender第28条.罪犯给予的赔偿和(或)补偿
Chapter IX. Transfer of sentenced persons第九章.被判刑人员的移交
Article 29. Objective第29条.目的
Article 30. Definitions and use of terms第30条.术语的定义与使用
Article 31. Requirements for transfer第31条.移交要求
Article 32. Notice of the right to apply for transfer第32条.申请移交的权利的通知
Article 33. Application for transfer第33条.移交申请
Article 34. Protection of prisoners in the transfer process第34条.移交过程中的囚犯保护
Article 35. Enforcement or administration of the transferred sentence第35条.被移交刑罚的执行和管理
Introduction导言
The model legislative provisions against organized crime were developed by the United Nations Office on Drugs and Crime (UNODC) in response to a request made by the General Assembly to the Secretary-General to promote and assist the efforts of Member States to become party to and implement the United Nations Convention against Transnational Organized Crime and the Protocols thereto.打击有组织犯罪示范立法条文系联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)针对大会请秘书长促进并协助会员国努力加入并执行《联合国打击跨国有组织犯罪公约》及其议定书的这一请求编写。
United Nations, Treaty Series, vols. 2225, 2237, 2241 and 2326, No. 39574.联合国,《条约汇编》,第2225、2237、2241和2326卷,第39574号。
The model legislative provisions will facilitate and help systematize the provision of legislative assistance by UNODC and facilitate the review and amendment of existing legislation and the adoption of new legislation by Member States themselves. The model legislative provisions are designed to be adapted to the needs of each State, whatever its legal tradition and social, economic, cultural and geographic conditions.示范立法条文既可促进和协助实现毒品和犯罪问题办公室提供立法援助工作的系统化,又可方便会员国自己审查和修订现有立法和通过新的立法。本示范立法条文的设计要适应每个国家的需要,无论其法系及社会、经济、文化和地理条件如何。
Model laws already exist for some of the obligations under the United Nations Convention against Transnational Organized Crime, in particular, with respect to extradition, mutual assistance in criminal matters, witness protection and money-laundering. Furthermore, there are model laws that focus on implementation of the Protocols to the Convention. Accordingly, the present model legislative provisions focus on implementation of the articles of the Organized Crime Convention that are not covered by existing model laws (articles 2, 3, 5, 10, 11, 15, 17 and 19-31). A guide to which provisions of the Convention are covered by particular model laws is provided in table 1, on page [...].针对《联合国打击跨国有组织犯罪公约》规定的一些义务已经存在示范法,特别是在引渡、刑事事项上的互助、保护证人和洗钱方面。此外,还有侧重执行《公约》议定书的示范法。因此,本示范立法条文侧重于执行现有示范法尚未涵盖的《有组织犯罪公约》条款(第2、3、5、10、11、15、17和19-31条)。关于具体示范法涵盖《公约》条款的说明见第[...]页表1。
The commentary to the present model legislative provisions indicates which provisions are mandatory and which are optional, reflecting the level of obligation specified in the Organized Crime Convention. That distinction is not made with regard to the general provisions (chapter I) and the definitions (article 3), as they are an integral part of the model legislative provisions (although not mandated by the Organized Crime Convention per se). Recommended provisions may also stem from other international instruments, including international human rights and humanitarian law and refugee law. Whenever appropriate or necessary, options for the wording of the provision are suggested in order to reflect the differences between legal systems.本示范立法条文的评注指出了哪些条文是强制性的,哪些是选择性的,反映了《有组织犯罪公约》规定义务的层次。但总则(第一章)和定义(第3条)部分未作这一区分,因为这些部分是示范立法条文不可分割的组成部分(虽然《有组织犯罪公约》本身并未作强制规定)。建议条文也可能源于其他国际文书,包括国际人权和人道主义法及难民法。为了体现法系差异,仅在适当或必要时建议了条文措辞备选案文。
The commentary indicates the legal source of each provision and, in some cases, supplies examples of indicative national laws from various countries (in unofficial translation where necessary). The commentary also draws on interpretative notes for the official records (travaux préparatoires) of the United Nations Convention against Transnational Organized Crime, and the Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto.评注标出了每一条文的法律渊源,有的还提供了各个国家指示性国家法律的例子(必要时提供了非官方翻译)。评注还采用了《联合国打击跨国有组织犯罪公约》正式记录(准备工作文件)和《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》的解释性说明。
In cases where an official English version of the law was not available, the version used is that provided by national experts from the State concerned.如果有关法律没有官方英文版,则采用有关国家的国家级专家提供的版本。
Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto (United Nations publication, Sales No. E.06.V.5).《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》(联合国出版物,出售品编号:E.06.V.5)。
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto (United Nations publication, Sales No. E.05.V.2).《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》(联合国出版物,出售品编号:E.05.V.2)。
Any national legislation on transnational organized crime needs to be developed in line with the State’s constitutional principles, the basic concepts of its legal system and its existing legal structure and enforcement arrangements. Furthermore, national laws on transnational organized crime will need to operate consistently with other, existing national laws on related issues. Accordingly, the model legislative provisions are not intended to be incorporated directly into national laws as presented without a careful review of the whole legislative context of a given State.关于跨国有组织犯罪的任何国家立法都需要根据本国宪法原则、其法系基本概念及现有法律架构和执法安排来制订。此外,关于跨国有组织犯罪的国家法律需要与相关问题的其他现有国家法律统一执行。因此,本示范立法条文的目的不是要在未仔细审查某一国家整体立法背景的情况下原封不动地直接纳入国家法律。
This set of model legislative provisions against organized crime is the product of the Organized Crime Branch of UNODC, prepared in close coordination with the Justice Section of UNODC. A group of experts in the field of transnational organized crime from a variety of countries and legal backgrounds met over the course of two expert working group meetings to discuss and review the draft.这套打击有组织犯罪示范立法条文系毒品和犯罪问题办公室有组织犯罪处在毒品和犯罪问题办公室司法科密切配合下完成的工作成果。来自各个国家且有法律背景的跨国有组织犯罪领域的一些专家在两次专家工作组会议期间开会讨论和审查了草案。
The following staff members contributed to the process: Mounia Ben Hammou, Celso Coracini, Estella Deon, Marie Grandjouan, Simonetta Grassi, Karen Kramer, Johan Kruger, Gioacchino Polimeni, Riikka Puttonen, Stephen Thurlow and Olga Zudova. UNODC was assisted in this regard by two consultants: Fiona David, the principal drafter, and Marlene Hirtz, who provided civil law expertise.以下工作人员为这一工作做出了贡献:Mounia Ben Hammou、Celso Coracini、Estella Deon、Marie Grandjouan、Simonetta Grassi、Karen Kramer、Johan Kruger、Gioacchino Polimeni、Riikka Puttonen、Stephen Thurlow和Olga Zudova。毒品和犯罪问题办公室就此得到了两位顾问的协助:主要起草人Fiona David和提供民法专业知识的Marlene Hirtz。
Experts from the following countries contributed to the model legislation provisions in an individual capacity: Australia, Brazil, France, Italy, Jamaica, Mexico, New Zealand, Russian Federation, Uganda and United States of America. In addition, representatives from the following offices, organizations and regional processes participated in the meetings: the Department of Peacekeeping Operations of the Secretariat, the International Criminal Police Organization (INTERPOL) and the Organization for Security and Cooperation in Europe (OSCE).来自下列国家的专家尽其个人能力为本示范立法条文做出了贡献:澳大利亚、巴西、法国、意大利、牙买加、墨西哥、新西兰、俄罗斯联邦、乌干达和美利坚合众国。另外,下列办事处、组织和区域进程的代表参加了会议:秘书处维持和平行动部、国际刑事警察组织(刑警组织)和欧洲安全与合作组织(欧安组织)。
Logic and structure of the model legislative provisions示范立法条文的逻辑结构
The model legislative provisions focus on implementation of the articles of the United Nations Convention against Transnational Organized Crime that are not covered by existing model laws: that is, articles 2, 3, 5, 10, 11, 15, 17 and 19-31 of the Convention. They are divided into chapters, reflecting the following logic.本示范立法条文侧重执行现有示范法尚未涵盖的《联合国打击跨国有组织犯罪公约》条款:即《公约》的第2、3、5、10、11、15、17和19-31条。条文分成若干章节,反映的逻辑关系如下:
Chapter I.第一章.
General provisions总则
Chapter I includes provisions that are intended to apply generally to legislation that implements the Organized Crime Convention, including a statement of the purpose, principles to be applied in the interpretation of the law, key definitions and jurisdiction.第一章所含条款旨在普遍适用于执行《有组织犯罪公约》的立法,包括宗旨陈述、法律解释所用原则、主要定义和管辖权。
Chapter II.第二章.
Coordination and prevention协调与预防
Chapter II includes provisions regarding the establishment of a national coordinating committee to oversee the implementation of these provisions and other policies and programmes directed at preventing organized crime.第二章所含条款关于设立全国协调委员会,监督执行这些条文以及预防有组织犯罪的其他政策和方案。
Chapter III.第三章.
Substantive offences实质性犯罪
Chapter III defines precisely what conduct is criminal, addresses the issues of penalties for both natural and legal persons, and delineates factors that a court may take into account in sentencing.第三章精确定义什么行为是犯罪,解决对自然人和法人的处罚问题,并界定法院量刑可能会考虑的因素。
Chapter IV.第四章.
Investigations侦查
Chapter IV provides a basic legal framework to support the use of special investigative techniques that may assist in effectively responding to complex transnational crimes. It also provides a legal basis for measures intended to enhance operational and technical cooperation between law enforcement agencies in the States parties, particularly joint investigations.第四章提供支持使用特殊侦查手段的基本法律框架,可协助有效应对复杂的跨国犯罪,同时还为旨在加强缔约国执法机构之间业务和技术合作的措施,特别是联合调查方面,提供法律依据。
Chapter V.第五章.
Prosecution of convention offences《公约》所涵盖犯罪的起诉
Chapter V addresses some of the procedural matters that arise in the prosecution of Convention offences, including discretion to prosecute, and the granting of immunity in certain circumstances.第五章讨论起诉《公约》所涵盖犯罪的一些程序性事宜,包括起诉裁量权以及在某些情况下豁免的授予。
Chapter VI.第六章.
Special procedural and evidentiary rules特殊程序和证据规则
Chapter VI provides a legal basis for the special procedural and evidentiary rules that may facilitate the effective prosecution of transnational organized crime, such as extended time to commence prosecutions and admission of evidence obtained through special investigative techniques.第六章为促进有效起诉跨国有组织犯罪的特殊程序和证据规则提供法律依据,如延长开始起诉的时间以及采用通过特殊侦查手段获得的证据。
Chapter VII. Protection of witnesses第七章.保护证人
Chapter VII provides a legal basis for measures that can be taken both in court and outside court to ensure the safety and dignity of victims and witnesses of Convention offences.第七章为可在法庭内外采取的、确保《公约》所涵盖犯罪受害人和证人安全和尊严的措施提供法律依据。
Chapter VIII.第八章.
Restitution for victims of Convention offences对《公约》所涵盖犯罪受害人的补偿
Chapter VIII provides the legal basis for measures that can be taken to ensure that victims of Convention offences are provided with compensation and/or restitution.第八章为可用来确保赔偿和/或补偿《公约》所涵盖犯罪受害人的措施提供法律依据。
Chapter IX. Transfer of sentenced persons第九章.被判刑人员的移交
Chapter IX provides the legal basis for the transfer of persons sentenced for Convention offences to another Convention State.第九章为将《公约》所涵盖犯罪的被判刑人转移到《公约》另一缔约国提供法律依据。
Relationship with existing model laws第十章. 与现有示范法的关系
These model legislative provisions focus on implementation of the articles of the Organized Crime Convention not covered by the existing model laws, which are as follows:本示范立法条文侧重执行如下现有示范法尚未涵盖的《有组织犯罪公约》条款:
(a) Model Law against the Smuggling of Migrants (2010);(a) 《打击偷运移民示范法》(2010年);
(b) Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition (2011);(b) 《打击非法制造和贩运枪支及其零部件和弹药示范法》(2011年);
(c) Model Legislation on Money Laundering and Financing of Terrorism, prepared by the United Nations Office on Drugs and Crime and the International Monetary Fund (2005);(c)《洗钱和资助恐怖主义问题示范立法》,联合国毒品和犯罪问题办公室与国际货币基金组织编写(2005年);
(d) Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), prepared by the United Nations Office on Drugs and Crime, the Commonwealth Secretariat and the International Monetary Fund (2009);(d) 《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系),联合国毒品和犯罪问题办公室、英联邦秘书处和国际货币基金组织编写(2009年);
(e) Model Legislative Provisions against Terrorism (available upon request);(e) 《反恐怖主义示范立法条文》(备索);
(f) Model Law on Extradition (2004);(f) 《引渡示范法》(2004年);
(g) Model Law on Mutual Assistance in Criminal Matters (2007);(g) 《刑事事项互助示范法》(2007年);
(h) Justice in Matters Involving Child Victims and Witnesses of Crime: Model Law and Related Commentary (2009);(h) 在涉及犯罪儿童被害人和证人的事项上坚持公理:示范法及相关评注(2009年);
(i) UNODC model law on witness protection (available upon request);(i) 毒品和犯罪问题办公室《保护证人示范法》(备索);
(j) Model legislative provisions on drug control (available upon request).(j) 《毒品管制示范立法条文》(备索);
Table 1 provides a guide to each of the articles in the Organized Crime Convention and provides a cross-reference to the relevant model law(s).表1提供了《有组织犯罪公约》各条款与相关示范法的相互参照说明。
Table 1表1
Key to the United Nations Convention against Transnational Organized Crime and model laws and legislative provisions《联合国打击跨国有组织犯罪公约》与示范法和立法条文的相互参照说明
Article of the United Nations Convention against Transnational Organized Crime《联合国打击跨国有组织犯罪公约》条款
Subject主题
Corresponding model law or legislative provisions相应的示范法或立法条文
Article 1第1条
Statement of purpose宗旨
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 2第2条
Use of terms术语的使用
United Nations Convention against Transnational Organized Crime model legislative provisions; and the Model Law against the Smuggling of Migrants, the Model Law against Trafficking in Persons and the Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition《联合国打击跨国有组织犯罪公约示范立法条文》;及《打击偷运移民示范法》、《打击非法制造和贩运枪支及其零部件和弹药示范法》
Article 3第3条
Scope of application适用范围
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 4第4条
Protection of sovereignty保护主权
Article 5第5条
Criminalization of participation in an organized criminal group参加有组织犯罪集团行为的刑事定罪
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Articles 6 and 7第6和7条
Criminalization of the laundering of proceeds of crime犯罪所得洗钱行为的刑事定罪
Model Legislation on Money Laundering and Financing of Terrorism, prepared by the United Nations Office on Drugs and Crime and the International Monetary Fund (2005, for civil law systems)《洗钱和资助恐怖主义问题示范立法》,联合国毒品和犯罪问题办公室与国际货币基金组织编写(针对大陆法体系,2005年)
Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), prepared by the United Nations Office on Drugs and Crime, the Commonwealth Secretariat and the International Monetary Fund (2009)《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系),联合国毒品和犯罪问题办公室、英联邦秘书处和国际货币基金组织编写(2009年)
Article 8第8条
Criminalization of corruption腐败行为的刑事定罪
Article 9第9条
Measures against corruption反腐败措施
Article 10第10条
Liability of legal persons法人责任
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 11第11条
Prosecution, adjudication and sanctions起诉、审判和制裁
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 12第12条
Confiscation and seizure没收和扣押
Model Legislation on Money Laundering and Financing of Terrorism, prepared by the United Nations Office on Drugs and Crime and the International Monetary Fund (2005, for civil law systems)《洗钱和资助恐怖主义问题示范立法》,联合国毒品和犯罪问题办公室与国际货币基金组织编写(针对大陆法体系,2005年)
Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), prepared by the United Nations Office on Drugs and Crime, the Commonwealth Secretariat and the International Monetary Fund (2009)《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系),联合国毒品和犯罪问题办公室、英联邦秘书处和国际货币基金组织编写(2009年)
Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition《打击非法制造和贩运枪支及其零部件和弹药示范法》
Model legislative provisions against terrorism反恐怖主义示范立法条文
Article 13第13条
International cooperation for purposes of confiscation没收事宜的国际合作
Article 14第14条
Disposal of confiscated proceeds of crime or property没收的犯罪所得或财产的处置
Article 15第15条
Jurisdiction管辖权
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 16第16条
Extradition引渡
Model Law on Extradition (2004)《引渡示范法》(2004年)
Article 17第17条
Transfer of sentenced persons被判刑人员的移交
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 18第18条
Mutual legal assistance司法协助
Model Law on Mutual Assistance in Criminal Matters (2007)《刑事事项互助示范法》(2007年)
Article 19第19条
Joint investigations联合侦查
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 20第20条
Special investigative techniques特殊侦查手段
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 21第21条
Transfer of criminal proceedings刑事诉讼的移交
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 22第22条
Establishment of criminal record建立犯罪记录
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 23第23条
Criminalization of obstruction of justice妨害司法的刑事定罪
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 24第24条
Protection of witnesses保护证人
United Nations Convention against Transnational Organized Crime model legislative provisions and the United Nations Office on Drugs and Crime model law on witness protection《联合国打击跨国有组织犯罪公约示范立法条文》及联合国毒品和犯罪问题办公室《保护证人示范法》
Article 25第25条
Assistance to and protection of victims帮助和保护被害人
United Nations Convention against Transnational Organized Crime model legislative provisions and the United Nations Office on Drugs and Crime model law on witness protection《联合国打击跨国有组织犯罪公约示范立法条文》及联合国毒品和犯罪问题办公室《保护证人示范法》
Article 26第26条
Measures to enhance cooperation with law enforcement authorities加强与执法当局合作的措施
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 27第27条
Law enforcement cooperation执法合作
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 28第28条
Collection, exchange and analysis of information on the nature of organized crime收集、交流和分析关于有组织犯罪的性质的资料
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 29第29条
Training and technical assistance培训和技术援助
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 30第30条
Others measures: implementation of the Convention through economic development and technical assistance其他措施:通过经济发展和技术援助实施公约
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 31第31条
Prevention预防
United Nations Convention against Transnational Organized Crime model legislative provisions《联合国打击跨国有组织犯罪公约示范立法条文》
Article 32第32条
Conference of the Parties to the Convention公约缔约方会议
Article 33第33条
Secretariat秘书处
Article 34第34条 公约的实施
Implementation of the Convention第35条
Article 35争端的解决 第36条
Settlement of disputes签署、批准、接受、核准和加入 第37条
Article 36同议定书的关系 第38条
Signature, ratification, acceptance, approval and accession生效
Article 37第39条
Relation with protocols修正
Article 38第40条
Entry into force退约 第41条 保存人和语文
Article 39第一章. 总则 评介
Amendment本章所载条文旨在普遍适用于执行《公约》的立法。这些条文反映了第1条(宗旨)、第2条(主要术语)、第3条(适用范围)、第15条(管辖权)和第34条第2款(纳入国内法颁布时,《公约》所涵盖犯罪并不一定要具有跨国性,也不一定要涉及有组织犯罪集团,但属于犯罪基本要素的情形除外)。
Article 40现行国家法律可能已涵盖了某些事项。例如,其他的国家法律可能已经定义了“公职人员”或“外国执法人员”;可能有国家法律规定了法院审理普遍适用的国家法律所涵盖犯罪案件的管辖权限;可能已经有执行《有组织犯罪公约》议定书的特定法律。起草人有必要找出所有此类现行法律,确保一致性,同时也确保实施《公约》的要求。
Denunciation第一章. 总则
Article 41第1条. 示范立法条文的目的
Depositary and languages1. 本示范立法条文旨在[推动执行][执行]《联合国打击跨国有组织犯罪公约》。
Chapter I.2.
General provisions本条文的宗旨是: (a) 预防和打击有组织犯罪;
Introductory commentary(b) 为调查和起诉有组织犯罪提供便利;及
The present chapter contains provisions that are intended to apply generally to legislation that implements the Convention. These provisions reflect articles 1 (statement of purpose), 2 (key terms), 3 (scope of application), 15 (jurisdiction) and article 34, paragraph 2 (Convention offences, when enacted in domestic law, do not require the elements of transnationality and involvement of an organized criminal group except where these are essential elements of the offence itself).(c) 为实现上述目标而促进和推动国家和国际合作
Some of these matters may already be covered by existing national laws. For example, there may already be definitions of “public official” or “foreign law enforcement official” in other national laws; there may be national laws on jurisdictional competence of courts to hear offences under national laws that apply generally; and there may already be specific laws implementing the Protocols to the Organized Crime Convention. It is important for drafters to identify all such pre-existing laws and ensure consistency while also ensuring implementation of the requirements of the Convention.符合[基本人权和法治][国际法律义务,包括人权]。
Chapter I. General provisions评注
Article 1. Objective of the model legislative provisions来源:《有组织犯罪公约》第1条。
1. These model legislative provisions are intended to [facilitate implementation of] [implement] the United Nations Convention against Transnational Organized Crime.某些法律体系可能并不要求有宗旨声明。但在有些法律体系中可能有用,如相应国家法律直接引用条约,以便法庭能参照条约来解决释义问题。 起草人有必要考虑《有组织犯罪公约》规定的义务与其他重要国际义务的关系,特别是在人权和司法行政方面。因此,在第1条列入一条声明(“符合[基本人权和法治][国际法律义务,包括人权]”),明确指出,履行本《公约》义务不应妨碍其他重要国际义务。
2.第2条.
The purposes of these provisions are:适用范围 本示范立法条文适用于预防和打击: (a) 涉及有组织犯罪集团的严重犯罪;及
(a) To prevent and combat organized crime;(b) 本示范立法条文第三章确立的犯罪。
(b) To facilitate the investigation and prosecution of organized crime; and评注
(c) To promote and facilitate national and international cooperation in order to meet these objectives强制性条文。 来源:《有组织犯罪公约》第3条(适用范围)应结合第34条第2款解读。 《有组织犯罪公约》第3条规定,本《公约》除非另有规定,应适用于预防、侦查和起诉具有跨国性质且涉及有组织犯罪集团的、依照第5条、第6条、第8条和第23条确立的犯罪以及(第2条所界定的)严重犯罪。
consistent with [fundamental human rights and the rule of law] [international legal obligations, including human rights].第3条须结合第34条,特别是第2款解读: 各缔约国均应在本国法律中将根据本《公约》第5条、第6条、第8条和第23条确立的犯罪规定为犯罪,而不论其是否如本《公约》第3条第1款所述具有跨国性或是否涉及有组织犯罪集团,但本《公约》第5条要求涉及有组织犯罪集团的情况除外。
Commentary如《公约》解释性说明所述: 本款[第34条第2款]的目的是,在不改变第3条所述的《公约》适用范围的情况下明确无误地说明,就刑事定罪而言,并非要把跨国性和有组织犯罪集团的参与看作是这些犯罪的要素。 《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》引用的对第34条的解释性说明(见A/55/383/Add.1,第59段),第285页。 换言之,尽管《公约》重点针对跨国有组织犯罪,但国家起草人应确保将犯罪所得的洗钱行为(第6条)、腐败行为(第8条)或妨害司法(第23条)以及议定书确定的各种罪行定为刑事犯罪的国家法律不要求行为必须具有跨国性质或涉及有组织犯罪集团,除非有关罪行的定义有此要求。将参加有组织犯罪集团行为(第5条)定为刑事犯罪的国家法律不应要求行为具有跨国性质。 第34条第2款对《公约》许多条款的实施都有影响。因此,有必要列入适用范围条文,就像本文起草的案文这样。例如,《公约》建立了各种机制来促进国际合作(互助、引渡、没收、警方合作)。这些机制必须针对“本《公约》所涵盖的全部罪行”实施。根据第34条第2款,“本《公约》所涵盖的犯罪”包括国家法律确立的犯罪,而不管其是否具有跨国性或是否涉及有组织犯罪集团,例如,腐败、洗钱和妨碍司法。
Source: Organized Crime Convention, article 1.有关偷运移民、贩运人口和枪支的公约议定书作为公约的延伸而有效实施。《公约》规定经适当变通适用于这些议定书(如《公约》第37条及三项议定书各项之第1条规定)。因此,起草人有必要找到解决这些问题的所有相关国家法律,并确保旨在执行《公约》的任何国家法律都同样适用于旨在执行这些议定书的国家法律。
A statement of purpose may not be required in some legal systems.第3条.
However, it may be useful in some legal systems, such as those where the inclusion of a direct reference to the treaty in the corresponding national law allows the courts to refer to the treaty to resolve questions of interpretation.术语的定义与使用
It is important for drafters to consider how the obligations in the Organized Crime Convention interact with other key international obligations, particularly with regard to human rights and the administration of justice. Accordingly, a statement is included in article 1 (“consistent with [fundamental human rights and the rule of law] [international legal obligations, including human rights]”) to make it clear that the implementation of Convention obligations is not intended to operate to the detriment of other critical international obligations. Article 2. Scope of application在本条文中:
These model legislative provisions shall apply to preventing and combating:(a) “没收”,在适用情况下还包括充公,系指根据[法院或者其他主管机关]的命令对财产实行永久剥夺;
(a) Serious crime where the offence involves an organized criminal group; and评注
(b) Offences established under chapter 3 of these model legislative provisions.来源:《有组织犯罪公约》第2条(g)项。
Commentary《公约》准备工作文件所载解释性说明阐释道:
Mandatory.当缔约国国内法要求没收须有法院命令时,就本项定义而言,应当将该法院视为唯一的主管当局。
Source: Organized Crime Convention, article 3 (Scope of application) read together with article 34, paragraph 2.《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》引用的对第2条的解释性说明(见A/55/383/Add.1,第6段),第17-18页。
Article 3 of the Organized Crime Convention provides that the Convention shall apply, except where otherwise stated, to the prevention, investigation and prosecution of offences established in accordance with articles 5, 6, 8 and 23, and to serious crime (as defined in article 2), where the offence is transnational in nature and involves an organized criminal group.如联合国毒品和犯罪问题办公室、英联邦秘书处和国际货币基金组织编写的《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系)所述,没收令(和同等利益收回或资产没收令)决定机关可以是也可以不是法院。在某些管辖区,搜查令或生产令等某些命令可由法官以个人身份签发。在这种情况下,所行使的权力是行政权,而非司法权。 联合国毒品和犯罪问题办公室、英联邦秘书处和国际货币基金组织,《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系)(2009年);可查阅http://www.unodc.org/documents/money-laundering/Model_Provisions_2009_Final.pdf(2011年12月18日开始可以访问)。
Article 3 has to be read together with article 34, in particular paragraph 2:同上,第43条第5款,第68页。
The offences established in accordance with articles 5, 6, 8 and 23 of this Convention shall be established in the domestic law of each State Party independently of the transnational nature or the involvement of an organized criminal group as described in article 3, paragraph 1, of this Convention, except to the extent that article 5 of this Convention would require the involvement of an organized criminal group.但《公约》准备工作文件所载解释性说明阐释道:
As noted in the interpretative note to the Convention:当缔约国国内法要求没收须有法院命令时,就本项定义而言,应当将该法院视为唯一的主管当局。
The purpose of [article 34, paragraph 2] is, without altering the scope of application of the convention as described in article 3, to indicate unequivocally that the transnational element and the involvement of an organized criminal group are not to be considered elements of those offences for criminalization purposes.《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》引用的对第2条的解释性说明(见A/55/383/Add.1,第6段),第17-18页。 没收令可能有不同类型。如果可以找出具体财产或资产,可能会用没收令。如果具体财产或资产被转化或替代后无法确定,则可能会用利益回收令。此外,一些法律体系设有民事没收制度。 实例 《洗钱和资助恐怖主义问题示范立法》(针对大陆法体系)第1.3条提供了一种略有不同、更具限制性的定义: P. “没收”系指根据法院判决令永久剥夺财产。 联合国毒品和犯罪问题办公室和国际货币基金组织,《洗钱和资助恐怖主义问题示范立法》(2005年),第12页。可查阅www.unodc.org/documents/money-laundering/2005% 20UNODC%20and%20IMF%20Model%20Legislation.pdf(2011年12月18日开始可以访问)。 《刑事事项互助示范法》(2007年)对没收的定义如下 联合国毒品和犯罪问题办公室,《刑事事项互助示范法》(2007年),第14页。可查阅www.unodc.org/pdf/legal_advisory/Model%20Law%20on%20MLA%202007.pdf。 没收,在适用情况下还包括充公,系指根据法院或者其他主管机关的命令对财产实行永久剥夺。(第22条第2款) (b) “金钱或其他物质利益”应当包括任何类型的金钱或非金钱诱惑、付款、贿赂、报酬、好处、特权或服务(包括性或其他服务); 评注 来源:《有组织犯罪公约》第2条(a)项。 “金钱或其他物质利益”一语是《公约》第2条(a)项整个定义的一部分。如《公约》准备工作文件所载对第2条的解释性说明(见A/55/383/Add.1,第3段)所述: 应将“以直接或间接获得金钱或其他物质利益”一语广义地理解为包括诸如主要动机可能为性满足的犯罪,如儿童色情制品团伙成员得到或交易色情制品、恋童癖团伙成员买卖儿童或团伙成员之间分担费用。 《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》,第17页。 为了保持一致性,这里的“金钱或物质利益”一语采用与毒品和犯罪问题办公室《打击偷运移民示范法》相同的定义。 实例 《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系)第45条第5款规定: “利益”系指好处、收益、利润、或任何形式的付款。如果一个人对另一个人进行了控制或指示或要求,那么第一个人取得或获得或为其产生的好处包括另一人取得、获得或以其他方式为此人产生的好处。 (c) 另一国家的“外国执法机构”系指负责在另一国家[预防、起诉]调查犯罪的主管[机构]; 评注 来源:《有组织犯罪公约》第27条要求跨境执法合作,因此需要定义这一术语。 如《立法指南》所指出,根据第27条,《公约》缔约国必须在执法(警方)合作方面相互密切配合。在某些法律体系中,可能有必要就此特别授权国家执法机构与外国执法机构合作。在这种情况下,可能还必须纳入对“外国执法机构”的定义。 (d) “冻结”或“扣押”系指依照法院或者其他主管机关的命令暂时禁止财产转移、转换、处分或者移动或者对财产实行暂时性扣留或者控制; 评注 来源:《有组织犯罪公约》第2条(f)项。 《公约》要求缔约国建立冻结和扣押犯罪所得的机制,无论是在国内,还是作为一种国际合作的形式(例如,见第12条和第13条)。此外,冻结或扣押犯罪所得也可能是一种有用的工具,判刑法官可以采用,以确保罪犯不会保留其犯罪所得利润。因此,如果确保国家法律对“冻结”和“扣押”进行定义,可能会对起草人有所帮助。这里的定义基于《公约》第2条(f)项的定义。 《公约》的解释性说明阐释道: 第2条(f)项所定义的“冻结”或“扣押”这一术语可以在《联合国打击跨国有组织犯罪公约》第12条和第13条中找到。第18条中出现的“搜查和扣押”一语不应当与第2条中的“扣押”相混淆。“搜查和扣押”指的是执法当局使用强制性的闯入措施以便为刑事案件获得证据。第18条中“冻结”一词系用来涵盖第2条中定义为“冻结”或“扣押”的概念,应作广义理解,不仅包括财产,而且包括证据。
Interpretative note on article 34 (see A/55/383/Add.1, para. 59) cited in Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 285.《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》引用的对第2条的解释性说明(见A/55/383/Add.1,第6段),第17-18页。
In other words, even though the focus of the Convention is on transnational organized crime, national drafters should ensure that national laws criminalizing the laundering of criminal proceeds (article 6), corruption (article 8) or obstruction of justice (article 23) and the various Protocol offences do not require the conduct to be transnational in nature or to involve an organized criminal group, unless this is required by the offence as defined. National laws criminalizing participation in an organized criminal group (article 5) should not require the conduct to be transnational in nature.实例
Article 34, paragraph 2, has implications for the operation of many articles found in the Convention. So, the inclusion of a scope of application provision such as the one drafted here is very important. For example, the Convention establishes various mechanisms to facilitate international cooperation (mutual assistance, extradition, confiscation, police-to-police cooperation). These mechanisms must be operational in relation to the full spectrum of “offences covered by this Convention”. As a result of article 34, paragraph 2, it follows that “offences covered by this Convention” includes the offences of, for example, corruption, money-laundering and obstruction of justice, established in national law without reference to the elements of transnationality or involvement of an organized criminal group.《洗钱和资助恐怖主义问题示范立法》(针对大陆法体系)第1.3条单独定义了术语“冻结”和“扣押”,如下:
The Protocols to the Convention, on smuggling of migrants, trafficking in persons and firearms, operate, in effect, as extensions to the Convention. The provisions of the Convention apply, mutatis mutandis, to the Protocols (as set out in article 37 of the Convention and article 1 of each of the three Protocols). Accordingly, it will be important for drafters to locate all relevant national laws that address these issues and ensure that any national laws intended to implement the Convention apply equally to national laws intended to implement the Protocols. Article 3. Definitions and use of termsN. “冻结”应指依照司法或其他主管机关的决定在决定有效期内禁止资金或其他财产的转移、转换、处置或者移动。被冻结的资金或其他财产应依然属于冻结之时对所指定资金或其他财产持有权益之个人或实体的财产,并可继续由金融机构进行管理。
In these provisions:O. “冻结”应指依照司法或其他主管机关的决定在决定有效期内禁止资金或其他财产的转移、转换、处置或者移动。被扣押的资金或其他财产应依然属于扣押之时对所指定资金或其他财产持有权益之个人或实体的财产,但应由司法或其他主管机关进行管理。
(a) “Confiscation”, which includes forfeiture where applicable, shall mean the permanent deprivation of property by order of a [court or other competent authority];联合国毒品和犯罪问题办公室与国际货币基金组织,《洗钱和资助恐怖主义问题示范立法》,第12页。
Commentary Source: Organized Crime Convention, article 2, subparagraph (g). The interpretative notes contained in the Travaux Préparatoires to the Convention clarify that: When the domestic law of a State party requires the order of a court for confiscation, that court will be considered the only competent authority for the purposes of this definition. Interpretative notes on article 2 (see A/55/383/Add.1, para. 6) cited in Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 17-18. As noted in the Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), prepared by the United Nations Office on Drugs and Crime, the Commonwealth Secretariat and the International Monetary Fund, the deciding authority for confiscation orders (and equivalent benefit recovery or asset forfeiture orders) may or may not be a court. In some jurisdictions, certain orders, such as a search warrant or production order, might be issued by a judge acting in his or her personal capacity, in which case the power being exercised is executive rather than judicial. United Nations Office on Drugs and Crime, the Commonwealth Secretariat and the International Monetary Fund, Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems) (2009). Available from www.unodc.org/documents/money-laundering/Model_Provisions_2009_Final.pdf (accessed 18 December 2011). Ibid., sect. 43, para. 5, p. 68. However, the interpretative notes contained in the Travaux Préparatoires to the Convention clarify that: When the domestic law of a State party requires the order of a court for confiscation, that court will be considered the only competent authority for the purposes of this definition. Interpretative notes on article 2 (see A/55/383/Add.1, para. 6) cited in Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 17-18. There may be different types of confiscation orders. A confiscation order might be used when specific property or assets can be identified. A benefit recovery order might be used when no specific property can be identified following conversion or substitution. Furthermore, some legal systems will have a regime for civil forfeiture. Examples Article 1.3 of the Model Legislation on Money Laundering and Financing of Terrorism (for civil law systems) provides a slightly different, more limited definition: P. “Confiscation” shall mean the permanent deprivation of property based on a decision order of a court. United Nations Office on Drugs and Crime and International Monetary Fund, Model Legislation on Money Laundering and Financing of Terrorism (2005), p. 12. Available from www.unodc.org/documents/money-laundering/2005%20UNODC%20and%20IMF%20Model% 20Legislation.pdf (accessed 18 December 2011). The Model Law on Mutual Assistance in Criminal Matters (2007) includes the following definition of confiscation: United Nations Office on Drugs and Crime, Model Law on Mutual Assistance in Criminal Matters (2007), p. 14. Available from www.unodc.org/pdf/legal_advisory/Model%20Law%20on%20MLA%202007.pdf.(e) “有组织犯罪集团”系指由三人或多人所组成的、在一定时期内存在的、为了实施一项或多项适用本示范立法条文的犯罪以直接或间接获得金钱或其他物质利益而一致行动的有组织结构的集团;
Confiscation, which includes forfeiture where applicable, means the permanent deprivation of property by order of a court or other competent authority. (art. 22, para. 2)评注
(b) “Financial or other material benefit” shall include any type of financial or non-financial inducement, payment, bribe, reward, advantage, privilege or service (including sexual or other services);来源:《有组织犯罪公约》第2条(a)项。
Commentary Source: Organized Crime Convention, article 2, subparagraph (a). The term “financial or other material benefit” is an integral part of the definition of “organized criminal group” in article 2, subparagraph (a), of the Convention. As noted in the interpretative notes on article 2 (see A/55/383/Add.1, para. 3) contained in the Travaux Préparatoires to the Convention: The words “in order to obtain, directly or indirectly, a financial or other material benefit” should be understood broadly, to include, for example, crimes in which the predominant motivation may be sexual gratification, such as the receipt or trade of materials by members of child pornography rings, the trading of children by members of paedophile rings or cost-sharing among ring members. Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 17. For consistency, the definition of “financial or material benefit” used here is identical to the definition of this term used in the UNODC Model Law against the Smuggling of Migrants. Example The Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), section 45, paragraph 5, provides that: “benefit” means an advantage, gain, profit, or payment of any kind, and the benefits that a person derives or obtains or that accrue to him include those that another person derives, obtains or that otherwise accrue to such other person, if the other person is under the control of, or is directed or requested by, the first person. (c) “Foreign law enforcement agency” of another State shall mean the competent [agency] with responsibility for [preventing, prosecuting] investigating crime in another State;《公约》第2条(a)项的“有组织犯罪集团”定义是其实施的核心。因此,至关重要的是国家起草人要考虑最好如何在国家法律中反映这一定义。
Commentary Source: The need to define this term comes from article 27 of the Organized Crime Convention, which requires cross-border law enforcement cooperation. As noted in the Legislative Guides, under article 27, States parties to the Convention are required to cooperate closely with one another in terms of law enforcement (police-to-police) cooperation. In some legal systems, it may be necessary to specifically authorize national law enforcement agencies to work with foreign law enforcement agencies in this way. Where this is the case, it may also be necessary to include a definition of what is meant by the term “foreign law enforcement agency”. (d) “Freezing” or “seizure” shall mean temporarily prohibiting the transfer, conversion, disposition or movement of property or temporarily assuming custody or control of property on the basis of an order issued by a court or other competent authority; Commentary Source: Organized Crime Convention, article 2, subparagraph (f). The Convention requires States parties to establish mechanisms for freezing and seizure of proceeds of crime both domestically and as a form of international cooperation (see for example, articles 12 and 13). Furthermore, the freezing or seizure of proceeds of crime may also be a useful tool that can be applied by sentencing judges to ensure that criminals do not retain the profits of their crimes. Accordingly, it may be helpful for drafters to ensure that there is a definition of “freezing” and “seizure” in national law. The definition included here is based on the definition found in article 2, subparagraph (f) of the Convention. The interpretative notes to the Convention clarify that: The terms “freezing” or “seizure” as defined in article 2, subparagraph (f), can be found in articles 12 and 13 of the United Nations Convention against Transnational Organized Crime. The term “search and seizure” appearing in article 18 should not be confused with “seizure” in article 2. “Search and seizure” refers to the use of intrusive compulsory measures by law enforcement authorities to obtain evidence for purposes of a criminal case. The term “freezing” in article 18 is used to cover the concept defined as “freezing” or “seizure” in article 2 and should be understood more broadly to include not only property but also evidence. Interpretative notes on article 2 (see A/55/383/Add.1, para. 5) cited in the Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 17-18. Example Article 1.3 of the Model Legislation on Money Laundering and Financing of Terrorism (for civil law systems) defines the terms “freezing” and “seizing” separately, as follows: N. “Freezing” shall mean prohibiting the transfer, conversion, disposition or movement of funds or other property on the basis of, and for the duration of the validity of, a decision of a judicial or other competent authority. The frozen funds or other property shall remain the property of the persons or entities that held an interest in the specified funds or other property at the time of the freezing, and may continue to be administered by the financial institution.正如《立法指南》所指出,“有组织犯罪集团”的定义不包括不寻求获得任何“金钱或其他物质利益”的集团。换言之,这一定义不包括某些恐怖分子或反叛集团,只要其目的与金钱或物质利益无关。但如果恐怖组织贩卖毒品为其行动募集资金,那么这一定义仍可涵盖这些集团。
O. “Seizing” shall mean prohibiting the transfer, conversion, disposition or movement of funds or other property on the basis of, and for the duration of the validity of, a decision of a judicial or other competent authority. The seized funds or other property shall remain the property of the persons or entities that held an interest in the specified funds or other property at the time of the seizure, but shall be administered by the judicial or other competent authority.《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第13页。
United Nations Office on Drugs and Crime and International Monetary Fund, Model Legislation on Money Laundering and Financing of Terrorism, p. 12.《公约》的解释性说明还指出:
(e) “Organized criminal group” shall mean a structured group of three or more persons, existing for a period of time and acting in concert with the aim of committing one or more offences to which these model legislative provisions apply, in order to obtain, directly or indirectly, a financial or other material benefit;应将“以直接或间接获得金钱或其他物质利益”一语广义地理解为包括诸如主要动机可能为性满足的犯罪,如儿童色情制品团伙成员得到或交易色情制品、恋童癖团伙成员买卖儿童或团伙成员之间分担费用。
Commentary Source: Organized Crime Convention, article 2, subparagraph (a). The definition of an “organized criminal group”, found in article 2, subparagraph (a), of the Convention, is central to its operation. Accordingly, it is vital that national drafters consider how best to reflect this definition in national law. As noted in the Legislative Guides, the definition of “organized criminal group” does not include groups that do not seek to obtain any “financial or other material benefit”. In other words, terrorist or insurgent groups are not covered by this definition, provided their goals are not related to a financial or material benefit. However, the definition may still cover these groups where, for example, a terrorist organization sells drugs in order to raise money to fund their operations. Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 13. The interpretative notes to the Convention also state that: The words “in order to obtain, directly or indirectly, a financial or other material benefit” should be understood broadly, to include, for example, crimes in which the predominant motivation may be sexual gratification, such as the receipt or trade of materials by members of child pornography rings, the trading of children by members of paedophile rings or cost-sharing among ring members. Interpretative notes on article 2 (see A/55/383/Add.1, para. 3), cited in Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 17. As a practical matter, some States may want or need to be more specific about some elements of this definition, such as the definition of the “period of time” for which a group has to exist. In this regard it may be clearer to refer simply to “any period of time”. It may also be useful to delete the reference to “structured” and refer simply to “groups”. As defined under the Organized Crime Convention, a structured group is defined in the negative: as one that does not need a formal hierarchy. These sorts of approaches are permitted, as article 34, paragraph 3, provides that States parties may adopt measures that are more strict or severe than those provided for in the Convention for preventing and combating transnational organized crime. Example Article 1.3 of the UNODC Model Legislation on Money Laundering and Financing of Terrorism defines an “organized criminal group” as follows: “Organized criminal group” shall mean a structured group of three or more persons, existing for a period of time and acting in concert with the aim of committing one or more serious offences, in order to obtain, directly or indirectly, a financial or other material benefit. Example New Zealand’s Crimes Act 1961 defines an organized criminal group as follows: Section 98A: Participation in organised criminal group (1) Every person commits an offence and is liable to imprisonment for a term not exceeding 10 years who participates in an organised criminal group— (a) knowing that 3 or more people share any 1 or more of the objectives (the particular objective or particular objectives) described in paragraphs (a) to (d) of subsection (2) (whether or not the person himself or herself shares the particular objective or particular objectives); and (b) either knowing that his or her conduct contributes, or being reckless as to whether his or her conduct may contribute, to the occurrence of any criminal activity; and (c) either knowing that the criminal activity contributes, or being reckless as to whether the criminal activity may contribute, to achieving the particular objective or particular objectives of the organised criminal group. (2) For the purposes of this Act, a group is an organised criminal group if it is a group of 3 or more people who have as their objective or one of their objectives— (a) obtaining material benefits from the commission of offences that are punishable by imprisonment for a term of 4 years or more; or (b) obtaining material benefits from conduct outside New Zealand that, if it occurred in New Zealand, would constitute the commission of offences that are punishable by imprisonment for a term of 4 years or more; or (c) the commission of serious violent offences (within the meaning of section 312A(1)); or (d) conduct outside New Zealand that, if it occurred in New Zealand, would constitute the commission of serious violent offences (within the meaning of section 312A(1)). (3) A group of people is capable of being an organised criminal group for the purposes of this Act whether or not— (a) some of them are subordinates or employees of others; or (b) only some of the people involved in it at a particular time are involved in the planning, arrangement, or execution at that time of any particular action, activity, or transaction; or (c) its membership changes from time to time. Example According to the Criminal Code 1996 of the Russian Federation, a crime is considered to be committed by organized crime if it was committed by a permanent (stable) group of persons who had united beforehand to commit one or more crimes. A crime is considered to be committed by a criminal association if it was committed by a structured organized group or association of organized groups acting under single management (direction) and the members of such groups were united in order to commit jointly one or more grave or very serious crimes (felonies) in order to get directly or indirectly financial or other material benefit. A person who created an organized criminal group or a criminal association or who was managing them is subject to criminal liability for their establishment and management in cases stipulated by articles 208 (organization of a criminal association and participation therein), 209 (banditry), 210 (organization of criminal association), 282.1 (organization of an extremist association) of the Criminal Code of the Russian Federation; the same is true for all crimes committed by an organized group or criminal association with intent. Unofficial translation. Example《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》引用的对第2条的解释性说明(见A/55/383/Add.1,第3段),第17页。
The General Civil Penal Code 1902 of Norway defines an “organized criminal group” in its section 60a as follows:事实上,一些国家不妨在此定义的一些要素方面更具体一些,如界定集团存在的“一定时期”。在这一点上,如果简单地表述为“任何时间”,可能会更清晰一些。如果删除“有组织结构的”,而只提“集团”,可能也会好一些。《有组织犯罪公约》从否定方面对有组织结构的集团进行了定义:不必要求正式组织结构的集团。由于第34条第3款规定,为预防和打击跨国有组织犯罪,各缔约国均可采取比本《公约》的规定更为严格或严厉的措施,因此这种办法是允许的。
An organized criminal group is here defined as an organized group of three or more persons whose main purpose is to commit an act that is punishable by imprisonment for a term of not less than three years, or whose activity largely consists of committing such acts ...实例
Available from www.un.org/depts/los/LEGISLATIONANDTREATIES/PDFFILES/NOR_penal_code.pdf.毒品和犯罪问题办公室《洗钱和资助恐怖主义问题示范立法》第1.3条将“有组织犯罪集团”定义为:
Example The Criminal Code 1968 of Bulgaria defines an “organized criminal group” as follows: Article 93 §20 20. (New, SG No. 92/2002, amended, SG No. 27/2009) An “organized criminal group” is the permanent structured association of three or more individuals intended for the agreed perpetration, inside the country or abroad, of crime punishable by deprivation of liberty of more than three years. An association shall also be considered structured in the absence of any formal distribution of functions among its participants, duration of their involvement or any developed internal structure. Available from www.imolin.org/doc/amlid/Bulgaria/Bulgaria_Criminal_Code_2009.pdf. Example The Criminal Code 2000 of Lithuania defines various forms of complicity, including (among other things) an “organized group” and also a “criminal association” as follows: Article 25. Forms of complicity 1. Forms of complicity shall be a group of accomplices, an organised group or a criminal association. 2. A group of accomplices shall be one in which two or more persons agree, at any stage of the commission of a criminal act, on the commission, continuation or completion of the criminal act, where at least two of them are perpetrators. 3. An organised group shall be one in which two or more persons agree, at any stage of the commission of a criminal act, on the commission of several crimes or of one serious or grave crime, and in committing the crime each member of the group performs a certain task or is given a different role. 4. A criminal association shall be one in which three or more persons linked by permanent mutual relations and division of roles or tasks join together for the commission of a joint criminal act – one or several serious and grave crimes. An anti-state group or organisation and a terrorist group shall be considered equivalent to a criminal association. Available from www3.lrs.lt/pls/inter3/dokpaieska.showdoc_e?p_id=366707&p_query=&p_tr2=#. Example The Criminal Law of China 1979 includes an offence of forming, leading or taking an active part in “organizations in the nature of criminal syndicates” (article 294). The term “organizations in the nature of a criminal syndicate” is not defined in the law itself but is defined in the interpretation by the Standing Committee of the National People’s Congress regarding the first paragraph of article 294 of the Criminal Law of China: The text of the Criminal Law of the People’s Republic of China is available at: www.imolin.org/doc/amlid/China/China_Criminal_Law_1997.pdf. The Interpretation by the Standing Committee of the National People’s Congress Regarding the First Paragraph of Article 294 of the Criminal Law of the People’s Republic of China is available at: www.gov.cn/english/laws/2005-10/09/content_75389.htm. “Organizations in the nature of criminal syndicate” prescribed in the first paragraph of article 294 of the Criminal Law shall, at the same time, possess the following characteristics: (1) the criminal organization is relatively stable, with a relatively large number of members, definite organizers or leaders, and basically fixed backbone members; (2) it gains economic interests through organized illegally [sic] acts, criminal acts or other means, with a certain amount of economic strength to support its activities; (3) it has committed organized illegal and criminal acts on many occasions through violence, threat or other means, perpetrating outrages, riding roughshod over or cruelly injuring or killing people; (4) through committing illegal and criminal acts, or taking advantage of protection and connivance by State functionaries, it plays the bully over an area, exercising illegal control and wielding illegal enormous influence over a certain area or trade, thus seriously disrupting the economic order and people’s daily activities.“有组织犯罪集团”系指由三人或多人所组成的、在一定时期内存在的、为了实施一项或多项犯罪以直接或间接获得金钱或其他物质利益而一致行动的有组织结构的集团。
Available from www.gov.cn/english/laws/2005-10/09/content_75389.htm.实例
Example《新西兰1961年刑法》将有组织犯罪集团定义如下:
The Criminal Code 2002 of the Republic of Moldova defines an “organized criminal group” as follows:第98A条:参加有组织犯罪集团
Article 46. Organized Criminal Group(1) 凡参加有组织犯罪集团且符合如下条件者即属犯罪,可判处不超过10年的监禁:
An organized criminal group shall be a stable union of persons that organized themselves in advance in order to commit one or more crimes.(a) 知悉三人或多人有着第(2)款(a)至(d)项所述的任何一个或多个目标(一个或多个特定目标)(不管其本人是否也追求这一个或多个目标);及
Available from http://legislationline.org/documents/section/criminal-codes/country/14.(b) 或者知悉其行为或对其行为的轻率态度可能会促使任何犯罪活动的发生;及
Example(c) 或者知悉犯罪活动或对犯罪活动的轻率态度可能会促成有组织犯罪集团一个或多个特定目标的实现。
The Criminal Code 1937 of the Swiss Confederation defines a “criminal organization” as follows:(2) 为本法之目的,由以下述目标为其目标或其多个目标之一的三人或多人组成的集团即为有组织犯罪集团:
Art. 260ter Criminal organisation 1. Any person who participates in an organisation, the structure and personal composition of which is kept secret and which pursues the objective of committing crimes of violence or securing a financial gain by criminal means, any person who supports such an organisation in its criminal activities, shall be liable to a custodial sentence not exceeding five years or to a monetary penalty. Available from www.admin.ch/ch/e/rs/311_0/a260ter.html. (f) “Proceeds of crime” shall mean any property derived from or obtained, directly or indirectly, through the commission of an offence. [Proceeds of crime can be generated by offences committed both within and outside the territory of [insert name of State]].(a) 从可判处4年或4年以上监禁的犯罪中牟取物质利益;或
Commentary Source: Organized Crime Convention, article 2, subparagraph (e). The Convention obliges States parties to take a number of steps with regard to the proceeds of crimes committed by organized criminal groups. Accordingly, it is important that this concept be defined. The definition provided here is based on article 2, subparagraph (e), of the Organized Crime Convention, which states: “Proceeds of crime” shall mean any property derived from or obtained, directly or indirectly, through the commission of an offence. If the legislature wants to ensure coverage of proceeds of crime, where these are located outside the State’s territorial jurisdiction, it may be useful to clearly state that proceeds of crime can include proceeds located offshore. Whether or not national bodies can, as a practical matter, recover these proceeds of crime then becomes a question of enforcement. Examples(b) 从如果发生在新西兰则构成可判处4年或4年以上监禁的犯罪而实际发生在新西兰以外的行为中牟取物质利益;或
Article 1.3 of the Model Legislation on Money-Laundering and Financing of Terrorism provides a range of drafting options for the definition of “proceeds of crime” as follows:(c) 犯下(第312 A (1)条涵盖的)严重暴力犯罪;或
A. “Proceeds of crime” shall mean any funds or property derived from or obtained, directly or indirectly(d) 如果发生在新西兰则构成(第312A(1)条涵盖的)严重暴力犯罪而实际发生在新西兰以外的行为。 (3) 为本法之目的,可组成有组织犯罪集团的团体,而不管
Variant 1: from any offence.(a) 是否其中一些人为另一些人的下属或员工;或
Variant 2: from an offence punishable by a maximum penalty of imprisonment for more than one year.(b) 在特定时间参与其中的一些人当时是否参与任何特定行动、活动或交易的规划、安排或执行;或
Variant 3: from an offence punishable by a minimum penalty of imprisonment for more than six months.(c) 其成员是否不时发生变化。
Variant 4: offences defined at articles [in specified legislation, e.g. Criminal Code].实例
Proceeds of crime shall include assets converted or transformed, in part or in full, into other property, and investment yields.根据《俄罗斯联邦1996年刑法典》,凡由事先组织起来犯下一项或多项犯罪的长期(稳定)团伙犯下的犯罪即为有组织犯罪。凡由其成员为了共同实施一项或多项严重或非常严重的犯罪(重罪)从而直接或间接获得金钱或其他物质利益的有组织结构的集团或统一管理(指示)下的有组织集团的同盟犯下的罪行即视为犯罪同盟犯罪。在《俄罗斯联邦刑法典》第208条(组织或参加犯罪同盟)、第209条(盗贼)、第210条(组织犯罪同盟)、第282.1条(组织极端分子同盟)规定的情况下,建立或管理有组织犯罪集团或犯罪同盟者,须对其建立和管理行为负刑事责任;此规定同样适用于有组织集团或犯罪同盟故意犯下的所有罪行。
The Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), include the following definition:非官方翻译。
For the purposes of this section, “proceeds of crime” includes proceeds of an offence committed outside the national territory if the conduct constitutes an offence in the State or territory where the conduct occurred and would have constituted an offence if committed within the national territory of [insert name of State adopting the law].实例
The Model Law on Mutual Legal Assistance in Criminal Matters (2007) defines proceeds of crime as follows:《挪威1902年一般民事处罚法典》第60a条对“有组织犯罪集团”的定义如下: 有组织犯罪集团在此定义为三人或三人以上组成、主要目的是实施可判处三年以上监禁的行为或其活动主要为实施此类行为的有组织集团......
Proceeds of crime mean any property derived from or obtained, directly or indirectly, through the commission of an offence or unlawful activity, whether such property is located, or the offence is committed, within or outside (name of State) (sect. 22, para. 5).可查阅www.un.org/depts/los/LEGISLATIONANDTREATIES/PDFFILES/NOR_penal_code.pdf。
(g) “Property” shall mean assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents or instruments evidencing title to, or interest in, such assets;实例
Commentary《保加利亚1968年刑法典》对“有组织犯罪集团”的定义如下: 第20章第93条 20. (新颁布的SG 92/2002号,经修订SG 27/2009号)“有组织犯罪集团”系由三个或三个以上个人组成的、其目的是在国内或国外共同犯下可判处剥夺自由三年以上的罪行的长期性有组织结构的同盟。即便同盟参与者之间没有正式分工,参与时间不定,也没有严密的内部架构,也应视为有组织结构。 可查阅www.imolin.org/doc/amlid/Bulgaria/Bulgaria_Criminal_Code_2009.pdf。 实例 《立陶宛2000年刑法典》定义了各种形式的共谋,包括(除其他外)“有组织集团”及“犯罪同盟”,定义如下: 第25条.共谋形式 1. 共谋形式应有共犯团伙、有组织的集团或犯罪同盟。 2. 共犯团伙应指两人或多人在从事犯罪行为的任何阶段同意从事、继续或完成犯罪行为的一个团伙,其中至少有两人为行为人。 3. 有组织的集团应指两人或多人在从事犯罪行为的任何阶段同意从事几项犯罪或一项严重犯罪并且犯罪过程中每个成员都执行某一项任务或被赋予不同职责的集团。 4. 犯罪同盟系指由长期相互关系联结在一起、具有责任或任务分工的三个或三个以上个人联合从事共同犯罪行为(一项或多项严重犯罪)的同盟。反国家团体或组织和恐怖组织应视为等同于犯罪同盟。
Source: Organized Crime Convention, article 2, subparagraph (d).可查阅www3.lrs.lt/pls/inter3/dokpaieska.showdoc_e?p_id=366707&p_query=&p_tr2=#。
The definition included here is based on the definition of “property” found in article 2, subparagraph (d), of the Organized Crime Convention, which states:实例
(d) “Property” shall mean assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents or instruments evidencing title to, or interest in, such assets.《中国1979年刑法》包括组织、领导或积极参加“黑社会性质的组织”的犯罪(第294条)。该法本身未定义“黑社会性质的组织”一语,但全国人民代表大会常务委员会关于《中国刑法》第二百九十四条第一款的解释予以了定义: 《中华人民共和国刑法》文本可查阅www.imolin.org/doc/amlid/China/China_Criminal_Law_ 1997.pdf。《全国人民代表大会常务委员会关于<中华人民共和国刑法>第二百九十四条第一款的解释》可查阅www.gov.cn/english/laws/2005-10/09/content_75389.htm。
In many legal systems, an equivalent definition may already exist.《刑法》第二百九十四条第一款规定的“黑社会性质的组织”应当同时具备以下特征: (1) 形成较稳定的犯罪组织,人数较多,有明确的组织者、领导者,骨干成员基本固定;
From a drafting perspective, it is important for drafters to consider whether the legislature intends to ensure coverage of property (for example, for asset confiscation purposes) that is located outside the State’s territorial jurisdiction. If so, it may be useful to clearly state that property can include property located offshore. Whether or not national bodies can, as a practical matter, recover this property then becomes a question of enforcement.(2) 有组织地通过违法犯罪活动或者其他手段获取经济利益,具有一定的经济实力,以支持该组织的活动;
Examples(3) 以暴力、威胁或者其他手段,有组织地多次进行违法犯罪活动,为非作恶,欺压、残害群众; (4) 通过实施违法犯罪活动,或者利用国家工作人员的包庇或者纵容,称霸一方,在一定区域或者行业内,形成非法控制或者重大影响,严重破坏经济、社会生活秩序。 可查阅www.gov.cn/english/laws/2005-10/09/content_75389.htm。 实例 《摩尔多瓦共和国2002年刑法典》对“有组织犯罪集团”的定义如下: 第46条.有组织犯罪集团 有组织犯罪集团系为实施一项或多项犯罪而提前组织起来的稳定的个人联盟。 可查阅http://legislationline.org/documents/section/criminal-codes/country/14。 实例 《瑞士联邦1937年刑法典》对“有组织犯罪集团”定义如下: 第260条之三 犯罪组织 1. 参加组织架构和人员构成均保密、以从事暴力犯罪或通过犯罪途径确保经济收益为目标的组织的任何人, 支持此类组织从事犯罪活动的任何人, 均应判处不超过五年的监禁或处以罚款。 可查阅www.admin.ch/ch/e/rs/311_0/a260ter.html。 (f) “犯罪所得”系指通过实施犯罪而直接或间接产生或者获得的任何财产。[犯罪所得可由在[插入国家名称]境内和境外实施的犯罪产生]。 评注 来源:《有组织犯罪公约》第2条(e)项。 《公约》规定缔约国有义务针对有组织犯罪集团的犯罪所得采取一些措施。因此,有必要界定这一概念。 这里的定义基于《有组织犯罪公约》第2条(e)项,其中规定: “犯罪所得”系指通过实施犯罪而直接或间接产生或者获得的任何财产。 如果立法机关希望确保在犯罪所得位于本国属地管辖权以外的情况下将犯罪所得纳入管辖范围内,则可明确规定犯罪所得可包括境外所得款项。事实上,国家机关能否收回这些犯罪所得则是一个执法问题。 实例
Article 1.3 of the Model Legislation on Money-Laundering and Financing of Terrorism has a more detailed definition of “funds” and “property”:《洗钱和资助恐怖主义问题示范立法》第1.3条提供一系列“犯罪所得”定义备选案文如下:
B.A.
“Funds” or “property” shall mean assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents or instruments in any form, including electronic or digital, evidencing title to or interest in such assets, including but not limited to bank credits, traveller’s cheques, bank cheques, money orders, shares, securities, bonds, drafts and letters of credit, and any interest, dividends or other income on or value accruing from or generated by such assets.“犯罪所得”系指通过以下各种方式直接或间接产生或者获得的任何资金:
The Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems) include a definition of property:方式1:任何犯罪。
“Property” means assets of every kind, whether tangible or intangible, corporeal or incorporeal, moveable or immovable, however acquired, and legal documents or instruments in any form, including electronic or digital, evidencing title to, or interest in, such assets, including but not limited to currency, bank credits, deposits and other financial resources, travellers cheques, bank cheques, money orders, shares, securities, bonds, drafts and letters of credit, whether situated in [insert name of State] or elsewhere, and includes a legal or equitable interest, whether full or partial, in any such property.方式2:最多可处一年以上监禁的犯罪。 方式3:最多可处六个月以上监禁的犯罪。 方式4:[指定立法,如《刑法典》]条款定义的犯罪。 犯罪所得应包括部分或全部转换或改造成其他财产的资产,和投资收益。 《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系)载有如下定义: 为本条之目的,“犯罪所得”包括在国家领土之外犯罪而所得款项,前提是该行为在其发生的国家或领土构成犯罪,而且如果发生在[插入通过该法律的国家名称]境内也会构成犯罪。 《刑事事项互助示范法》(2007年)对犯罪所得定义如下: 犯罪所得系指通过实施犯罪或非法活动直接或间接产生或获得的任何财产,而不管该等财产的位置或实施犯罪的地点是(国家名称)境内还是境外(第22条第5款)。 (g) “财产”系指各种资产,不论其为物质的或非物质的、动产或不动产、有形的或无形的,以及证明对这些资产所有权或权益的法律文件或文书; 评注 来源:《有组织犯罪公约》第2条(d)项。 这里的定义基于《有组织犯罪公约》第2条(d)项的定义,其中规定: (d) “财产”系指各种资产,不论是物质的还是非物质的、动产还是不动产、有形的还是无形的,以及证明对这种资产的产权或者权益的法律文件或者文书。 许多法律体系中可能都已存在类似定义。 从起草的角度来看,起草人有必要考虑立法机关是否有意确保将位于本国属地管辖权以外的财产纳入管辖范围(例如,为资产没收之目的)。如果是这样,有用做法是,可明确规定财产可包括海外财产。事实上,国家机关能否收回这一财产则是一个执法问题。 实例 《洗钱和资助恐怖主义问题示范立法》第1.3条对“资金”和“财产”进行了更详细定义: B. “资金”或“财产”系指各种资产,不论其为物质的或非物质的、动产或不动产、有形的或无形的,以及证明对这些资产所有权或权益的电子或数字等任何形式的法律文件或文书,包括但不限于银行信贷、旅行支票、银行支票、汇款单、股票、有价证券、债券、汇票和信用证,以及任何利息、股息或此等资产增加或产生的其他收入或价值。 《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系)对财产定义如下: “财产”系指各种资产,不论其为有形的或无形的、物质的或非物质的、动产或不动产,也不管如何获得的,以及证明对这些资产所有权或权益的电子或数字等任何形式的法律文件或文书,包括但不限于货币、银行信贷、存款和其他金融资源、旅行支票、银行支票、汇款单、股票、有价证券、债券、汇票和信用证,无论是在[插入国家名称],还是其他地方,同时包括任何该等财产的全部或部分法定利息或衡平法上的利益。 实例
Example《刑事事项互助示范法》(2007年)对财产定义如下:
The Model Law on Mutual Legal Assistance in Criminal Matters (2007) defines property as follows:“财产”系指各种资产,不论是物质的还是非物质的、动产还是不动产、有形的还是无形的,以及证明对这种资产的产权或者权益的法律文件或者文书。(第22条第6款)
Property means assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents or instruments evidencing title to, or interest in, such assets. (sect. 22, para. 6)(h) “严重犯罪”系指可受到最高刑至少四年的剥夺自由或更严厉处罚的犯罪;
(h) “Serious crime” shall mean an offence punishable by a maximum deprivation of liberty of at least four years or a more serious penalty;评注
Commentary来源:《有组织犯罪公约》第2条(b)项。 如《立法指南》所指出,对于涉及有组织犯罪集团的严重犯罪,《有组织犯罪公约》的许多规定都可以援用。 《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第14页。 第2条(b)项定义了“严重犯罪”的概念。虽然不要求国家立法机关引入“严重犯罪”的定义,如果希望拓展为执行《公约》而起草的某些规定(例如,互助立法)的适用范围,使其适用于《公约》未具体提到的形式的犯罪,这可能会有用。这里对“严重犯罪”的定义不影响对严重犯罪的任何国家定义。
Source: Organized Crime Convention, article 2, subparagraph (b).实施《公约》的《立法指南》就此指出:
As noted in the Legislative Guides, many of the provisions of the Organized Crime Convention can be invoked with respect to serious crimes involving an organized criminal group. The concept of a “serious crime” is defined in article 2, subparagraph (b). While there is no requirement for national legislatures to introduce a definition of “serious crime”, it may be useful where the intention is to extend coverage of certain provisions drafted to implement the Convention (for example, legislation on mutual assistance) to forms of crime not specifically mentioned in the Convention. The definition of “serious crime” provided here is without prejudice to any national definition of serious crime.如果缔约国希望将公约所涵盖的涉及有组织犯罪集团的其他犯罪包括在内,即第5条、第6条、第8条和第23条中确立的犯罪以外的犯罪,则宜似确保所规定的刑罚符合上述定义的条件(见第3条1(b)项)。
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 14.(i) “证人”应包括拥有与本示范立法条文所适用犯罪之调查、起诉或判决有关的信息的任何人。
On this point, it is noted in the Legislative Guides to the Convention:评注
If States parties wish to have other offences with an organized criminal group nexus covered by the Convention, that is, in addition to those established under articles 5, 6, 8 and 23, they may wish to ensure that the provided penalties fulfil the conditions of the above definition (see art. 3, subpara. 1(b)).《公约》要求缔约国采取可靠措施,保护为本《公约》所涵盖犯罪作证的证人。因此,国家起草人有必要考虑国家法律是否已适当、有效地定义了“证人”,可供关于保护和援助证人的条文援引。
(i) “Witness” shall include any person in possession of information relevant to the investigation, prosecution or adjudication of an offence to which these model legislative provisions apply.这里纳入的备选案文基于毒品和犯罪问题办公室《关于在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》第19页对证人的实际描述。正如该文件所指出的那样,具有实际意义的是证人(作为拥有对司法或刑事诉讼非常重要的信息的人)的作用,而不是其地位或证言的形式。证人分为三大类:司法合作者(线人、其他参与犯罪的人)、被害人——证人和其他类型的证人(无辜的旁观者、专家证人等)。
Commentary联合国毒品和犯罪问题办公室《关于在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》(2008年),第19页。
The Convention requires States parties to take certain measures with regard to the protection of witnesses who give testimony concerning offences covered by the Convention. Accordingly, it may be necessary for national drafters to consider whether there is already a suitable, functional definition of “witness” under national laws that can be referred to in provisions on witness protection and assistance.鉴于恐吓证人可在破坏司法中发挥重要作用,建议起草时采用“证人”的广义定义,不仅包括在法庭上作证的人,也包括例如协助调查的信息提供者。
The drafting option included here is based on the functional description of a witness found on page 19 of the UNODC Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime. As noted in this document, it is the function of the witness — as a person in possession of information important to the judicial or criminal proceedings — that is relevant, rather than his or her status or the form of testimony. Witnesses fall into three main categories: justice collaborators (informants, others who participated in the criminality), victim-witnesses and other types of witnesses (innocent bystanders, expert witnesses etc.).第二章. 有组织犯罪的协调与预防
United Nations Office on Drugs and Crime, Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime (2008), p. 19.评介
Given the important role that witness intimidation can play in undermining the administration of justice, it is suggested that the definition of “witness” used should be broadly drafted in order to include people who assist not only by giving evidence in court but also by, for example, giving information that assists an investigation.确立具体犯罪罪名并专注于有效执法、起诉和判决,这对打击有组织犯罪至关重要。然而,首先同等专注于预防这些罪行的发生,从而加强对犯罪的刑事司法对策,也很重要。
Chapter II. Coordination and prevention of organized crime预防跨国有组织犯罪发生的目标是《有组织犯罪公约》的核心。如第1条所述,本《公约》的宗旨是促进合作,以便更有效地预防和打击跨国有组织犯罪。
Introductory commentary预防犯罪的概念可能有很多不同的含义。但联合国会员国通过经济及社会理事会的机制编写了《预防犯罪准则》。根据该《准则》:
The establishment of specific criminal offences and a focus on effective law enforcement, prosecution and adjudication are vital to combating organized crime. However, it is also vital that criminal justice responses to crime are underpinned by an equally strong focus on preventing these crimes from happening in the first place.经济及社会理事会第2002/13号决议,附件。
The objective of preventing transnational organized crime from ever occurring is at the very heart of the Organized Crime Convention. As stated in article 1, the purpose of the Convention is to promote cooperation to prevent and combat transnational organized crime more effectively.“预防犯罪”包括谋求降低犯罪行为发生的风险及其对个人和社会的潜在有害影响包括惧怕犯罪的各种战略和措施,通过干预来影响犯罪的多种原因。
The concept of crime prevention can potentially have many different meanings. However, through the mechanism of the Economic and Social Council, States Members of the United Nations have developed the Guidelines for the Prevention of Crime. According to the Guidelines:本示范立法条文采用了预防犯罪的这一定义。
Economic and Social Council resolution 2002/13, annex.各国应努力在其与《有组织犯罪公约》有关的立法、政策和方案中纳入实质性积极预防犯罪内容,而不仅仅是反应措施或安全相关措施。如毒品和犯罪问题办公室《预防犯罪准则手册:使准则发挥作用》所述,过去二十年,在大量研究和评估的基础上开发了预防犯罪的各种方法。预防犯罪的主要领域有多年来开发的一系列对策,包括发展、环境/情境、社会和社区为基础的预防犯罪,而累犯预防和干预措施可分为若干类。
“Crime prevention” comprises strategies and measures that seek to reduce the risk of crimes occurring, and their potential harmful effects on individuals and society, including fear of crime, by intervening to influence their multiple causes.《预防犯罪准则手册:使准则发挥作用》,刑事司法系列手册(联合国出版物,出售品编号:E.10.IV.9)。
The present model legislative provisions adopt this definition of crime prevention.同上,第13页。
Countries should endeavour to include a substantial proactive crime prevention component in their legislation, policies and programmes relating to the Organized Crime Convention, and not just reactive or security-related measures. As noted in the UNODC Handbook on the Crime Prevention Guidelines: Making Them Work, various approaches to preventing crime have been developed over the past two decades on the basis of a considerable amount of research and evaluation. The major fields of crime prevention include a range of responses developed over many years, including developmental, environmental/situational, social and community-based crime prevention, the prevention of recidivism and interventions may be classified into a number of groups.就预防有组织犯罪而言,有关商品可能会不同(毒品、人类、枪支等),共性在于有组织犯罪技术(贪污、洗钱、恐吓);所以,合作方法非常重要。有组织犯罪的源头、贩运所涉人口和贩运或偷运移民的受害者往往都在国境之内。因此,需要积极的国家和地方解决方案。同样,对所贩运货物和服务的大量需求可能都来自国内,而不仅仅是境外需求。
Handbook on the Crime Prevention Guidelines: Making Them Work, Criminal Justice Handbook Series (United Nations publication, Sales No. E.10.IV.9).《经济及社会理事会预防犯罪准则》认为有效预防犯罪的七项根本原则很重要:
Ibid., p. 13.政府领导。各级政府在制定有效的和人道的预防犯罪战略和在为战略的实施和审查建立和维持体制框架方面,应当发挥领导作用;
In the context of preventing organized crime, while there may be differences in the commodities (drugs, human beings, firearms etc.), the techniques of organized crime (corruption, money-laundering, intimidation) are the common factor; so, a cooperative approach is important. The origins of organized crime, the populations involved in trafficking and the victims of trafficking or smuggled migrants, are often within national boundaries. Thus, proactive national and local solutions are needed. Similarly, considerable demand for trafficked goods and services may come from within the country, and not just from beyond the borders.社会经济发展与包容。对预防犯罪的考虑应当纳入所有相关的社会及经济政策与方案中,包括针对就业、教育、卫生、住房和城市规划、贫穷、社会边缘化和排斥等问题的政策和方案;
The Economic and Social Council Guidelines for the Prevention of Crime establish the importance of seven principles, fundamental to effective crime prevention:合作/伙伴关系。合作/伙伴关系应当是有效预防犯罪的一个组成部分,因为犯罪的原因是多种多样的,解决犯罪问题所需要的技巧和责任也是多种多样的;
Government leadership. All levels of government should play a leadership role in developing effective and humane crime prevention strategies, and in creating and maintaining institutional frameworks for their implementation and review;可持续性和问责制。预防犯罪需要有充足的资源,包括为各个机构和各种活动提供资金,以便持续开展这一活动;
Socioeconomic development and inclusion. Crime prevention considerations should be integrated into all relevant social and economic policies and programmes, including those addressing unemployment, education, health, housing and urban planning, poverty, social marginalization and exclusion;知识基础。预防犯罪的战略、政策、方案和行动应当建立在有关犯罪问题、犯罪的多种原因以及有希望并经过验证的做法的广泛、跨学科的知识基础之上;
Cooperation and partnership. These should be an integral part of crime prevention, given the wide-ranging causes of crime and the skills and responsibilities needed to address them;人权、法治和守法文化。法治和各会员国所加入的各项国际文书承认的人权必须在预防犯罪的所有方面受到尊重;
Sustainability and accountability. Crime prevention requires adequate resources, including funding for structures and activities, in order to be sustained;相互依存。在适宜时,国家预防犯罪的判断和战略应当考虑当地的犯罪问题与国际有组织犯罪之间的联系。
Knowledge base.第二章.
Crime prevention strategies and policies should be based on a broad, multidisciplinary foundation of knowledge about crime problems, their multiple causes and promising and proven practices;有组织犯罪的协调与预防
Human rights, rule of law and a culture of lawfulness.第4条.
The human rights recognized in international legal instruments to which States are parties must be recognized and respected in all aspects of crime prevention;全国协调委员会
Interdependency.1.
National crime prevention diagnoses and strategies should take account of the links between local criminal problems and transnational organized crime.为本条之目的,“预防犯罪”系指通过干预来影响犯罪的多种原因,从而谋求降低有组织犯罪发生的风险及其对个人和社会潜在的有害影响的各种战略和措施。
Chapter II. Coordination and prevention of organized crime Article 4. National coordinating committee 1. For the purposes of this article, “crime prevention” shall mean strategies and measures that seek to reduce the risk of organized crime occurring, and their potential harmful effects on individuals and society, by intervening to influence their multiple causes. 2. The [relevant Minister] shall establish a national coordinating [committee/body] tasked with developing, coordinating, monitoring and evaluating the national response to preventing all forms of organized crime, including through data collection, analysis and exchange, the development of prevention programmes, training and other matters such as technical cooperation with other States. 3. The [committee/body] shall comprise officials from [insert relevant agencies], officials from other relevant State agencies and representatives from local government and non-government service providers. 4. According to the applicable/internal proceeding, a [person/organization] shall be appointed as the [Secretary/Secretariat] of the Committee. The Committee shall have the capacity to establish [subcommittees/working groups] as required. 5. The Committee will report annually to [the relevant Minister/Parliament] on its activities. Commentary2. [有关部长]应当建立国家协调[委员会/机构],负责开发、协调、监测和评价预防所有形式有组织犯罪的国家对策,包括通过数据收集、分析和交流、制订预防方案、培训及其他手段,如与其他国家的技术合作等。
Optional. Source: Organized Crime Convention, articles 1 and 31. The principal objective of the Convention is to prevent and combat organized crime more effectively. Crime prevention can have many different meanings. As noted in the introduction to this chapter, the present model legislative provisions adopt the definition of “crime prevention” found in the Economic and Social Council Guidelines for the Prevention of Crime. As noted in the Handbook on the Crime Prevention Guidelines, one of the first recommendations of the Guidelines for the Prevention of Crime is the establishment of a permanent central authority responsible for the implementation of crime prevention policy: At the national level, countries may choose to place responsibility for crime prevention within a ministry such as one responsible for justice or public security, or a group of ministries, or to establish a separate body at a high level. The role of the permanent central authority is to provide leadership, working with other government sectors, other levels of government and civil society to develop a national plan, and to implement and monitor it. The central authority facilitates action at lower levels of government. In some cases, countries have chosen to enact legislation to support a national plan and require other sectors to work together with the central authority. In all cases, resources will be needed for the implementation of plans. Ibid., p. 30. It is recommended in these model legislative provisions that a similar approach of establishing a central coordinating body be considered in the context of implementing the Organized Crime Convention and its Protocols. In addition to the Convention’s broad focus on prevention, as a result of article 31, States parties to the Convention are also under an obligation to take certain concrete steps directed at preventing organized crime. These include:3. [委员会/机构]应由[插入相关机构]的官员、其他有关国家机关的官员以及地方政府和非政府服务提供商代表组成。
(a) To endeavour to develop and evaluate national projects and to establish best practices and policies aimed at the prevention of organized crime;4. 根据适用/内部程序,应任命[个人/组织]为委员会[秘书/秘书处]。委员会应有权按要求设立[小组委员会/工作组]。
(b) To endeavour, in accordance with the fundamental principles of their domestic law, to reduce existing or future opportunities for organized criminal groups, to participate in lawful markets with proceeds of crime, through appropriate legislative, administrative or other measures.5.
Those measures should focus on:委员会将每年向[相关部长/议会]报告其活动。
(i) Strengthening cooperation between law enforcement agencies or prosecutors and relevant private entities, including industry;评注
(ii) Promoting the development of standards and procedures designed to safeguard the integrity of public and relevant private entities, as well as codes of conduct for relevant professions, in particular lawyers, notaries public, tax consultants and accountants;选择性条文。
(iii) Preventing the misuse by organized criminal groups of tender procedures conducted by public authorities and of subsidies and licences granted by public authorities for commercial activity;来源:《有组织犯罪公约》第1和31条。
(iv) Preventing the misuse of legal persons by organized criminal groups. Measures to prevent such misuse of legal persons could include: (a) Establishing public records on legal and natural persons involved in the establishment, management and funding of legal persons; (b) Introducing the possibility of disqualifying by court order or any appropriate means for a reasonable period of time persons convicted of offences covered by the Convention from acting as directors of legal persons incorporated within their jurisdiction; (c) Establishing national records of persons disqualified from acting as directors of legal persons; (d) Exchanging information contained in the records referred to in subparagraphs (a) and (c) of this paragraph with the competent authorities of other States parties. Organized Crime Convention, art. 31, paras. 1 and 2. Implementing these obligations will require action across government and civil society, as well as a considerable degree of coordination and cooperation. It is envisaged that these specific measures would fall within the broader remit of a coordinating committee or body. That committee or body would have the main responsibility for coordinating the actions of the various stakeholders, ensuring that relevant information is shared appropriately, avoiding duplication of effort and monitoring impact and effectiveness of crime prevention activities. It may also be necessary for the central coordinating committee or body to work towards coordinating with other established bodies, for example, tasked with implementing the three Protocols to the Organized Crime Convention. A number of countries have established national coordinating committees to coordinate responses to trafficking in persons.《公约》的主要目的是更有效地预防和打击跨国有组织犯罪。预防犯罪可以有多种不同的含义。如本章评介所述,本示范立法条文采用《经济及社会理事会预防犯罪准则》对“预防犯罪”的定义。如《预防犯罪准则手册》所述,《预防犯罪准则》的第一批建议之一就是设立一个中央常设主管机构,负责执行预防犯罪政策:
Examples There are many examples of practical approaches to crime prevention in the document Practical Approaches to Urban Crime Prevention. Margaret Shaw and Vivien Carli, eds., Practical Approaches to Urban Crime Prevention: Proceedings of the Workshop held at the 12th UN Congress on Crime Prevention and Criminal Justice, Salvador, Brazil, April 12-19, 2010 (Montreal, International Centre for the Prevention of Crime and United Nations Office on Drugs and Crime, 2011). Available from www.unodc.org. Article 5. Data collection and analysis 1. The national [committee/body] shall establish a programme of research, including collection and publication of statistics and other data and information, on issues related to the achievement of its crime prevention mandate, including: (a) Diagnostic studies of the root causes of crime; (b) Local safety audits and victimization surveys; (c) Trends and threats in organized crime; (d) The circumstances in which organized crime operates; (e) The professional groups and technologies involved in criminality, including State and non-State parties; (f) The effectiveness and efficiency of existing national and international laws, policies and measures to prevent and respond to organized crime; (g) Compliance with international obligations, including human rights standards. Commentary Source: Organized Crime Convention, article 28. As recognized in article 28, information collection and exchange is recognized as being essential to developing sound, evidence-based policy on preventing and responding to transnational organized crime. The Guidelines for the Prevention of Crime provide examples of the practical steps that Governments should take to build that knowledge base: Knowledge base 21. As appropriate, Governments and/or civil society should facilitate knowledge-based crime prevention by, inter alia: (a) Providing the information necessary for communities to address crime problems; (b) Supporting the generation of useful and practically applicable knowledge that is scientifically reliable and valid; (c) Supporting the organization and synthesis of knowledge and identifying and addressing gaps in the knowledge base; (d) Sharing that knowledge, as appropriate, among, inter alia, researchers, policymakers, educators, practitioners from other relevant sectors and the wider community; (e) Applying this knowledge in replicating successful interventions, developing new initiatives and anticipating new crime problems and prevention opportunities; (f) Establishing data systems to help manage crime prevention more cost-effectively, including by conducting regular surveys of victimization and offending; (g) Promoting the application of those data in order to reduce repeat victimization, persistent offending and areas with a high level of crime. A number of States have well-established research institutes that are both a focal point for national-level research not only on the causes of crime but on preventing crime (see examples below from the United Nations crime prevention and criminal justice programme network). While establishing a research institute may be beyond the resources of some States, it may be possible to achieve a similar outcome (that is, the availability of key data to inform crime prevention efforts) through, for example, partnerships between the State and existing research institutions such as universities. The provision of funding by developed States for initiatives such as this to developing States would also be within the scope of article 30, paragraph 2, of the Convention, which requires States parties, among other things, to make concrete efforts, to the extent possible: To enhance financial and material assistance to support the efforts of developing countries, with a view to strengthening the capacity of the latter to prevent and combat transnational organized crime. One important aspect of data collection and exchange is the ability to conduct national organized crime threat assessments. Such assessments help law enforcement identify the risk factors, crime types, perpetrators and their collaborators and to generate the information and analysis needed for intelligence-led policing and evidence-based policy. The information generated by such assessments in turn allows for determining priorities and allocating appropriate resources to meet those threats. UNODC has developed a methodology on how to conduct such assessments: Guidance on the Use and Preparation of Serious and Organized Crime Threat Assessments: The SOCTA Handbook, which is aimed at policymakers, law enforcement leaders and practitioners. Available from www.unodc.org/documents/organized-crime/SOCTA_Handbook.pdf. Example The United Nations crime prevention and criminal justice programme network consists of the United Nations Office on Drugs and Crime and a number of interregional and regional institutes around the world, as well as specialized centres. The network has been developed to assist the international community in strengthening cooperation in the crucial area of crime prevention and criminal justice. Its components provide a variety of services, including exchange of information, research, training and public education. See further www.unodc.org/unodc/en/commissions/CCPCJ/institutes.html. Example The Australian Institute of Criminology is a government research institute established by legislation. The Institute seeks to promote justice and reduce crime by undertaking and communicating evidence-based research to inform policy and practice. The details of its establishment and functions are stated as follows in the Criminology Research Act 1971: See www.aic.gov.au. 5 Establishment of Institute 1. There is hereby established an institute to be known as the Australian Institute of Criminology. 2. The Institute consists of: (a) the Director; and (b) the staff of the Institute. 6 Functions of Institute The Institute has the following functions: (a) to promote justice and reduce crime by: (i) conducting criminological research; and (ii) communicating the results of that research to the Commonwealth, the States, the Australian Capital Territory, the Northern Territory and the community; (b) to assist the Director in performing the Director’s functions; (c) to administer programs for awarding grants, and engaging specialists, for: (i) criminological research that is relevant to the public policy of the States, the Australian Capital Territory and the Northern Territory; and (ii) activities related to that research (including the publication of that research, for example). Example The National Institute of Justice is the research, development, and evaluation agency of the United States Department of Justice. The Institute’s mission is to advance scientific research, development and evaluation to enhance the administration of justice and public safety. The National Institute of Justice sponsors basic/applied research, evaluations, and pilot programme demonstrations. The Institute develops new tools and disseminates criminal justice information. Further information about the National Institute of Justice of the United States Department of Justice is available from www.nij.gov. Further examples of countries that have implemented research programmes to inform crime prevention can be found in the Handbook on the Crime Prevention Guidelines: Making Them Work, particularly on page 54. Chapter III. Offences Introductory commentary This chapter includes a provision on jurisdiction as well as provisions that are intended to implement two of the offence provisions in the Convention, article 5 (participation in an organized criminal group) and article 23 (obstruction of justice). As these offences require separate legislative treatment, this chapter is divided into two parts, with the first part addressing implementation of article 5, and the second part addressing implementation of article 23. A note on penalties Reflecting the approach to this issue taken in the Organized Crime Convention, no penalties are specified in these model legislative provisions. Under article 11, paragraph 1, each State party is to make the commission of an offence, established in accordance with articles 5, 6, 8 and 23 of the Convention, liable to sanctions that take into account the gravity of the offence. With this proviso, the issue of penalties is left to the discretion of States. In setting penalties, it is important to ensure that the offences established to give effect to the Convention meet common criteria for mutual legal assistance and extradition. In many contexts, international cooperation, such as mutual legal assistance and extradition, will be provided only if the offence attracts a penalty of at least one year’s imprisonment. Chapter III. Offences Article 6. Jurisdiction 1. [National courts] shall have jurisdiction to determine proceedings for offences to which these model legislative provisions apply when: (a) Committed [wholly or partly] within the territory of [insert name of State]; or (b) Committed [wholly or partly] on board a vessel that is flying the flag of [insert name of State] or an aircraft that is registered under the laws of [insert name of State] at the time that the offence was committed; or Commentary Mandatory. Source: Organized Crime Convention, article 15, paragraphs 1 (a) and (b). Article 15 of the Convention sets out the mandatory and optional requirements for establishing jurisdiction over Convention offences. Article 15, paragraph 1, requires States parties to assert jurisdiction over the offences established in accordance with articles 5, 6, 8 and 23, on the basis of the territorial principle. That is, States parties must ensure they have jurisdiction over these offences when committed within its territory, on board a ship flying its flag or on board an aircraft registered under its laws. As noted in the Legislative Guides, the obligation to establish jurisdiction over Convention offences is not conditional on the existence of a transnational element or the involvement of an organized criminal group. On the contrary, as a result of article 34, paragraph 2, these factors are not to be taken into account for the purposes of establishing penal offences (except to the extent required by the terms of article 5 which, as it deals with an offence focused on participation in an organized criminal group, necessarily requires the involvement of an organized criminal group). Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 107. For consistency, this draft provision reflects an identical provision in the Model Law against the Smuggling of Migrants. United Nations Office on Drugs and Crime, Model Law against the Smuggling of Migrants (2010), p. 20 (art. 4). (c) Committed by a [insert name of State] national present in [insert name of State] territory whose extradition is refused on the grounds of nationality; or Commentary在国家一级,各国可选择将预防犯罪的责任赋予某一部委,如负责司法或公安的部委,或者几个部委,也可以建立一个独立的高级别机构。中央常设主管机构的作用是,在其他政府部门、其他各级政府和民间社会的合作下,领导制定和实施国家计划,并予以监督。中央主管机构为较低级别政府行动提供便利。有些国家选择了颁布立法来支持国家计划,要求其他部门与中央主管机构合作。无论如何,实施计划都将需要资源。
Mandatory.同上,第30页。
Source: Organized Crime Convention, articles 15, paragraph 3, and 16, paragraph 10.本示范立法条文建议,就执行《有组织犯罪公约》及其议定书而言,应考虑类似于设立中央协调机构的方法。《公约》广泛强调了预防工作。除此之外,根据第31条,《公约》各缔约国还有义务针对预防有组织犯罪采取可靠的具体措施。这些包括:
Article 15, paragraph 3, of the Convention requires States parties, for the purposes of article 16, paragraph 10, to establish jurisdiction over “the offences covered by this Convention” — irrespective of where the offence occurred — in situations where the suspect is present in their territory and extradition is refused solely on the grounds that the suspect is a national.1.
This reflects the obligation to “extradite or prosecute”, which is further elaborated in article 16, paragraph 10.努力开发和评估各种旨在预防有组织犯罪的国家项目,并制订这方面的最佳做法和政策。
As noted in the Legislative Guides, the reference to “offences covered by this Convention” is broader than simply a reference to the offences established in articles 5, 6, 8 and 23. Article 16, which regulates extradition under the Convention, applies to the offences established under the Convention and offences referred to in article 3, paragraph 1 (a) and (b) where these involve an organized criminal group and the suspect is located in the territory of the requested State party (see also article 16, paragraph 1, read together with article 3). The practical result is that a State Party that does not extradite its nationals must establish jurisdiction over:2. 根据其本国法律基本原则,利用适当的立法、行政或其他措施努力减少有组织犯罪集团在利用犯罪所得参与合法市场方面的现有或未来机会。那些措施应着重于: (a) 加强执法机构或检察官同包括工业界在内的有关私人实体之间的合作; (b) 促进制定各种旨在维护公共和有关私人实体廉洁性的标准和程序,以及有关职业,特别是律师、公证人、税务顾问和会计师的行为准则; (c) 防止有组织犯罪集团对公共当局实行的招标程序以及公共当局为商业活动所提供的补贴和许可证作不正当利用; (d) 防止有组织犯罪集团对法人作不正当利用。 预防这种不当利用法人的措施可包括:  = 1 \* GB4 ㈠ 建立关于法人的建立、管理和筹资中所涉法人和自然人的公共记录;  = 2 \* GB4 ㈡ 宣布有可能通过法院命令或任何适宜手段,在一段合理的期间内剥夺被判定犯有本《公约》所涵盖的犯罪的人担任在其管辖范围内成立的法人的主管的资格;  = 3 \* GB4 ㈢ 建立关于被剥夺担任法人主管资格的人的国家记录;  = 4 \* GB4 ㈣ 与其他缔约国主管当局交流本款(d)项 = 1 \* GB4 ㈠和 = 3 \* GB4 ㈢目所述记录中所载的资料。 《有组织犯罪公约》第31条第1和2款。 为了履行这些义务,就需要在政府和民间社会采取行动,还需要高度协调和合作。建议将这些具体措施纳入协调委员会或机构更广泛的职权范围。委员会或机构主要负责协调各利益相关方的行动,确保适当共享相关信息,避免重复劳动,并监测预防犯罪活动的影响和成效。中央协调委员会或机构还有必要与其他已建立的机构协调工作,例如,负责实施《有组织犯罪公约》及其三项议定书的机构。一些国家已经建立了全国协调委员会,以协调针对贩运人口的对策。 实例 文件《预防城市犯罪实用方法》中有许多预防犯罪实用方法的例子。 Margaret Shaw和Vivien Carli等人,预防城市犯罪实用方法:2010年4月12日至19日巴西萨尔瓦多第十二届联合国预防犯罪和刑事司法大会期间举行的讲习班记录(蒙特利尔国际预防犯罪中心与联合国毒品和犯罪问题办公室,2011年)。可查阅www.unodc.org。 第5条. 数据收集和分析 1. 国家[委员会/机构]应就完成其预防犯罪任务相关的问题制订一项研究计划,包括统计及其他数据和信息的收集和发布。这些问题包括:
(a) The offences established by articles 5, 6, 8 and 23, where these involve an organized criminal group and are committed abroad by its nationals;(a) 对犯罪根源的诊断性研究;
(b) Serious crime under its laws involving an organized criminal group committed abroad by its nationals;(b) 本地安全审核和受害情况调查;
(c) Crimes established by the Protocols.(c) 有组织犯罪的趋势和威胁;
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 108.(d) 有组织犯罪活动环境;
(d) Committed by a person present in [insert name of State] whose extradition is refused on any ground.(e) 参与犯罪的专业团体和技术,包括国家和非国家当事方;
Commentary(f) 现有国家和国际预防和应对有组织犯罪的法律、政策和措施的有效性和效果;
Optional.(g) 遵守国际义务,包括人权标准。 评注 来源:《有组织犯罪公约》第28条。 如第28条所承认的那样,信息收集和交流对制定完善的、以证据为基础的预防和应对跨国有组织犯罪政策至关重要。《预防犯罪准则》提供了各国政府为建立知识基础应采取的务实措施的例子: 知识基础 21. 各国政府和/或民间社会应当酌情促进以知识为基础的犯罪预防,特别是通过: (a) 为社区解决犯罪问题提供必要的信息; (b) 支持产生有科学依据的、有效的、切合实际的有用知识; (c) 促进整理和综合知识,并且查明和弥补知识库中的空白; (d) 在研究人员、决策者、教育工作者、来自其他有关部门的从业者和更广泛的团体之间交流有关知识; (e) 运用这一知识在别处进行成功的干预,制定新的举措,预测新的犯罪问题并防患于未然; (f) 建立数据库系统来帮助更有成本效益地管理犯罪预防工作,包括对犯罪与受害情况进行定期调查; (g) 鼓励运用这些数据来减少再次受害、惯常犯罪和高犯罪率地区。
Source: Organized Crime Convention, article 15, paragraph 4.一些国家已有建立完备的研究所,作为犯罪原因和预防犯罪方面国家级研究的协调中心(见下文联合国预防犯罪和刑事司法方案网的例子)。虽然有些国家没有资源建立研究所,但可以通过国家与现有研究机构(如大学)之间的合作等来实现类似结果(即为预防犯罪工作提供信息的关键数据的可用性)。由发达国家为此类举措向发展中国家提供资金属于《公约》第30条第2款规定范畴。此条款要求缔约国,除其他事项外,尽可能作出具体努力:
Subparagraph (d) is optional, as it gives effect to article 15, paragraph 4, of the Convention, which provides that each State party may establish jurisdiction over offences when the alleged offender is present in its territory and it does not extradite him or her for any reason. Note that if subparagraph (d) is used, there is no need to include subparagraph (c), as subparagraph (d) covers situations where extradition is refused for any reason, including nationality.加强财政和物质援助,支持发展中国家的努力,以便提高发展中国家预防和打击跨国有组织犯罪的能力。
For consistency, this draft provision is based on an identical provision found in the Model Law against the Smuggling of Migrants.数据收集和交流的一个重要方面就是进行全国性有组织犯罪威胁评估的能力。这种评估有助于执法人员查明风险因素、犯罪类型、行为人及其合作者,并生成情报主导的维持治安工作和以证据为基础的政策所需的信息和分析。反过来,此类评估所生成的信息又有助于确定优先事项,以及为应对这些威胁分配适当资源。毒品和犯罪问题办公室已开发了如何进行此种评估的方法:《重大有组织犯罪威胁评估表的使用和编制指导:重大有组织犯罪威胁评估表手册》,专门针对政策制定者、执法领导者和从业者。
Example可查阅www.unodc.org/documents/organized-crime/SOCTA_Handbook.pdf。
The Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition provides as follows:实例 联合国预防犯罪和刑事司法方案网包括联合国毒品和犯罪问题办公室及世界各地的一些区域间和区域机构和专门中心。该网站开发的目的是为了协助国际社会加强预防犯罪和刑事司法关键领域的合作。网站分若干组成部分,可提供各种服务,包括交流信息、研究、培训和公共教育。
Article 42. Application of this Law另见www.unodc.org/unodc/en/commissions/CCPCJ/institutes.html。
[...]实例
(c) The offence is committed [wholly or partly] by a [name of State] national whose extradition is refused on the grounds of nationality.澳大利亚犯罪学研究所是通过立法建立的一个政府研究机构。研究所旨在通过开展和交流以证据为基础的研究,为政策和实践提供信息,从而宣传正义、减少犯罪。有关其设立和职能的详细信息,《1971年犯罪学研究法》规定如下:
2. [National courts] shall also have jurisdiction to determine proceedings for offences to which this law applies when:见www.aic.gov.au。
(a) The [victim/object of the crime] is a national [or permanent resident] [or habitual resident] of [insert name of State];5 研究所的设立
(b) The offence is committed by a [insert name of State] national [or permanent resident] [or habitual resident];1.
or特此设立一个名为“澳大利亚犯罪学研究所”的机构。
Commentary2. 机构组成:
Optional.(a) 所长;及 (b) 研究所工作人员。 6 研究所的职能 研究所应具有以下职能: (a) 通过以下途径宣传正义、减少犯罪:  = 1 \* GB4 ㈠ 开展犯罪学研究;及  = 2 \* GB4 ㈡ 向英联邦、各州、澳大利亚首都领地、北领地及社区传播其研究成果; (b) 协助所长履行所长职能; (c) 管理发放补助金和聘请专家的计划,以开展:  = 1 \* GB4 ㈠ 与英联邦、各州、澳大利亚首都领地及北领地公共政策有关的犯罪学研究;及  = 2 \* GB4 ㈡ 与此类研究有关的活动(包括发布研究成果等)。 实例 国家司法研究所是美国司法部的研究、开发和评估机构。该研究所的使命是促进研究、开发和评估,以加强司法和公共安全的管理。国家司法研究所赞助基础/应用研究、评估和试点方案展示。该研究所开发新的工具和传播刑事司法信息。 有关美国司法部国家司法研究所的更多信息,可查阅www.nij.gov。已实施研究方案为预防犯罪工作提供信息的各个国家的实例见《预防犯罪准则手册:使准则发挥作用》,具体而言,见其第54页。 第三章. 犯罪 评介 本章包括一项关于管辖权的条文以及旨在执行《公约》两个犯罪条款的条文:第5条(参加有组织犯罪集团行为)和第23条(妨害司法)。由于这些犯罪需要单独的立法来应对,因此本章分为两部分,第一部分讨论第5条的执行,第二部分讨论第23条的执行。 处罚说明 本示范立法条文未规定任何处罚,反映了《有组织犯罪公约》对待该问题的方式。根据第11条第1款,各缔约国均应使根据本《公约》第5条、第6条、第8条和第23条确立的犯罪受到与其严重性相当的制裁。凭此但书,处罚问题留给了各国自由裁量。在设定处罚时,重要的是要确保为实施《公约》而确立的犯罪符合司法协助和引渡的共同标准。在许多情况下,司法协助和引渡等国际合作只在犯罪可判处至少一年的监禁的情况下提供。 第三章. 犯罪 第6条. 管辖权 1. [国家法院]具有确定本示范立法条文所适用犯罪之诉讼程序的管辖权: (a) 犯罪[全部或部分]发生在[插入国家名称]领域内;或 (b) 犯罪[全部或部分]发生在犯罪时悬挂[插入国家名称]国旗的船只或已根据[插入国家名称]法律注册的航空器内。 评注 强制性条文。 来源:《有组织犯罪公约》第15条第1款(a)和(b)项。
Source: Organized Crime Convention, article 15, paragraph 2 (a) and (b).《公约》第15条规定了确立对《公约》所涵盖犯罪的管辖权的强制性和选择性要求。
The Convention encourages but does not require States parties to consider establishing jurisdiction over offences in a range of other situations where their national interests may be harmed.第15条第1款要求各缔约国应根据属地原则主张对根据第5条、第6条、第8条和第23条确立犯罪的管辖权。也就是说,当犯罪发生在其领域内或在悬挂其国旗的船只或已根据其法律注册的航空器内时,各缔约国必须确保其对这些犯罪具有管辖权。 如《立法指南》所指出,确立对《公约》所涵盖犯罪的管辖权的义务并不以跨国性的存在或有组织犯罪集团的参与为条件。相反,根据第34条第2款,在确立刑事罪时不考虑这些因素(但第5条要求的情况除外,因为此条所涉犯罪的重点是参加有组织犯罪集团,必然要求涉及有组织犯罪集团)。
Example《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第107页。
The following excerpt is taken from the Model Law against Trafficking in Persons:为了保持一致性,此条文草案反映了《打击偷运移民示范法》中一条相同的规定。 联合国毒品和犯罪问题办公室,《打击偷运移民示范法》(2010年),第20页(第4条)。
1. This Law shall apply to any offence established under chapters V and VI of this Law committed outside the territory of [name of State] when:(c) 犯罪由[插入国家名称]国民在[插入国家名称]境内实施,而其引渡却以国籍为由遭到拒绝;或
(a) The offence is committed by a [name of State] national;评注
(b) The offence is committed by a stateless person who has his or her habitual residence in [name of State] at the time of the commission of the offence; or强制性条文。 来源:《有组织犯罪公约》第15条第3款和第16条第10款。 《公约》第15条第3款要求,为了本《公约》第16条第10款的目的,各缔约国在被指控人在其领域内(不管犯罪发生在哪里)而其仅因该人系其本国国民而不予引渡时,确立其对“本《公约》所涵盖的犯罪”的管辖权。这反映了“不引渡即起诉”的义务,第16条第10款进一步阐述了这一点。
(c) The offence is committed against a victim who is a [name of State] national;如《立法指南》所指出,援引“本《公约》所涵盖的犯罪”比仅提到根据第5条、第6条、第8条和第23条确立的犯罪所指范围更广。《公约》第16条针对引渡问题,在犯罪涉及有组织犯罪集团且嫌犯位于被请求缔约国领域内的情况下,适用于根据《公约》确立的犯罪以及第3条第1款(a)和(b)项提到的犯罪(另见第16条第1款,需结合第3条解读)。实际结果是,不引渡其国民的缔约国必须确立对以下犯罪管辖权:
2. This Law shall also apply to acts with a view to the commission of an offence under this Law within [name of State].(a) 在犯罪涉及有组织犯罪集团且由其国民在境外实施情况下,根据第5条、第6条、第8条和第23条所确立的犯罪; (b) 其国民在境外实施的涉及有组织犯罪集团的其法律规定的严重犯罪;
Model Law against Trafficking in Persons (United Nations publication, Sales No. E.09.V.11), p. 23.(c) 议定书确立的犯罪。
Example《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第108页。
The following excerpt taken from the Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition:(d) 位于[插入国家名称]、其引渡因故遭到拒绝的人实施的犯罪。 评注 选择性条文。 来源:《有组织犯罪公约》第15条第4款。 (d)项为选择性条文,旨在执行《公约》第15条第4款,其中规定各缔约国在被指控人在其领域内而其不引渡该人时确立其对本《公约》所涵盖的犯罪的管辖权。请注意,如果使用(d)项,就没有必要列入(c)项,因为(d)项涵盖了引渡因包括国籍在内的任何原因被拒的情况。
This Law shall also apply to any offence established under this Law when:为了保持一致性,此条文草案基于《打击偷运移民示范法》中一条相同的规定。
(a) The person is a national [or permanent resident] [or habitual resident] of [name of State];实例
(b) The offence is committed by a [name of State] national [or habitual resident] [or permanent resident];《打击非法制造和贩运枪支及其零部件和弹药示范法》规定如下:
(c) The offence is committed by a stateless person who has his or her habitual residence in [name of State] at the time of the commission of the offence;第42条. 本法的适用
(d) The offence is committed in the territory of [name of State] with a view to the commission of a serious crime within the territory of [name of State]; or[...]
(e) The offence is committed outside the territory of [name of State] but the consequences of the offence are directed towards or intended to commit a serious crime within the territory of [name of State].(c) [全部或部分]由其引渡因国籍原因遭到拒绝的[插入国家名称]国民实施的犯罪。
Model Law against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition (United Nations publication, Sales No. E.11.V.9), pp. 65-66.2. [国家法院]还具有确定本法所适用犯罪之诉讼程序的管辖权:
(c) The offence is committed outside the territory of [insert name of State] with a view to the commission of a serious crime within the territory of [insert name of State].(a) [受害人/犯罪客体]系[插入国家名称]国民[或永久居民][或长期居民];
Commentary(b) [插入国家名称]国民[或永久居民][或长期居民]实施的犯罪;或
Optional.评注 选择性条文。
Source: Organized Crime Convention, article 15, paragraph 2(c)(i) and (ii).来源:《有组织犯罪公约》第15条第2款(a)和(b)项。
Article 15, paragraph (2)(c)(i) and (ii) applies only to offences established under article 5, paragraph 1 (participation in an organized criminal group) and article 6, paragraph 1(b)(ii) (participation in, association with or conspiracy to commit, attempts to commit and aiding and abetting the laundering of proceeds of crime). Accordingly, States may want to extend jurisdiction over only these offences when they are committed outside the territory with a view to a commission of that crime in their territory. However, equally, States may want to extend jurisdiction in this way over any Convention (and Protocol) offences.《公约》鼓励但不要求各缔约国考虑确立其对国家利益可能受损的一系列其他情况的犯罪的管辖权。 实例 下文摘自《打击贩运人口示范法》: 1. 本法适用于根据本法第五和六章确立的、在[国家名称]领域外实施的任何犯罪: (a) 犯罪系由[国家名称]国民实施; (b) 犯罪系由犯罪时在[国家名称]领域内有惯常居所的无国籍人实施;或 (c) 犯罪系针对[国家名称]国民实施; 2. 本法还适用于目的是在[国家名称]领域内实施本法确立的犯罪的行为。 《打击贩运人口示范法》(联合国出版物,出售品编号:E.09.V.11)第23页。 实例 下文摘自《打击非法制造和贩运枪支及其零部件和弹药示范法》: 在下列情形下,本法也适用于根据本法确立的任何犯罪: (a) 有关人员系[插入国家名称]国民[或永久居民][或长期居民]; (b) 犯罪系[插入国家名称]国民[或永久居民][或长期居民]实施; (c) 犯罪系由犯罪时在[国家名称]领域内有惯常居所的无国籍人实施; (d) 犯罪在[国家名称]领域内实施,目的是在[国家名称]领域内实施严重犯罪;或 (e) 犯罪在[国家名称]领域外实施,但犯罪的后果或犯罪目的是在[国家名称]领域内实施严重犯罪。 《关于打击非法制造和贩运枪支及其零部件和弹药的示范法》(联合国出版物,出售品编号:E.11.V.9),第65-66页。 (c) 犯罪在[插入国家名称]领域外实施,目的是在[插入国家名称]领域内实施严重犯罪。 评注 选择性条文。 来源:《有组织犯罪公约》第15条第2款(c)项㈠和㈡目。 第15条第2款(c)项㈠和㈡目仅适用于根据第5条第1款(参加有组织犯罪集团行为)和第6条第1款(b)项㈡目(参与、合伙或共谋实施,实施未遂,以及协助和教唆对犯罪所得进行洗钱)确立的犯罪。因此,各国不妨仅就在领域外实施、但目的是在领域内犯罪的情形扩大管辖权范围。然而,同样重要的是,各国不妨以这种方式就任何《公约》(和议定书)所涵盖犯罪扩大管辖权范围。
Section A.第A节.
Offences related to participation in an organized criminal group参加有组织犯罪集团行为相关的犯罪
Introduction导言
Article 5 of the Organized Crime Convention focuses on criminalization of participation in an organized criminal group. States are required to criminalize either or both of the sets of conduct specified in subparagraphs 1(a)(i) and (ii) of article 5 as crimes in their national laws, along with the related offences of aiding, abetting, organizing or directing such offences.《有组织犯罪公约》第5条侧重于参加有组织犯罪集团行为的刑事定罪。各国须在国内法中将第5条第1款(a)项㈠和㈡目规定的任一类或两类行为定为犯罪,包括协助、教唆、组织或指挥此类犯罪的相关犯罪。
These model legislative provisions include options for a conspiracy-type offence (that is, agreeing to commit a serious crime) and/or a participation-type offence (that is, actual participate in the activities of an organized criminal group). Broadly speaking, these two options reflect different common and civil law traditions. The offence of “conspiracy” was developed in common law countries. In many civil law countries, the concept of conspiracy is not recognized as the general position is that mere planning of an offence, without an overt act to put the plan into operation, is not criminal. Nonetheless, as the various examples of national laws noted below show, this distinction between the common law and civil law traditions is not absolute as some countries have laws that mix elements of conspiracy (agreement to commit) and association (taking part in activities).本示范立法条文包括针对共谋型犯罪(即同意实施严重犯罪)和/或参与型犯罪(即实际参与有组织犯罪集团的活动)的备选案文。从广义上讲,这两种备选案文反映了大陆法系和英美法系两种不同体系。“共谋”罪形成于英美法系国家。在许多大陆法系国家,共谋的概念并未得到认可,因为一般认为,仅仅计划犯罪,并没有将计划付诸实施的公开行为,并不构成犯罪。然而,如下文国家法律的各种实例所示,英美法系和大陆法系的这一区别并不绝对,因为一些国家的法律混淆了共谋(同意实施犯罪)与共犯(参与活动)的概念。
Article 7 (Option 1).第7条(备选案文1).
Conspiracy共谋
1.1.
A person who agrees with one or more other persons to commit a serious crime [involving an organized criminal group] in order to obtain directly or indirectly, a financial or other material benefit, commits an offence punishable by [insert penalty sufficient to take into account the gravity of the offence].为直接或间接获得金钱或其他物质利益而与其他一人或多人约定实施严重犯罪者[涉及有组织犯罪集团],即属犯罪,可处以[插入充分考虑犯罪严重性的处罚]。
2. [Only include if required by domestic law] [For a person to be convicted under this section, an act other than the making of the agreement must be undertaken by one of the participants in furtherance of the agreement.2.
][仅在本国法律要求时纳入][若要根据本节定罪,还须其中一名参与者有进行约定以外的、促进约定的行为。]
Commentary评注
Optional. The Convention provides for either subparagraph 1(a)(i) or (ii) of article 5, or both, to be implemented.选择性条文。《公约》要求执行第5条第1款(a)项㈠或㈡目之任一或两种规定。
Source: Organized Crime Convention, article 5, paragraph 5(a)(i).来源:《有组织犯罪公约》第5条第5款(a)项㈠目。
The elements of the offence specified in article 5, paragraph 1(a)(i) are based on a conspiracy offence. As noted in the Legislative Guides:第5条第1款(a)项㈠目规定的犯罪要素基于共谋犯罪。如《立法指南》所指出:
The requirements of this offence include the intentional agreement with one or more other persons to commit a serious crime for a purpose related directly or indirectly to obtaining a financial or other material benefit. This requirement criminalizes the mere agreement to commit serious crimes for the purpose of obtaining a financial or other material benefit.确定这一犯罪的要求包括为直接或间接获得金钱或其他物质利益而与一人或多人故意约定实施严重犯罪。这一要求将旨在对为获得金钱或其他物质利益而实施严重犯罪的纯粹约定行为刑事定罪。
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, para. 55, p. 23.《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第55段,第23页。
The physical elements (sometimes called the “actus reus”) and the mental elements (sometimes called the “mens rea” or “fault element”) of the offence are set out in table 2.表2列出了犯罪的物质要素(有时叫“犯罪行为”)和心理要素(有时叫“犯罪意图”或“过错要素”)。
In some legal systems, the concept of intention (as a mental element) has its ordinary meaning, in the sense that a person only needs to intend to do the action for that action to have been intentional. In other legal systems, intention implies an awareness of the unlawfulness of the act (the relevant concept is dolus malus). This is an issue that must be resolved by reference to local legal traditions.在有些法律体系中,意图(作为心理要素)的概念为其常用含义,意即,构成故意行为的条件只需一个人有实施某个行为的意愿。在其他法律体系中,意图则暗示意识到行为的非法性(相关概念为非法欺骗)。这是须参照当地法系解决的一个问题。
Table 2表2
Elements of the offence specified in article 5, paragraph 1(a)(i), of the United Nations Convention against Transnational Organized Crime《联合国打击跨国有组织犯罪》第5条第1款(a)项㈠目规定的犯罪要素
Article of the United Nations Convention against Transnational Organized Crime《联合国打击跨国有组织犯罪公约》条款
Physical element物质要素
Corresponding mental elements相应的心理要素
Art. 5, para. 1(a)(i)第5条第1款(a)项㈠目
Agreeing with one or more other persons to commit a serious crime (action)与其他一人或多人约定实施严重犯罪(的行为)
The agreement was entered into intentionally.故意约定。
The agreement was made for a purpose related directly or indirectly to obtaining a financial or other material benefit.约定的目的是直接或间接获得金钱或其他物质利益。
Art. 5, para. 1(a)(i)第5条第1款(a)项㈠目
[Where required by the domestic law, an act (other than making the agreement itself) was committed in furtherance of that agreement] (act or omission)[如果本国法律要求,还须其中一名参与者有(除进行约定外的)促进约定的行为](作为或不作为)
Art. 5, para. 3第5条第3款
[Where required by the domestic law, involvement of an organized criminal group][如果本国法律要求,则须涉及有组织犯罪集团]
In some States, an additional element must be present before an offence of conspiracy can be proven (specifically, an act undertaken by one of the participants in furtherance of the agreement; or involving an organized criminal group). These elements will not be required for all States. The language in square brackets may be useful in these States.在某些国家,构成共谋罪还须证明另一个要素(具体而言,即其中一名参与者有促进约定的行为;或涉及有组织犯罪集团)。并非所有国家都要求有这些要素。方括号中的内容可能对这些国家有用。
Article 5, paragraph 3, of the Convention provides that where elements such as conduct in furtherance of the criminal agreement, or involvement of an organized criminal group is required by domestic law, these States are required to ensure that offences established to give effect to article 5, paragraph 1, cover all serious crimes involving organized criminal groups. Further, article 5, paragraph 3, provides that State parties that do require these elements are required to have informed the Secretary-General of that fact at the time of signature or deposit of instrument of ratification.《公约》第5条第3款规定,如果其国内法要求,为执行第5条第1款而确立的犯罪须有促进犯罪约定的行为或涉及有组织犯罪集团等要素方可成立,那么这些国家应确保此类犯罪涵盖所有涉及有组织犯罪集团的严重犯罪。此外,第5条第3款规定,要求须有此类要素的缔约国应在其签署或交存其批准的文书时将此情况通知秘书长。
Article 5 has to be read together with article 11, paragraph 1, which provides that Convention offences must be liable to sanctions that take into account the gravity of the offence. Furthermore, article 5 should be read together with article 26, paragraphs 2 and 3, which provide that States may want to consider mitigating sentences or granting immunity from prosecution or leniency to those who cooperate with the authorities. This is optional and dependent on tradition.第5条须结合第11条第1款解读,其中规定《公约》所涵盖的犯罪须受到考虑犯罪严重性的制裁。此外,第5条还应结合第26条第2和3款解读,其中规定,各国不妨考虑对那些与当局合作者减轻处罚或允许免予起诉或从宽处理。此为选择性条文,依各法系而定。
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 93-94.《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第93-94页。
Example实例
The Criminal Law Act 1977 of the United Kingdom includes the following conspiracy offence:《联合王国1977年刑法》对共谋罪规定如下:
1 The offence of conspiracy. (1) Subject to the following provisions of this Part of this Act, if a person agrees with any other person or persons that a course of conduct shall be pursued which, if the agreement is carried out in accordance with their intentions, either— (a) will necessarily amount to or involve the commission of any offence or offences by one or more of the parties to the agreement, or (b) would do so but for the existence of facts which render the commission of the offence or any of the offences impossible, he is guilty of conspiracy to commit the offence or offences in question. (2) Where liability for any offence may be incurred without knowledge on the part of the person committing it of any particular fact or circumstance necessary for the commission of the offence, a person shall nevertheless not be guilty of conspiracy to commit that offence by virtue of subsection (1) above unless he and at least one other party to the agreement intend or know that that fact or circumstance shall or will exist at the time when the conduct constituting the offence is to take place. Example The Criminal Code of Canada includes the following conspiracy offence, covering indictable offences, alongside an offence more in the nature of participation in an organized criminal group (included in the commentary on this issue). Conspiracy 465. (1) Except where otherwise expressly provided by law, the following provisions apply in respect of conspiracy: (a) every one who conspires with any one to commit murder or to cause another person to be murdered, whether in Canada or not, is guilty of an indictable offence and liable to a maximum term of imprisonment for life; (b) every one who conspires with any one to prosecute a person for an alleged offence, knowing that he did not commit that offence, is guilty of an indictable offence and liable (i) to imprisonment for a term not exceeding ten years, if the alleged offence is one for which, on conviction, that person would be liable to be sentenced to imprisonment for life or for a term not exceeding fourteen years, or (ii) to imprisonment for a term not exceeding five years, if the alleged offence is one for which, on conviction, that person would be liable to imprisonment for less than fourteen years; (c) every one who conspires with any one to commit an indictable offence not provided for in paragraph (a) or (b) is guilty of an indictable offence and liable to the same punishment as that to which an accused who is guilty of that offence would, on conviction, be liable; and (d) every one who conspires with any one to commit an offence punishable on summary conviction is guilty of an offence punishable on summary conviction. Article 7 (Option 2). Criminal association1 共谋罪。
1. A person who intentionally takes an active part in criminal activities of an organized criminal group, knowing either the aim and general activity of the organized criminal group, or its intention to commit the crimes in question, commits an offence punishable by [insert penalty sufficient to take into account the gravity of the offence]. 2. A person who intentionally takes an active part in [any other] activities of an organized criminal group:(1) 根据本法此部分的下列规定,如果一个人与任何其他一人或多人约定实施某一行为,而该约定依其意图得以实施,那么在下述任一情形下,此人即犯有所涉犯罪之共谋罪——
(a) with knowledge of either the aim and general activity of the organized criminal group, or its intention to commit the crimes in question; and(a) 此约定行为必然地发展成或涉及此约定之一方或多方实施任何一项或多项犯罪,或者
(b) knowing that their acts or omissions will contribute to the achievement of the criminal aim described above;(b) 要不是存在使该犯罪或该等多项犯罪之任何一项不能实施的事实,此约定行为本会发展成或涉及那样的结果,
commits an offence punishable by [insert penalty sufficient to take into account the gravity of the offence]. 3. The acts or omissions engaged in for the purpose of [paragraph 2] need not otherwise be illegal.(2) 如果任何犯罪责任是在实施该等犯罪者并不知悉实施犯罪的必要具体事实或情形下产生的,那么此人不可视为犯有上述第(1)款所确立之共谋罪,除非其本人和约定之至少一方计划或知悉构成犯罪之行为发生之际应或将存在此等事实或情形。
Commentary实例
Optional. The Organized Crime Convention provides for either paragraph 1(a)(i) or (ii) of article 5, or both, to be implemented.《加拿大刑法典》包括以下共谋罪,除在性质上更类同参与有组织犯罪集团行为的犯罪(列入了有关此问题的评注)外,还涵盖了可公诉罪。
Source: Organized Crime Convention, article 5, paragraph 1(a)(ii).共谋
The type of offence specified in article 5, paragraph 1(a)(ii) may be more consistent or suitable for countries with laws that do not recognize conspiracy or do not allow criminalization of a mere agreement to commit an offence. The mental element for the subcategories of offences specified by article 5, paragraph 1(a)(ii)a and b are different. As noted in the Legislative Guides:465.(1) 除法律另有明文规定外,下列条文适用于共谋:
Ibid., p. 24.(a) 凡与任何人共谋对另一人实施谋杀或导致其被谋杀者,无论是否在加拿大国内,即犯有可公诉罪,最高刑罚可判处终身监禁;
For the second type of offence, that is criminal association, the required mental element is general knowledge of the criminal nature of the group or of at least one of its criminal activities or objectives. In the case of participating in criminal activities, the mental element of the activity in question would also apply. For instance, active participation in kidnapping or obstruction of justice would require the mental element for those offences.(b) 凡与任何人共谋起诉某人犯有所控罪行,而明知其并未犯此罪行者,即犯有可公诉罪,可判处
In the case of taking part in non-criminal but supportive activities, an additional requirement is that of knowledge that such involvement will contribute to the achievement of a criminal aim of the group.㈠ 不超过十年的监禁,条件是所控罪行系被控人一经定罪即可判处终身监禁或不超过十四年监禁的罪行,或 ㈡ 不超过五年的监禁,条件是所控罪行系被控人一经定罪即可判处不超过十四年监禁的罪行; (c) 凡与任何人共谋实施第(a)或(b)款未规定之可公诉罪者,即犯有可公诉罪,可判处与被告一经定罪可判处的刑罚相同的刑罚;及 (d) 凡与任何人共谋实施可按简易定罪处罚的犯罪者,即犯有可简易定罪之罪行。 第7条(备选案文2). 犯罪团伙 1. 明知有组织犯罪集团的目标和一般活动或其实施有关犯罪之意图而故意积极参与该有组织犯罪集团犯罪活动者,即属犯罪,可处以[插入充分考虑犯罪严重性的处罚]。 2. 故意积极参与有组织犯罪集团[任何其他]活动且有以下情形者,即属犯罪,可处以[插入充分考虑犯罪严重性的处罚]: (a) 明知有组织犯罪集团的目标和一般活动或其实施有关犯罪的意图;及 (b) 明知其行为或疏忽将有助于实现上述犯罪目标; 3. 否则,为[第2款]之目的的行为或疏忽不一定非法。 评注 选择性条文。《有组织犯罪公约》规定执行第5条第1款(a)项㈠或㈡目之任一或两种规定。 来源:《有组织犯罪公约》第5条第1款(a)项㈡目。 第5条第1款(a)项㈡目规定的犯罪类型可能更符合或适合其法律不承认共谋或不允许对实施犯罪的纯粹约定行为进行刑事定罪的国家。第5条第1款(a)项㈡目之a和b规定了各犯罪子类的心理要素。如《立法指南》所指出: 同上,第24页。 对于第二类犯罪,即犯罪参与,所必要的心理要素是对犯罪集团的犯罪性质或其至少一种犯罪活动或目标具有一般性的了解。关于参与犯罪活动,有关活动的心理要 素也将予以适用。例如,就对积极参与绑架或阻碍司法的定罪而言,心理要素的存在也必不可少。 关于参加非犯罪性的支持活动,另一个要求是,明知此类参与将有助于实现犯罪集团的犯罪目标。
Ibid.同上。
The physical (sometimes called the “actus reus” or the “external elements”) and the mental elements (sometimes called the “mens rea” or the “fault element”) of the offences designated in article 5, paragraph 1(a)(ii) are set out in more detail in table 3.表3列出了第5条第1款(a)项㈡目指定犯罪之物质要素(有时叫“犯罪行为”或“外部要素”)和心理要素(有时叫“犯罪意图”或“过错要素”)。
Table 3表3
Elements of the offence specified in article 5, paragraph 1(a)(ii), of the United Nations Convention against Transnational Organized Crime《联合国打击跨国有组织犯罪》第5条第1款(a)项㈡目规定的犯罪要素
Article of the United Nations Convention against Transnational Organized Crime《联合国打击跨国有组织犯罪公约》条款
Physical element物质要素
Corresponding mental elements相应的心理要素 第5条第1款(a)项㈡目a 通过某一行为或疏忽,积极参与有组织犯罪集团的犯罪活动 行为或疏忽系故意为之,且明知该集团的犯罪性质或其犯罪活动或目标。
Art. 5, para. 1(a)(ii)a第5条第1款(a)项㈡目b
Through an act or omission, take an active part in criminal activities of the organized criminal group通过某一行为或疏忽,积极参与有组织犯罪集团的其他(非犯罪)活动
The act or omission is intentional and undertaken with knowledge of the criminal nature of the group, or of its criminal activities or objectives.行为或疏忽系故意为之,且明知参与将有助于实现犯罪目标。
Art. 5, para. 1(a)(ii)b此条草案第1款旨在执行《公约》第5条第1款(a)项㈡目a。此类性质的条文旨在涵盖,例如,准备从事某种形式严重犯罪的有组织犯罪集团成员。
Through an act or omission, take an active part in other (non-criminal) activities of the organized criminal group此条草案第2和3款旨在执行《公约》第5条第1款(a)项㈡目b。此类性质的犯罪包括,例如,某人向罪犯出租物业或酒店客房或向有组织犯罪集团提供簿记服务的行为,但前提是其知道该行为会支持有组织犯罪集团的活动。
The act or omission is intentional and undertaken with knowledge that participation will contribute to the achievement of the criminal aim.第5条须结合第11条第1款解读,其中规定,根据第5条确立的犯罪须受到考虑犯罪严重性的制裁。
Paragraph 1 of this draft article is intended to implement article 5, paragraph 1(a)(ii)a, of the Convention. A provision of this nature is intended to cover, for example, the members of an organized criminal group who are preparing to engage in a form of serious crime.此外,第5条还应结合第26条第2和3款解读。各国不妨考虑对与当局配合者减轻处罚或允许免予起诉或从宽处理。此为选择性条文,依本国法系而定。
Paragraphs 2 and 3 of this draft article are intended to implement article 5, paragraph 1(a)(ii)b of the Convention. An offence of this nature would include, for example, the conduct of someone who rents a property or a hotel room to criminals or who provides a bookkeeping service to an organized criminal group, provided that he or she knows that that conduct is supporting the activities of the organized criminal group.同上,第93-94页。
Article 5 has to be read together with article 11, paragraph 1, which provides that offences established in accordance with article 5 must be liable to sanctions that take into account the gravity of the offence.实例
Furthermore, article 5 should be read together with article 26, paragraphs 2 and 3. States may want to consider mitigating sentences or granting immunity from prosecution or leniency to those who cooperate with the authorities. This is optional and dependent on the State’s legal tradition.《法国刑法典》第五编规定了参加犯罪团伙的犯罪,将其归为“共谋”,但要求有“实质性行动”。
Ibid., pp. 93-94.第五编 参加犯罪团伙
Example第450-1条
Title V of the French Penal Code includes an offence of participation in a criminal association that refers to “conspiracy” but also requires some “material action”.犯罪团伙包括以一项或多项重大行动为标志图谋一项或多项重罪或一项或多项至少可判处五年监禁的轻罪而组成的任何集团或建立的任何阴谋集团。
Title V Participation in a Criminal Association如果所预谋犯罪为重罪或可判处十年监禁之轻罪,对参加犯罪团伙的行为应判处十年监禁并处以15万欧元罚款。
Article 450-1如果所预谋犯罪为可判处至少五年监禁之轻罪,对参加犯罪团伙的行为应判处五年监禁并处以7.5万欧元罚款。
A criminal association consists of any group formed or any conspiracy established with a view to the preparation, marked by one or more material actions, of one or more felonies, or of one or more misdemeanours punished by at least five years’ imprisonment.可查阅www.legifrance.gouv.fr/content/download/1957/13715/version/4/file/Code_33.pdf。
Where the offences contemplated are felonies or misdemeanours punished by ten years’ imprisonment, participation in a criminal association is punished by ten years’ imprisonment and a fine of €150,000.实例
Where the offences contemplated are misdemeanours punished by at least five years’ imprisonment, the participation in a criminal association is punished by five years’ imprisonment and a fine of €75,000.《加拿大刑法典》(R.S.C.,1985年)规定了参加犯罪组织活动的犯罪:
Available from www.legifrance.gouv.fr/content/download/1957/13715/version/4/file/Code_33.pdf.参加犯罪组织的活动
Example The Criminal Code (R.S.C., 1985) of Canada includes an offence of participation in activities of a criminal organization: Participation in activities of criminal organization 467.11(1) Every person who, for the purpose of enhancing the ability of a criminal organization to facilitate or commit an indictable offence under this or any other Act of Parliament, knowingly, by act or omission, participates in or contributes to any activity of the criminal organization is guilty of an indictable offence and liable to imprisonment for a term not exceeding five years. Prosecution (2) In a prosecution for an offence under subsection (1), it is not necessary for the prosecutor to prove that (a) the criminal organization actually facilitated or committed an indictable offence; (b) the participation or contribution of the accused actually enhanced the ability of the criminal organization to facilitate or commit an indictable offence; (c) the accused knew the specific nature of any indictable offence that may have been facilitated or committed by the criminal organization; or (d) the accused knew the identity of any of the persons who constitute the criminal organization. Factors (3) In determining whether an accused participates in or contributes to any activity of a criminal organization, the Court may consider, among other factors, whether the accused (a) uses a name, word, symbol or other representation that identifies, or is associated with, the criminal organization; (b) frequently associates with any of the persons who constitute the criminal organization;467.11(1) 凡为提升犯罪组织便利或实施依本法或任何其他国会法令可公诉罪之能力而明知故犯地通过某种行为或疏忽而参加或协助犯罪组织任何活动者,均犯有可公诉罪,可判处不超过五年的监禁。
(c) receives any benefit from the criminal organization; or起诉
(d) repeatedly engages in activities at the instruction of any of the persons who constitute the criminal organization.(2) 依第(1)款起诉犯罪时,检察官无须证明
Example(a)
The Italian Criminal Code includes the following offence of participating in a mafia-style organization:犯罪组织实际便利或实际实施了可公诉罪;
Article 416 bis. Mafia-type association(b) 被告之参与或协助实际加强了犯罪组织便利或实施可公诉罪之能力;
Any person participating in a Mafia-type association, which includes three or more persons, shall be punished by a term of imprisonment of three to six years.(c)
Those promoting, directing or organizing the association shall be punished, for that alone, by a term of imprisonment of 4 to 9 years.被告明知犯罪组织可能已协助或实施之任何可公诉罪之具体性质;或
An association is said to be a Mafia-type association when the participants take advantage of the intimidating power of the association ties, and of the resulting conditions of submission and silence (omertà), to commit criminal offences, to directly and indirectly acquire management or in whatever way control of economic activities, licenses, authorizations, public contracts and services, or to obtain unlawful profits or advantages for themselves or any other person, or with a view to preventing or limiting the freedom to vote, or getting votes for themselves or other persons, on the occasion of an election.(d) 被告明知任何犯罪组织成员的身份。
Should the association be of the armed type, the punishment shall be imprisonment of four to ten years under the circumstances mentioned in paragraph 1, and imprisonment of 5 to 15 years under the circumstances mentioned in paragraph 2.因素
An association is said to be of the armed type when the participants have firearms or explosives at their disposal, even if hidden or deposited elsewhere, to achieve the objectives of the association.(3) 在确定被告是否参与或协助犯罪组织的任何活动时,法院除其他因素外可考虑被告是否
If the economic activities, whose control the participants in the association aim at achieving or maintaining, are funded, totally or partially, by the price, products or proceeds of criminal offences, the punishment referred to in the above paragraphs shall be increased by one third up to one half.(a)
The sentenced person shall always be liable to confiscation of the things that were used or meant to be used to commit the offence and all things that represent the price, the product or the proceeds of such offence, or the use thereof.使用了作为该犯罪组织身份特征或与其有关的名称、措词、符号或其他表述;
The provisions shall also apply to the Camorra and any other association, whatever their local names are, seeking to achieve objectives which correspond to those of the Mafia-type association, by taking advantage of the intimidating power of the association ties.(b) 频繁联系犯罪组织之任何组织者;
Example(c) 接受犯罪组织的任何好处;或
The Italian Criminal Code contains a description of association to commit crimes:(d) 一再依犯罪组织之任何组织者的指示从事活动。
Article 416. Association to commit crimes实例
When three or more persons associate for the purpose of committing more than one crime, those who promote or constitute or organize the association shall be punished, for that alone, by a term of imprisonment of three to seven years.《意大利刑法典》规定了以下参加黑手党类型组织的犯罪:
For the act of participating in the association alone, the punishment shall be a term of imprisonment of one to five years.第416条之二.黑手党类型的团伙
The leaders shall be subject to the same punishment as for the promoters.凡参加三人或多人组成的黑手党类型的团伙者,应判处三年至六年监禁。
If the participants in the association carry out armed raids in the countryside or public roads, the terms of imprisonment shall be of five to fifteen years.凡推动、指挥或组织该团伙者,应判处四至九年监禁。
The punishment shall be increased if the participants in the association are ten or more. Available from www.legislationline.org/documents/section/criminal-codes. Example The Criminal Code 1997 of the Republic of Poland contains provisions on “criminal groups” as follows: Article 258 §1. Whoever participates in an organized group or association having for its purpose the commission of offences shall be subject to the penalty of deprivation of liberty for up to 3 years. §2. If the group or association specified in §1 has the characteristics of an armed organization, the perpetrator shall be subject to the penalty of deprivation of liberty for a term of between 3 months and 5 years. §3. Whoever sets up the group or association specified in §1 or 2 or leads such a group or association shall be subject to the penalty of deprivation of liberty for a term of between 6 months and 8 years. Available from www.legislationline.org/documents/section/criminal-codes/country/10. Example The Criminal Justice Act 2006 of Ireland, as amended in 2009 includes an offence of participating in or contributing to the activity of a criminal organization: Section 72: Offence to participate in, or contribute to, certain activities. (1) A person is guilty of an offence if, with knowledge of the existence of the organization referred to in this subsection, the person participates in or contributes to any activity (whether constituting an offence or not)— (a) intending either to— (i) enhance the ability of a criminal organisation or any of its members to commit, or (ii) facilitate the commission by a criminal organisation or any of its members of, a serious offence, or (b) being reckless as to whether such participation or contribution could either— (i) enhance the ability of a criminal organisation or any of its members to commit, or (ii) facilitate the commission by a criminal organisation or any of its members of, a serious offence. (2) A person guilty of an offence under this section shall be liable on conviction on indictment to a fine or imprisonment for a term not exceeding 15 years or both. (3) The reference in subsection (1) to the commission of a serious offence includes a reference to the doing of an act in a place outside the State that constitutes a serious offence under the law of that place and which act would, if done in the State, constitute a serious offence. (4) In proceedings for an offence under this section it shall not be necessary for the prosecution to prove— (a) that the criminal organisation concerned or any of its members actually committed, as the case may be— (i) a serious offence in the State, or (ii) a serious offence under the law of a place outside the State where the act constituting the offence would, if done in the State, constitute a serious offence, (b) that the participation or contribution of the defendant actually— (i) enhanced the ability of the criminal organisation concerned or any of its members to commit, or (ii) facilitated the commission by it or any of its members of, a serious offence, or凡属下述情况之团伙即为黑手党类型的团伙,即参与者利用该团伙关系的威慑力及由此造成的服从和保持沉默(拒绝作证)的情形实施犯罪,直接或间接获得对经济活动、许可证、授权、公共合同和服务的管理权或任何方式的控制权,或为本人或其他任何人非法盈利或争取好处,或在选举期间图谋阻挠或限制表决自由,或为本人或其他人争取选票。
(c) knowledge on the part of the defendant of the specific nature of any offence referred to in subsection (1)(a) or (b).如果该团伙属于有武装之类的团伙,在第1款情形下,应判处四至十年监禁,在第2款情形下,应判处五至十五年监禁。
For further information, please see www.irishstatutebook.ie/pdf/2009/en.act.2009.0032.pdf.凡属下述情况之团伙即为武装团伙,即参与者为实现团伙目的而拥有枪支或炸药,即使此类枪支或炸药藏匿或存放于他处。
Article 8. Aiding, abetting, organizing or directing a serious crime如果团伙参与者期望实现或维护其控制权的经济活动完全或部分由刑事犯罪的价款、产品或所得资助,上述各款所提及的惩处应增加三分之一至二分之一。
1. A person who intentionally organizes, directs, aids, abets, facilitates, counsels or procures the commission of a serious crime involving an organized criminal group commits an offence.对被判刑者应没收其用来和打算用来实施犯罪的物件,以及体现此类犯罪价款、产品或所得或此类犯罪所使用的任何物件。
2. The penalty for organising or directing shall be [insert penalty appropriate for taking a leading role in an offence].这些规定也应适用于卡莫拉党和通过利用团伙关系之威慑力企图实现同黑手党类型团伙相同目的的其他任何团伙,而不论其当地名称如何。
3. The penalty for aiding, abetting, facilitating, counselling or procuring shall be [insert penalty appropriate for taking a support role in an offence].实例
Commentary Mandatory. Source: Organized Crime Convention, article 5, paragraph 1 (b). An offence of this nature is intended to ensure, for example, the liability of leaders of criminal organizations who give the orders but do not engage in the commission of the actual crimes themselves. It is important to note that article 5, paragraph 1 (b), extends to any serious crime involving an organized criminal group. This offence could apply, for example, to a person who organizes a homicide or other serious crime involving an organized criminal group. Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 25.《意大利刑法典》对实施犯罪的团伙进行了规定:
Article 5 has to be read together with article 11, paragraph 1, which provides that offences established in accordance with article 5, among other articles, must be liable to sanctions that take into account the gravity of the offence.第416条. 实施犯罪的团伙
Furthermore, article 5 should be read together with article 26, paragraphs 2 and 3. States may want to consider mitigating sentences or granting immunity from prosecution or leniency to those who cooperate with the authorities. This is optional and dependent on the State’s legal tradition.凡三人或多人为实施一项以上犯罪结成团伙者,结成团伙之促进者、创建者或组织者应为此判处三至七年监禁。
Ibid., pp. 93-94.对于参与该团伙的行为,应单独判处一至五年监禁。
Drafters may want to make a separate provision for “organizing and directing” as distinct from “aiding and abetting”, as these may have different levels of culpability. It is also important for drafters to consider if a provision already exists in general laws for covering those who organize, direct, aid, abet, facilitate or counsel the commission of a crime.首领应受到与推动者同样的处罚。
Example Criminal Code (R.S.C., 1985) — Canada Instructing commission of offence for criminal organization 467.13 (1) Every person who is one of the persons who constitute a criminal organization and who knowingly instructs, directly or indirectly, any person to commit an offence under this or any other Act of Parliament for the benefit of, at the direction of, or in association with, the criminal organization is guilty of an indictable offence and liable to imprisonment for life. Prosecution (2) In a prosecution for an offence under subsection (1), it is not necessary for the prosecutor to prove that (a) an offence other than the offence under subsection (1) was actually committed; (b) the accused instructed a particular person to commit an offence; or (c) the accused knew the identity of all of the persons who constitute the criminal organization. See http://laws-lois.justice.gc.ca/eng/acts/C-46/page-221.html#docCont. Example如果团伙参与者在农村或公路上进行武装抢劫,则应判处五至十五年监禁。
The Australian Criminal Code Act (Commonwealth) includes offences relating to “supporting” a criminal organization. This may be relevant to the requirement to cover “facilitation” of the commission of a serious crime, as per article 5, paragraph 1 (b), of the Organized Crime Convention:如果团伙参与者达十人或十人以上,则应加重处罚。
390.4 Supporting a criminal organisation (1) A person commits an offence if: (a) the person provides material support or resources to an organisation or a member of an organisation; and (b) either: (i) the provision of the support or resources aids; or (ii) there is a risk that the provision of the support or resources will aid; the organisation to engage in conduct constituting an offence against any law; and (c) the organisation consists of 2 or more persons; and (d) the organisation’s aims or activities include facilitating the engagement in conduct, or engaging in conduct, constituting an offence against any law that is, or would if committed be, for the benefit of the organisation; and (e) the offence against any law mentioned in paragraph (d) is an offence against any law punishable by imprisonment for at least 3 years; and (f) the offence against any law mentioned in paragraph (b) is a constitutionally covered offence punishable by imprisonment for at least 12 months. Penalty: Imprisonment for 5 years. (2) Absolute liability applies to paragraphs (1)(e) and (f).可查阅www.legislationline.org/documents/section/criminal-codes。
Note: For absolute liability, see section 6.2.实例
(3) To avoid doubt, a person may be convicted of an offence against subsection (1) because of a risk that the provision of the support or resources will aid the organisation as described in paragraph (1)(b) even if the provision of the support or resources does not actually aid the organisation in that way.《波兰共和国1997年刑法典》对“犯罪集团”的规定如下:
Article 9. Proof of intention through circumstantial evidence第258条
For offences under this chapter, the knowledge, intention, aim, purpose or agreement referred to in each offence may be inferred from objective factual circumstances.§1.凡参加以实施犯罪为目的之有组织集团或团伙者,应受到剥夺自由达3年的处罚。
Commentary§2.如果第1款规定之集团或团伙具有武装组织的特征,行为人应受到剥夺自由3个月至5年的处罚。
Optional. Source: Organized Crime Convention, article 5, paragraph 2. In some legal systems, it may already be clear from existing national laws on evidence (or criminal procedure) that circumstantial evidence can be drawn upon to prove mental elements such as intention. However, if this is not already well established in the legal system, then States parties are required to ensure that this principle applies. Examples Criminal Justice Act 1967 (United Kingdom), Section 8 — Proof of criminal intent A court or jury, in determining whether a person has committed an offence, (a) shall not be bound in law to infer that he intended or foresaw a result of his actions by reason only of its being a natural and probable consequence of those actions; but (b) shall decide whether he did intend or foresee that result by reference to all the evidence, drawing such inferences from the evidence as appear proper in the circumstances. Section B. Offences related to obstruction of justice Article 10. Obstruction of justice A person who, in a proceeding in relation to any offence covered by these model legislative provisions, uses force, threats or intimidation or promises, offers or gives any undue gift, concession or other advantage to:§3.建立第1款或第2款规定之集团或团伙者或领导此类集团或团伙者,应受到剥夺自由6个月至8年的处罚。
(a) Induce false testimony;可查阅www.legislationline.org/documents/section/criminal-codes/country/10。
(b) Interfere in the giving testimony or production of evidence;实例
(c) Or otherwise interfere with duties of law enforcement, prosecution or judicial authorities in the course of justice;《爱尔兰2006年刑事司法法》(2009年修订)规定了参加或协助犯罪组织活动的犯罪:
commits an offence punishable by [insert the penalty sufficient to take into account the gravity of the offence].第72条:
Commentary参加或协助某些活动的犯罪。
Mandatory.(1) 凡明知存在本款所述之组织仍参与或协助任何活动(不论活动是否构成犯罪)而有下列情形者,即属犯罪——
Source: Organized Crime Convention, article 23.(a) 有下述任一项目的——
Article 23 requires States parties to criminalize conduct involving the obstruction of justice. As noted in the Legislative Guides, the reference to a “proceeding” in article 23, subparagraph (a), is intended to cover all official governmental proceedings, which may include the pretrial stage of a case. In other words, States parties are under an obligation to criminalize conduct that involves obstructing justice in the trial phase, but also in the pretrial phase, which could include obstructing an investigation.
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 92.提升犯罪组织或其任何成员实施犯罪的能力,或
As noted in the Legislative Guides, States parties to the Organized Crime Convention are required to ensure that national laws giving effect to article 23 apply to obstructing the course of justice in all proceedings related to offences covered by the Convention. As such, national laws implementing subparagraphs (a) and (b) of article 23 must apply to obstructing justice in relation to:
(a) The offences established in accordance with articles 5, 6, 8 and 23 of the Convention;为犯罪组织或其任何成员实施严重犯罪提供便利,或
(b) Other serious crimes established by the States parties concerned;(b) 未考虑此类参与或协助是否可能造成下述任一项结果——
(c) Offences established in accordance with any of the three Protocols to which the States parties concerned are also parties.
Ibid., pp. 92-93.提升犯罪组织或其任何成员实施犯罪的能力,或
Article 23 has to be read together with article 11, paragraph 1, which provides that offences established in accordance with article 23, among other articles, must be liable to sanctions that take into account the gravity of the offence.
Furthermore, article 11, paragraph 1, should be read together with article 26, paragraphs 2 and 3. States may want to consider mitigating sentences or granting immunity from prosecution or leniency to those who cooperate with the authorities. This is optional and dependent on the State’s legal tradition.为犯罪组织或其任何成员实施严重犯罪提供便利。
Ibid., pp. 93-94.(2) 凡依本条属犯罪者,一经循公诉程序定罪,应处以罚款或判处不超过15年监禁,或两者并罚。
The drafting option provided here is intended to provide coverage of situations involving intimidation of jurors, court reporters, translators and others who may be associated with the administration of justice, such as reporters who uncover a story.(3) 第(1)款所述实施严重犯罪包括在本国以外实施的、根据当地法律构成严重犯罪而且如果在本国实施也构成严重犯罪的行为。
It is important to realize that the drafting option provided here, to respond to the obligation to criminalize obstruction of justice, will likely need to be supplemented by other related offences, such as perjury (which may already exist in many legal systems), or giving false testimony or taking other steps to manipulate or influence the course of justice.(4) 依本条起诉犯罪时,起诉无须证明——
Depending on whether or not the term is already sufficiently clear in national law, it may be necessary to further define “undue advantage”. The concept of “undue advantage” also appears in the United Nations Convention against Corruption. The Legislative Guide for the Implementation of the United Nations Convention against Corruption notes that “an undue advantage may be something tangible or intangible, whether pecuniary or non-pecuniary”.(a) 有关犯罪组织或其任何成员事实上实施了(视情况)——
The Legislative Guide further notes that:㈠ 本国规定的严重犯罪,或
The undue advantage does not have to be given immediately or directly to a public official of the State. It may be promised, offered or given directly or indirectly. A gift, concession or other advantage may be given to some other person, such as a relative or political organization. Some national legislation might cover the promise and offer under provisions regarding the attempt to commit bribery. When this is not the case, it will be necessary to specifically cover promising (which implies an agreement between the bribe giver and the bribe taker) and offering (which does not imply the agreement of the prospective bribe taker). The undue advantage or bribe must be linked to the official’s duties.
Legislative Guide for the Implementation of the United Nations Convention against Corruption (United Nations publication, Sales No. E.06.IV.16), para. 197.本国以外某地法律规定的严重犯罪而且构成犯罪之行为如果发生在本国亦构成严重犯罪,
Table 4(b) 被告的参与或协助事实上——
Elements of the offence specified in article 23 of the United Nations Convention against Transnational Organized Crime
Article of the United Nations Convention against Transnational Organized Crime提升了犯罪组织或其任何成员实施犯罪的能力,或
Physical element
Corresponding fault elements为犯罪组织或其任何成员实施严重犯罪提供了便利,或 (c) 被告明知第(1)款(a)或(b)项所述任何犯罪之具体性质。 有关更多信息,见www.irishstatutebook.ie/pdf/2009/en.act.2009.0032.pdf。 第8条. 协助、教唆、组织或指挥严重犯罪 1. 凡故意组织、指挥、协助、教唆、便利、参谋或导致实施涉及有组织犯罪集团的严重犯罪者,即属犯罪。 2. 对组织或指挥的处罚应为[插入考虑了在犯罪中的领导作用的适当处罚]。 3. 对协助、教唆、便利、参谋或导致的处罚应为[插入考虑了在犯罪中的辅助作用的适当处罚]。 评注 强制性条文。 来源:《有组织犯罪公约》第5条第1款(b)项。 确立这一性质的犯罪旨在确定发布命令但本人并不实施实际犯罪的犯罪组织首领所负的责任。须注意的是,第5条第1款(b)项的适用范围延伸到了涉及有组织犯罪集团的任何严重犯罪。这一犯罪可适用于,例如,杀人或涉及有组织犯罪集团的其他严重犯罪的组织者。 《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第25页。 第5条须结合第11条第1款解读。此款规定,除其他条款外,根据第5条确立的犯罪须受到考虑犯罪严重性的制裁。 此外,第5条还应结合第26条第2和3款解读。各国不妨考虑对与当局配合者减轻处罚或允许免予起诉或从宽处理。此为选择性条文,依本国法系而定。 同上,第93-94页。 起草人不妨针对“组织和指挥”制订一个独立条款,区别于“协助及教唆”,因为这些行为的有罪程度可能各不相同。起草人还须考虑一般法中是否已存在涵盖组织、指挥、协助、教唆、便利或参谋实施犯罪者的条款。 实例 《刑法典》(R.S.C.,1985年)——加拿大 指示犯罪组织实施犯罪 467.13 (1) 凡系犯罪组织的组织者之一并为犯罪组织的利益、在犯罪组织的指挥下或勾结犯罪组织明知故犯地直接或间接指示任何人实施本法和任何其他国会法令所规定犯罪者,均犯有可公诉罪,并且可判处终身监禁。 起诉 (2) 依第(1)款起诉犯罪时,检察官无须证明 (a) 实际实施了第(1)款规定犯罪以外的犯罪; (b) 被告指示某人实施犯罪;或 (c) 被告明知犯罪组织所有成员的身份。 见http://laws-lois.justice.gc.ca/eng/acts/C-46/page-221.html#docCont。 实例 《澳大利亚刑法典》(英联邦)规定了有关“支持”犯罪集团的犯罪。这可能关乎根据《有组织犯罪公约》第5条第1款(b)项涵盖“便利”实施严重犯罪的要求: 390.4 支持犯罪组织 (1) 凡有下列情形者即属犯罪: (a) 向某个组织或组织成员提供物质支助或资源者;及 (b) 或者: ㈠ 提供支助或资源协助;或 ㈡ 提供支助或资源有可能会起到协助作用; 该组织从事违法犯罪行为;及 (c) 该组织由两人或多人组成;而且 (d) 该组织的目标或活动包括为从事违法犯罪行为提供便利,或从事此等行为,而实施此等行为之目的是为了该组织的利益;且 (e) 第(d)款所述之违法犯罪系可判处至少3年监禁的违法犯罪;且 (f) 第(d)款所述之违法犯罪系宪法涵盖的、可判处至少12个月监禁的犯罪。 处罚:五年监禁。 (2) 绝对赔偿责任适用于第(1)款(e)和(f)项。 注:有关绝对赔偿责任,见第6.2条。 (3) 为避免疑问,即便支助或资源的提供实际上并未协助该组织,如第(1)款(b)项所述,由于支助或资源的提供有可能协助该组织,提供者仍可被判犯有第(1)款所述犯罪。 第9条. 间接证据证明犯罪意图 对于本章所述犯罪,各犯罪中提到的明知、故意、目标、目的或约定可以从客观实际情况推定。 评注 选择性条文。 来源:《有组织犯罪公约》第5条第2款。 在有些法律体系中,有关证据(或刑事诉讼)的现有国家法律可能已明确规定,可利用间接证据证明犯罪意图等心理因素。但如果法律体系中尚无此等规定,那么缔约国须确保这一原则的适用。 实例 《1967年刑事司法法》(联合王国)第8条——犯罪意图的证明 法庭或陪审团在决定一个人是否犯罪时, (a) 不得仅仅因为某一行为后果系该等行为之自然和可能的后果而必然地从法律上推断其企图达成或预见其行动之结果;而 (b) 须参考所有证据并根据证据合理推理,决定其是否企图达成或预见到此结果。 第B节. 妨害司法行为相关的犯罪 第10条. 妨害司法 在本示范立法条文所涵盖任何犯罪有关的诉讼中,凡为下述目的而使用暴力、威胁或恐吓,或许诺、提议给予或给予任何不当馈赠、特许或其他好处者,即属犯罪,可处以[插入充分考虑犯罪严重性的处罚]: (a) 诱使提供虚假证言; (b) 干扰证言或证据的提供; (c) 或以其他方式干扰执法、起诉或司法机关在司法过程中履行职责; 评注 强制性条文。
Art. 23, subpara. (a)来源:《有组织犯罪公约》第23条。
Use force, threat, intimidation or promise, offer or give an undue advantage to a person.第23条要求各缔约国将妨害司法的行为定为刑事犯罪。如《立法指南》所指出,第23条(a)项提及“诉讼”一词意在涵盖所有正式的政府诉讼,可包括案件的预审阶段。换言之,各国有义务将妨害司法的行为定为刑事犯罪,不仅是审判阶段的此等行为,而且包括预审阶段的此等行为,其中可能包括妨碍调查的行为。
The conduct is intentional and undertaken to induce false testimony, or to interfere in giving of testimony, or the production of evidence, in relation to a proceeding for a Convention offence. Art. 23, subpara. (b)《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第92页。
Use of force, threats or intimidation.如《立法指南》所指出,《有组织犯罪公约》各缔约国须确保执行第23条的国家法律适用于《公约》所涵盖犯罪有关的所有法律程序中妨碍司法公正的行为。因此,执行第23条(a)和(b)项的国家法律须适用于以下各类犯罪相关的妨碍司法公正的行为:
The conduct is intentional and undertaken in order to interfere with conduct of duties of law enforcement, prosecution or judicial authorities in relation to a Convention offence.(a) 依照《公约》第5条、第6条、第8条和第23条确立的犯罪;
Example(b) 有关缔约国确立的其他严重犯罪;
The following offences are found in the Criminal Code of Brazil, Title Xi — Crimes against the Public Administration, chapter Iii — Crimes against the Administration of Justice:(c) 依照有关缔约国签署的三项议定书之任何一项确立的犯罪
Unofficial translation.同上,第92-93页。
Article 343. To give, to offer or promise money or any other advantage to a witness, expert, accountant, translator or interpreter, for them to give false testimony, to deny the truth or not to tell the truth in a hearing, expert report, calculations, translation or interpretation:第23条须结合第11条第1款解读,其中规定,除其他条款外,根据第23条确立的犯罪须受到考虑犯罪严重性的制裁。
Penalty — imprisonment for a term of three up to four years, and a fine.此外,第11条第1款还应结合第26条第2和3款解读。各国不妨考虑对与当局配合者减轻处罚或允许免予起诉或从宽处理。此为选择性条文,依本国法系而定。
The penalties will be increased from one sixth up to one third if the crime is committed with the intent to obtain evidence to be used in a criminal procedure or in a civil procedure in which one litigant is the public administration.同上,第93-94页。
Constraint in the course of a proceeding这里提供的备选案文旨在涵盖涉及恐吓陪审员、法庭记者、笔译员和与司法行政相关的其他人,如揭示事件的记者等情况。
Article 344. To use violence or to threaten severely, with the intent to satisfy self or someone else’s interest, against authority, part (litigant) or any other person who serves or is called to serve in a judicial proceeding, police investigation, administrative proceeding or arbitration.重要的是要意识到,这里的备选案文是针对将妨碍司法定为刑事犯罪的义务,很可能需要以其他相关犯罪的规定为补充,如伪证(许多法律体系中可能已经存在),或作伪证或采取其他措施来操纵或影响司法公正。
Penalty — imprisonment, for a term of one up to four years, and a fine, plus the penalty that corresponds to the violence.可能有必要进一步定义“不正当好处”这一术语,这取决于国家法律的定义是否已足够清楚。《联合国反腐败公约》也有“不正当好处”这一概念。《联合国反腐败公约实施立法指南》指出,“不正当好处可以是有形的或无形的,金钱上的或非金钱上的”。
Procedural fraud《立法指南》进一步指出:
Article 347. To change artificially, during a civil or administrative proceeding, the state of a place, a thing or a person, in order to mislead the judge or the expert.不正当好处不一定是立即或直接给予国家公职人员的。可以是直接或间接承诺给予、提议给予或实际给予的。礼物、特许或其他好处可以是给另外某人的,如亲属或政治组织。一些国家立法中关于实施贿赂企图的条款可能涵盖了承诺和提议。若非如此,则有必要特别涵盖承诺(意指行贿者和受贿者之间的约定)和提议(不表示预期受贿者同意)。不正当好处或贿赂必须与该官员的职责有关联。
Penalty — imprisonment, from a term of three months up to two years, and a fine.《联合国反腐败公约实施立法指南》(联合国出版物,出售品编号:E.06.IV.16),第197段。 表4 《联合国打击跨国有组织犯罪》第23条规定的犯罪要素 《联合国打击跨国有组织犯罪公约》条款 物质要素 相应的心理要素 第23条(a)项 对一个人使用暴力、威胁或者恐吓,或者许诺、提议给予或者实际给予不正当好处。 该行为系故意所为,目的是就《公约》所涵盖犯罪之诉讼诱使提供虚假证言,或干扰证言或证据的提供。 第23条(b)项 使用暴力、威胁或者恐吓。 该行为系故意所为,目的是干扰执法、起诉或司法机关就《公约》所涵盖犯罪履行职责。 实例 《巴西刑法典》第十一编(危害公共管理罪)第三章(危害司法公正罪): 非官方翻译。 第343条. 给予、提议给予或许诺给予证人、专家、会计师、笔译员或口译员金钱或其他任何好处,让其在审讯、专家报告、计算、笔译或口译中提供虚假证词、否认事实,或不说实话: 处罚——三至四年监禁和罚款。 如果实施犯罪的意图是在其中一方当事人系公共行政当局的刑事诉讼或民事诉讼中取得证据,那么处罚将加重六分之一到三分之一。 诉讼过程中的限制。 第344条. 为了自己或他人利益,针对当局、一方(当事人)或从事或受命从事司法程序、警方调查、行政诉讼或仲裁工作的任何其他人使用暴力或严重威胁。 处罚——一至四年监禁和罚款,加上针对暴力行为的处罚。
If the alteration is intended to take effect in a criminal proceeding, even if it is still not initiated, the penalties shall be doubled.诉讼欺诈
Example第347条. 在民事或行政诉讼期间,为了误导法官或专家,人为地改变一个地方、一件事或一个人的状态。
The following offences are found in the Criminal Code, R.S.C. 1985, c C-46, of Canada:处罚——三个月至两年监禁和罚款。
Article 423. Intimidation如果这种改变的目的是为了影响刑事诉讼,即使尚未启动,仍应加倍处罚。
423.1实例 《加拿大刑法典》(R.S.C. 1985年,c.C-46)规定了如下犯罪: 第423条.恐吓 423.1
(1) No person shall, without lawful authority, engage in conduct referred to in subsection (2) with the intent to provoke a state of fear in:(1) 未经合法授权,任何人均不得为了引起下列对象之恐惧而从事第(2)款所述之行为:
(a) a group of persons or the general public in order to impede the administration of criminal justice;(a)
(b) a justice system participant in order to impede him or her in the performance of his or her duties; or人群或公众,目的是妨碍刑事司法行政;
(c) a journalist in order to impede him or her in the transmission to the public of information in relation to a criminal organization.(b) 司法系统参与者,目的是妨碍其履行职责;或
(2) The conduct referred to in subsection (1) consists of:(c)
(a) using violence against a justice system participant or a journalist or anyone known to either of them or destroying or causing damage to the property of any of those persons;记者,目的是妨碍其向公众传递有关犯罪组织的信息。
(b) threatening to engage in conduct described in paragraph (a) in Canada or elsewhere;(2) 第(1)款所述行为包括: (a) 针对司法系统参与者或记者或他们所认识的任何人使用暴力,或者损毁或导致损害其中任何人之财产;
(c) persistently or repeatedly following a justice system participant or a journalist or anyone known to either of them, including following that person in a disorderly manner on a highway;(b) 威胁在加拿大或其他地方从事(a)项所述行为;
(d) repeatedly communicating with, either directly or indirectly, a justice system participant or a journalist or anyone known to either of them; and(c) 持续或反复跟踪司法系统参与者或记者或他们所认识的任何人,包括以妨碍治安的方式在公路上跟踪;
(e) besetting or watching the place where a justice system participant or a journalist or anyone known to either of them resides, works, attends school, carries on business or happens to be.(d) 直接或间接与司法系统参与者或记者或他们所认识的任何人反复沟通;及
(3) Every person who contravenes this section is guilty of an indictable offence and is liable to imprisonment for a term of not more than fourteen years.(e) 围攻或监视司法系统参与者或记者或他们所认识的任何人之居住、工作、上学、经营业务或碰巧所在之处所。
See http://laws-lois.justice.gc.ca/eng/acts/C-46/page-192.html#docCont.(3) 凡违反本条者,即犯有可公诉罪,可判处不超过十四年监禁。
Example见http://laws-lois.justice.gc.ca/eng/acts/C-46/page-192.html#docCont。
The following offences are found in the French Penal Code:实例
Penal Code article 434-8 (Ordinance no. 2000-916 of 19 September 2000, article 3, Official Journal of 22 September 2000, entry into force 1 January 2002)《法国刑法典》规定了如下犯罪:
Any threat or any intimidation directed against a judge or prosecutor, a juror or any other member of a court, an arbitrator, an interpreter, an expert or the advocate of a party, with a view to influencing his behaviour in the discharge of his office, is punished by three years’ imprisonment and a fine of €45,000.《刑法典》第434-8条(2000年9月19日第2000-916号条例第3条,2000年9月22日《公报》,2002年1月1日生效)
Article 433-3 The threat to commit an offence against persons or property made to a magistrate, a juror, a lawyer, a member of Gendarmerie Nationale, an officer belonging to the National Police, to the Customs Offices, or the Penitentiary Administration or to any person vested of public authority, while on duty or because of his duty, if his position is known by the author, is punished by 2 years imprisonment and a fine of €30,000.为影响其履职行为而针对法官或检察官、法院陪审员或任何其他成员、仲裁员、口译员、专家或当事方辩护人的任何威胁或恐吓行为,应判处三年监禁并处以4.5万欧元罚款。
The same penalties are applicable when threats are made to the spouse, ascendants, descendants in direct line of persons mentioned in the two first paragraphs, or to any persons living usually in their home, when those threats are motivated by the duties of these persons.第433-3条 行为人明知其职位而在其上班时或以其职务为由威胁对治安法官、陪审员、律师、国家警察成员、属于国家警察、海关或监狱管理局的高级职员或拥有公共权力之任何人之人身或财产实施犯罪的行为应判处两年监禁并处以3万欧元罚款。
The penalty is brought to five years imprisonment and €75,000 fine when it is a death threat or a threat of attack against property which is dangerous for the persons.因前两款所述人员之职责而针对其配偶、直系长辈或后代或通常与其共同居住之任何人进行威胁者应适用同样的处罚。
Threats, violence or any other act of intimidation used to obtain from a person mentioned in the first or the second paragraph, in order that he accomplish, refrain from accomplishing any part of his duty, mission, mandate or facilitated by his duty, mission, mandate or that he abuse his actual or alleged authority in order to obtain from a public authority or a public administration some honour, employment, public contract or any other favourable decision, is punished by 10 years imprisonment and a fine of €150,000.若为死亡威胁或对当事人非常危险的攻击财产威胁,则判处五年监禁并处以7.5万欧元罚款。
Article 434-15
(Ordinance no. 2000-916 of 19 September 2000, article 3, Official Journal of 22 September 2000 in force 1 January 2002)
 The use of promises, offers, gifts, pressures, threats, acts of violence, manoeuvres or tricks in the course of proceedings or in respect of a claim or defence in court to persuade others to make or deliver a statement, declaration or false affidavit, or to abstain from making a statement, declaration or affidavit, is punished by three years’ imprisonment and a fine of €45,000, even where the subornation of perjury was ineffective.对第一或第二款所述人员使用威胁、暴力或任何其他恐吓行为,让其履行、不履行其职责、使命或任务之任何部分,或利用其职责、使命或任务之便利,或让其滥用其实际或声称享有的权力,以便从公共机关或公共行政牟取某种荣誉、就业、公共合同或其他任何有利决定的行为,应判处十年监禁并处以15万欧元罚款。
Article 434-5
(Ordinance no. 2000-916 of 19 September 2000, article 3, Official Journal of 22 September 2000 in force 1 January 2002)
Any threat or any other intimidation made against any person with a view to persuading the victim of a felony or a misdemeanour not to file a complaint or to retract is punished by three years’ imprisonment and a fine of €45,000.第434-15条 (2000年9月19日第2000-916号条例第3条,2000年9月22日《公报》,2002年1月1日生效)在诉讼过程中或就有关权利主张或法庭辩护,利用许诺、提议给予、赠与、压力、威胁、暴力行为、策略或技俩,说服他人作出或提供陈述、声明或虚假书面证词,或放弃做出陈述、声明或书面证词的行为,即便伪证犯罪教唆无效,仍应判处三年监禁并处以4.5万欧元罚款。
Available from www.legifrance.gouv.fr/Traductions/en-English/Legifrance-translations.第434-5条 (2000年9月19日第2000-916号条例,第3条,2000年9月22日《公报》,2002年1月1日生效)为说服重罪或轻罪受害者不起诉或撤诉而针对任何人实施任何威胁或任何其他恐吓的行为应判处三年监禁并处以4.5万欧元罚款。
Example可查阅www.legifrance.gouv.fr/Traductions/en-English/Legifrance-translations。
The Philippines’ Witness Protection, Security and Benefit Act (Republic Act No. 6981), section 17, Penalty for Harassment of Witness, provides as follows:实例
Any person who harasses a Witness and thereby hinders, delays, prevents or dissuades a Witness from:《菲律宾证人保护、安全和福利法》(共和国第6981号法案)第17条(对骚扰证人的处罚)规定如下:
(a) attending or testifying before any judicial or quasi-judicial body or investigating authority;凡骚扰证人并借此妨碍、延误、防止或劝阻证人进行下列行为者,应处以不超过三千比索(P3,000.00)罚款或判处六(6)个月至一(1)年监禁,或两者并罚;行为人系公职人员者,则应同时处以永久剥夺担任公职资格的处罚:
(b) reporting to a law enforcement officer or judge the commission or possible commission of an offense, or a violation of conditions or probation, parole, or release pending judicial proceedings;(a) 到任何司法​​或准司法机构或调查机关露面或作证;
(c) seeking the arrest of another person in connection with the offense;(b) 向执法人员或法官报告实施或可能实施犯罪的情况,或违反缓刑、假释或待决司法程序期间释放条件的情况;
(d) causing a criminal prosecution, or a proceeding for the revocation of a parole or probation; or(c) 试图让犯罪所涉另一人被捕;
(e) performing and enjoying the rights and benefits under this Act or attempts to do so, shall be fined not more than Three thousand pesos (P3,000.00) or suffer imprisonment of not less than six (6) months but not more than one (1) year, or both, and he shall also suffer the penalty of perpetual disqualification from holding public office in case of a public officer.(d) 招致刑事诉讼,或要求撤销假释或缓刑的诉讼;或
Section C. Penalties and sentencing considerations(e) 行使和享受本法规定之权利和利益,或试图这样做。
Article 11.第C节.
Penalties and sentencing considerations处罚和量刑考虑
1.第11条.
In sentencing a person convicted of an offence to which these model legislative provisions apply, a court may take into account the following:处罚和量刑考虑
(a) Any previous convictions for [an offence covered under these model legislative provisions] [or serious crime] in another [State];1. 对已判定犯有本示范立法条文所适用犯罪之被定罪人判刑时,法院可考虑以下几点:
(b) Whether the person has voluntarily cooperated by providing information or otherwise assisted law enforcement authorities to investigate and prosecute other offences to which this law applies.(a) 在另一[国家]犯有[本示范立法条文所涵盖犯罪][或严重犯罪]的任何前科;
2. Upon conviction for an offence that these model legislative provisions apply to, in addition to any other penalty provided in this or any other law or enactment, the judge can make an order in relation to any of the measures listed below:(b) 被定罪人是否自愿合作,提供信息或以其他方式协助执法部门进行调查和起诉此法所适用之其他犯罪。
(a) Prohibiting the exercise, directly or indirectly, of one or more social or professional activities [permanently] [for a maximum period of [...] years], including with regard to occupying a public office;2. 本示范立法条文所适用犯罪一经定罪,除本法或任何其他法律或法令规定之任何其他处罚外,法官可就下列任何措施签发命令:
(b) Exclusion from public bidding [and/or] from entitlement to public benefits or aid;(a) [永久][最长[...]年内]禁止直接或间接从事一项或多项社会或专业活动,包括在担任公职方面;
(c) [Temporary] [permanent] disqualification from participation in public procurement;(b) 剥夺公开投标[和/或]获得公共福利或援助的权利;
(d) [Temporary] [permanent] disqualification from acting as a director of legal persons incorporated in [insert name of State];(c) [临时][永久]剥夺参与公共采购的资格;
(e) [Temporary] [permanent] disqualification from practice of other commercial activities;(d) [临时][永久]剥夺担任在[插入国家名称]注册成立之法人主管的资格;
(f) [Temporary] [permanent] disqualification from practice as a lawyer, notary public, tax consultant or accountant;(e) [临时][永久]剥夺开展其他商业活动的资格;
(g) Publicizing the decision;(f) [临时][永久]剥夺作为律师、公证人、税务顾问或会计师执业的资格;
(h) [Any other non-custodial measures as appropriate].(g) 公开此决定;
3. The provisions of this article shall be without prejudice to the criminal liability of legal persons who have violated the criminal provisions of these model legislative provisions.(h) [酌情采取任何其他非监禁措施]。
Commentary3. 本条规定不影响触犯本示范立法条文刑事条款之法人刑事责任。
Optional.评注
Source: Organized Crime Convention, articles 11, paragraph 1; 22; 26, paragraphs 1 and 2; and 31, paragraph 2.选择性条文。
As noted in the Legislative Guides, offences should be subject to penalties that take into account the grave nature of the offence (Organized Crime Convention, art. 11, para. 1). States may want to consider mitigating sentences or granting immunity from prosecution or leniency to those who cooperate with the authorities (Organized Crime Convention, art. 26, paras. 2 and 3). This is optional and dependent on the State’s legal tradition.来源:《有组织犯罪公约》第11条第1款;第22条;第26条第1和2款;及第31条第2款。
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 93-94.如《立法指南》所指出,犯罪应受到考虑犯罪严重性的处罚(《有组织犯罪公约》第11条第1款)。各国不妨考虑对与当局配合者减轻处罚或允许免予起诉或从宽处理(《有组织犯罪公约》第26条第2和3款)。此为选择性条文,依本国法系而定。
Article 31 requires States parties to endeavour, in accordance with fundamental principles of their domestic law, to reduce the opportunity for organized criminal groups to participate in lawful markets. Article 31, paragraph 2, provides that these measures should focus on, among other things: preventing the misuse of public tender proceedings; the prevention and misuse of legal persons; and the disqualification of persons convicted of Convention offences from acting as directors of legal persons incorporated in their jurisdiction.《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第93-94页。
The obligation in article 22 is permissive. The obligation in article 26, paragraph 1, is mandatory, but the manner in which it can be achieved is discretionary. The obligation in article 26, paragraph 2, is to “consider” providing for the possibility of sentence mitigation, in appropriate cases.第31条要求各缔约国应根据其本国法律基本原则,努力减少有组织犯罪集团参与合法市场的机会。第31条第2款规定,除其他外,这些措施应着重于:防止对公共招标程序作不正当利用;防止对法人作不正当利用;剥夺被判定犯有本《公约》所涵盖犯罪的人担任在其管辖范围内所成立法人主管之资格。
Example第22条义务系任选义务。第26条第1款义务系强制性义务,但履行方式可自行酌定。第26条第2款旨在“考虑”规定视情况减刑的可能性。
The Criminal Justice Act 2003 (United Kingdom), section 143 provides as follows:实例
(2) In considering the seriousness of an offence (“the current offence”) committed by an offender who has one or more previous convictions, the court must treat each previous conviction as an aggravating factor if (in the case of that conviction) the court considers that it can reasonably be so treated having regard, in particular, to—《2003年刑事司法法》(联合王国)第143条规定如下:
(a) the nature of the offence to which the conviction relates and its relevance to the current offence, and(2) 在考虑有一项或多项前科之罪犯所犯罪行(“现罪”)严重性时,法院须将每一前科作为一项加重刑罚的因素,前提是(就那一项定罪)法院具体考虑到以下因素而认为如此处理非常合理:
(b) the time that has elapsed since the conviction.(a) 定罪所涉犯罪之性质及其与现罪之相关性,及
[...](b) 定罪距现在的时间。
(4) Any reference in subsection (2) to a previous conviction is to be read as a reference to—[...]
(a) a previous conviction by a court in the United Kingdom;(4) 第(2)款提到的任何前科均应解读为—
(aa) a previous conviction by a court in another member State of a relevant offence under the law of that State(a) 联合王国法院以前的定罪;
Example(aa) 另一会员国法院根据本国法律以前对有关犯罪的定罪。
The French Penal Code provides as follows:实例
Article 450-5《法国刑法典》规定如下:
(Inserted by Act no. 2004-204 of 9 March 2004, article 6 XV, Official Journal of 10 March 2004)第450-5条
Natural and legal persons convicted of the offences set out under the second paragraph of article 450-1 and article 450-2-1 also incur the additional penalty of confiscation of all or part of their assets, whatever their nature, movable or immovable, severally or jointly owned.(按2004年3月9日第2004-204号法案第6XV条插入,2004年3月10日《公报》)
For further information, please see http://195.83.177.9/code/liste.phtml?lang=uk&c=33&r=3849#art16761.被判定犯有第450-1条第二款和第450-2-1条规定犯罪之自然人和法人还应受到没收其全部或部分资产之附加处罚,而不管资产之性质,不管是动产还是不动产,是单独还是共同拥有。
Article 12. Liability of legal persons有关更多信息,请见http://195.83.177.9/code/liste.phtml?lang=uk&c=33&r=3849#art16761。
1.第12条.
Any legal person, other than the State, on whose behalf or for whose benefit an offence under these model legislative provisions has been committed by any natural person, acting either individually or as part of an organ of the legal person, who has a leading position within it, based on a power of representation of the legal person, an authority to take decisions on behalf of the legal person, or an authority to exercise control within the legal person, acting in such capacity, shall be punished by a fine of an amount equal to [indicate multiplier] times the fines specified for natural persons, irrespective of the conviction of those individuals as perpetrators of or accomplices to the offence.法人责任
2.1.
The following measures may be imposed on a legal person if there is criminal liability of directors, servants or agents acting within their authority:如果在任何法人机构(除国家外)担任领导职务的任何自然人根据法人代表权、代表法人决策之权力或在法人内部实施控制之权力在此等权力范围内行事时,单独或作为法人机构之一部分而代表法人或为其利益犯下了本示范立法条文规定之犯罪,那么此法人应受到等同于针对自然人规定罚款之[指明倍数]倍的罚款,而不管此等个人被定罪为犯罪之行为人还是共犯。
(a) If the activity of the legal person was entirely or predominantly used for the carrying out of criminal offences or if the legal person was created to commit an offence under these model legislative provisions, order that the legal person be dissolved;2. 如果法人主管、雇员或代理在其授权范围内行事而带来了刑事责任,则可对法人采取以下措施:
(b) Prohibit the exercise, whether directly or indirectly, of one or more social or professional activities [permanently] [for a maximum period of ... years];(a) 如果法人活动完全或主要用于开展刑事犯罪或法人成立之目的就是为了实施本示范立法条文规定之犯罪,则下令解散该法人;
(c) Order the [temporary] [permanent] closure of the establishment, or one or more of the establishments, of the legal person that was used to commit the offences in question;(b) [永久][最长[...]年内]禁止直接或间接从事一项或多项社会或专业活动;
(d) Make an order that the legal person be excluded from public bidding [and/or] from entitlement to public benefits or aid;(c) 下令[临时][永久]关闭用于实施有关犯罪之法人机构,或其一个或多个机构;
(e) Order the disqualification of the legal person from participation in public procurement whether on a temporary or permanent basis;(d) 下令剥夺该法人之公开投标[和/或]获得公共福利或援助的权利;
(f) Disqualify the legal person from the practice of other commercial activities [and/or] from the creation of another legal person;(e) 下令临时或永久剥夺该法人参与公共采购的资格;
(g) Order the legal person to publish the judgement by the court;(f) 剥夺该法人开展其他商业活动[和/或]设立另一法人的资格;
(h) [Make such further orders as it considers just].(g) 命令该法人公布法院判决;
3. The liability of any legal person does not preclude that of the natural person.(h) [发布其认为公正的其他此类命令]。
Commentary3. 任何法人的此项责任均不排除该自然人的责任。
Liability of legal persons is a mandatory provision but may be covered through civil or administrative liability. In other words, criminal liability of legal persons is not a mandatory requirement.评注
Source: Organized Crime Convention, article 10.法人责任属于强制性规定,但可涵盖在民事或行政责任之内。换言之,法人刑事责任为非强制性要求。
Those involved in transnational organized crime may seek to hide behind the cover of legal persons, such as companies, charities or other associations. As noted in the Legislative Guides, this can present serious challenges to criminal justice efforts to counter transnational crime:来源:《有组织犯罪公约》第10条。
Complex corporate structures can effectively hide the true ownership, clients or particular transactions related to crimes ranging from smuggling to money-laundering and corrupt practices. Individual executives may reside outside the country where the offence was committed and responsibility for specific individuals may be difficult to prove. Thus, the view has been gaining ground that the only way to remove this instrument and shield of transnational organized crime is to introduce liability for legal entities. Criminal liability of a legal entity may also have a deterrent effect, partly because reputational damage can be very costly and partly because it may act as a catalyst for more effective management and supervisory structures to ensure compliance.参与跨国有组织犯罪者可能会利用法人,如公司、慈善机构或其他团体,来掩盖罪行。如《立法指南》所指出,这可能会给打击跨国犯罪的刑事司法工作带来严峻挑战:
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 116.复杂的公司结构可以有效地掩盖从走私到洗钱和腐败行为的各种犯罪有关的真实所有权、客户或具体的交易。经理个人可能居住在实施犯罪所在国以外,因此很难证明具体个人的责任。所以,越来越多的人认为,消除跨国有组织犯罪的这一工具和保护伞的唯一办法是追究法人的责任。追究法人的刑事责任也可以起到震摄的作用,这部分地是因为名誉上的损害可能是代价非常高昂的,也部分地因为这可能起到催化作用,促使管理和监督结构更加有效以确保遵守。
While there is widespread recognition of the need to ensure that criminals cannot avoid justice by hiding behind legal structures such as companies, States have developed different modalities for ensuring the accountability and the sort of penalties that can be imposed on legal persons.《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第116页。
The Organized Crime Convention recognizes that States have different approaches to the issue of liability of legal persons. The Convention provides that States shall adopt such measures as may be necessary, consistent with its legal principles, to ensure the liability of legal persons for participation in serious crimes involving an organized criminal group and for the commission of the offences established by articles 5, 6, 8 and 23.人们普遍承认需要确保罪犯无法凭借公司等法律实体逃避法律制裁,因此各国制订了不同方式来确保落实问责制和针对法人的处罚。
As provided for in article 10, paragraph 2, of the Organized Crime Convention, the obligation of States parties to ensure liability does not have to involve criminal liability. The obligation can be met through domestic laws imposing criminal, civil or administrative liability. The obligation to ensure liability of legal persons extends to (a) participation in serious crimes involving an organized criminal group; and (b) offences established by States implementing articles 5, 6, 8 and 23; and (c) offences established by States implementing the Protocols to the Convention.《有组织犯罪公约》承认各国可采用不同的方法来处理法人责任问题。《公约》规定,各缔约国均应采取符合其法律原则的必要措施,确定法人参与涉及有组织犯罪集团的严重犯罪和实施根据本《公约》第5条、第6条、第8条和第23条确立的犯罪时应承担的责任。
Ibid., p. 119.如《有组织犯罪公约》第10条第2款规定,缔约国有义务确保责任不一定涉及刑事责任。这些义务可通过落实刑事、民事或行政责任的国家法律来履行。确保法人责任的义务涵盖(a)参与涉及有组织犯罪集团的严重犯罪;及(b)各国实施第5条、第6条、第8条和第23条确立的犯罪;及(c)各国执行《公约》议定书确立的犯罪。
Article 10, paragraph 3, provides that States parties are obliged to ensure that the liability of legal persons is without prejudice to the criminal liability of the natural persons who have committed the offences. As noted in the Legislative Guides:同上,第119页。
The liability of natural persons who perpetrated the acts, therefore, is in addition to any corporate liability and must not be affected at all by the latter. When an individual commits crimes on behalf of a legal entity, it must be possible to prosecute and sanction them both.第10条第3款规定,各缔约国有义务确保,法人责任不应影响实施此种犯罪的自然人的刑事责任。如《立法指南》所指出:
Ibid., p. 120.因此,实施这种行为的自然人的责任是任何公司责任以外的,不应受到后者的任何影响。当一个个人代表法人实施犯罪时,应能对两者进行起诉和制裁。
This is reflected in paragraph 3 of the above draft provision.同上,第120页。
Article 10, paragraph 4, of the Organized Crime Convention provides that States parties shall, in particular, ensure that legal persons held liable in accordance with article 10 are subject to “effective, proportionate and dissuasive criminal or non-criminal sanctions, including monetary sanctions”. This is reflected in the draft article above, which provides that legal persons shall be subject to a fine and a range of other measures that target the operations of legal persons (such as the dissolution of a company).这反映在上述条文草案第3段。
This obligation is in addition to the obligation in article 11, paragraph 1, which applies to both legal and natural persons, to ensure that offences established in accordance with articles 5, 6, 8 and 23 of the Convention are liable to “sanctions that take into account the gravity of that offence”.《有组织犯罪公约》第10条第4款规定,各缔约国均应当特别确保使依照本条负有责任的法人受到“有效、适度和劝阻性的刑事或非刑事制裁,包括金钱制裁”。这反映在上述条文草案中,其中规定,法人须接受罚款和针对法人(如解散公司)运营的一系列其他措施。
Example除第11条第1款适用于法人和自然人的义务之外,本条义务确保根据《公约》第5条、第6条、第8条和第23条确立的犯罪受到“与其严重性相当的制裁”。
The Model Legislation on Money Laundering and Financing of Terrorism of 2005 contains the following provision on the liability of legal persons:实例
Article 5.2.2005年《洗钱和资助恐怖主义问题示范立法》对法人责任规定如下: 第5.2.
5 Penalties applicable to legal persons5条 适用于法人的处罚
(1) Any legal person other than the State on whose behalf or for whose benefit money laundering and financing of terrorism has been committed by any natural person, acting either individually or as part of an organ of the legal person, who has a leading position within it, based on a power of representation of the legal person, an authority to take decisions on behalf of the legal person, or an authority to exercise control within the legal person, acting in such capacity, shall be punished by a fine of an amount equal to [indicate multiplier] times the fines specified for natural persons, irrespective of the conviction of those individuals as perpetrators of or accomplices to the offence.(1) 如果在任何法人机构(除国家外)担任领导职务的任何自然人根据法人代表权、代表法人决策之权力或在法人内部实施控制之权力在此等权力范围内行事时单独或作为法人机构之一部分而代表法人或为其利益进行了洗钱和资助恐怖主义,那么此法人应受到等同于针对自然人规定罚款之[指明倍数]倍的罚款,而不管此等个人被定罪为犯罪之行为人还是共犯。
The liability of the legal person does not preclude that of the natural person.该法人的责任都不排除自然人的责任。
(2) In addition to the cases already provided for in paragraph (1) of this article, a legal person may also be held liable where the lack of supervision or control over a natural person referred to in paragraph (1) has made possible the commission of money laundering or financing of terrorism for the benefit of that legal person by a natural person acting under its authority.(2) 除本条第(1)款已规定情况之外,如果因缺乏对第(1)款所述自然人的监督或管理,使其在授权范围内行事时能够为法人利益而进行洗钱或资助恐怖主义,则亦可对法人追究法律责任。
Legal persons may additionally be:法人此外还可能:
(a) Barred permanently or for a maximum period of [indicate number] years from directly or indirectly carrying on certain business activities;(a) 永久或最长[指明数字]年被禁止直接或间接开展某些商业活动;
(b) Placed under court supervision;(b) 接受法院监管;
(c) Ordered to close permanently or for a period of [indicate number] years their premises which were used for the commission of the offence;(c) 被责令永久关闭其用于实施犯罪的房地或将其关闭[指明数字]年;
(d) Wound up;(d) 被停业;
(e) Ordered to publicize the judgment.(e) 被责令公布判决。
Example实例
Under the French Penal Code, individuals are only criminally liable for their own conduct. However, there are also provisions on corporate liability:根据《法国刑法典》,个人仅对其自身行为负刑事责任。但也有关于法人责任的规定:
Article 121-1第121-1条
No one is criminally liable except for his own conduct.任何人均无须为自身行为以外的原因承担刑事责任。 第121-2条 根据第121-4条和第121-7条规定之区分,法人(除国家外)须对其机构或代表为其实施的犯罪承担刑事责任。 然而,地方公共当局及其关联机构仅对通过公务代表协议开展活动的过程中犯下的罪行承担刑事责任。
Article 121-2根据第121-3条第四款的规定,法人的刑事责任不排除作为同一行为之行为人或共犯的任何自然人之刑事责任。
Legal persons, with the exception of the State, are criminally liable for the offences committed on their account by their organs or representatives, according to the distinctions set out in articles 121-4 and 121-7.第435-6条
However, local public authorities and their associations incur criminal liability only for offences committed in the course of their activities which may be exercised through public service delegation conventions.(2000年6月30日第200-595号法案第2条,2000年7月1日《公报》)
The criminal liability of legal persons does not exclude that of any natural persons who are perpetrators or accomplices to the same act, subject to the provisions of the fourth paragraph of article 121-3.法人可根据第121-2条规定的条件对第435-2条、第435-3条和第435-4条规定的犯罪承担刑事责任。
Article 435-6对法人的处罚包括:
(Act no. 200-595 of 30 June 2000, article 2, Official Journal 1 July 2000)1° 罚款,按第131-38条规定的方式执行;
Legal persons may incur criminal liability pursuant to the conditions set out under article 121-2 for the offences set out under articles 435-2, 435-3 and 435-4.2° 最长五年的下述处罚:
The penalties incurred by legal persons are:禁止直接或间接开展犯罪在其中得以实施的专业或社会活动; 接受司法监管;
1° a fine, in the manner prescribed to under article 131-38;关闭用于实施犯罪的企业机构或企业机构之一; 剥夺参与公共投标的资格; 禁止开具支票(但允许出票人从受票人提取资金的支票或保付支票除外),或使用支付卡;
2° for a maximum period of five years:3° 按照第131-21条规定的条件,没收用于或拟用于实施犯罪的物品,或作为其产物的物品,但应归还的物品除外;
- prohibition to undertake directly or indirectly the professional or social activity in which or on the occasion of which the offence was committed;4° 按照第131-35条规定的条件,公开展示或传播有关决定。
- placement under judicial supervision;有关更多信息,请见http://195.83.177.9/code/liste.phtml?lang=uk&c=33&r=3627。
- closure of the establishment or one of the establishments of the enterprise which was used to commit the offence;实例
- disqualification from public tenders;《瑞士刑法典》载有对法人刑事法律责任的规定:
- prohibition to draw cheques, except those allowing the withdrawal of funds by the drawer from the drawee or certified cheques, or to use payment cards;第102条
3° confiscation, in accordance with the conditions laid down under article 131-21, of the thing which was used or intended for the commission of the offence, or of the thing which is the product of it, except for articles liable to restitution;刑事法律责任
4° the public display or dissemination of the decision, in accordance with the conditions set out under article 131-35.1 如果企业在根据企业目标开展商业活动时犯下了重罪或轻罪,而且因企业组织不当而不可能将这种行为归咎于任何特定自然人,则应将重罪或轻罪归咎于该企业。在这种情况下,该企业须受到不超过5百万法郎的罚款。
For further information, please see http://195.83.177.9/code/liste.phtml?lang=uk&c=33&r=3627.2 如果所犯罪行属于第260条之三、第260条之五、第305条之二、第322条之三、第322条之五或第322条之七第1款规定的犯罪,或属于1986年12月19日《联邦不公平竞争法案》第4a条第1款a项规定的犯罪,则应对企业予以处罚,而不管任何自然人的刑事责任,前提是该企业对未能采取预防此等犯罪所需的一切合理组织措施负有责任。
Example3 法院应根据犯罪严重性、组织不当之严重程度以及所造成损失或损害严重程度,同时根据支付罚款之企业的经济能力,评估罚款。
The Swiss Criminal Code includes provisions on liability of corporations under criminal law:4 本编所指企业为:
Art.a.
102私法管辖之任何法律实体;
Liability under the criminal lawb. 公法管辖之任何法律实体,但地方当局除外; c. 公司; d. 独资企业。 见www.admin.ch/ch/e/rs/311_0/a102.html。 实例 德国法律中对法律实体和社团处以罚款的法律如下: 德意志联邦共和国《行政犯罪法案》 非官方翻译。有关更多信息,可查阅www.oecd.org/dataoecd/62/54/2377479.pdf。 第30条:对法律实体和社团的罚款 (1) 如果一个人 1. 作为授权代理代表一个法律实体,或者作为此类代理之成员行事, 2. 作为不具有法律行为能力之社团理事会,或此等理事会之成员, 3. 作为商业合伙企业授予代表权之伙伴,或 4. 作为充分授权之代表或作为担任领导职务之授权委托书持有人,或作为法律实体或第2或3款规定社团之总代理实施了刑事或行政犯罪,由此使法律实体或社团义不容辞的职责遭到违背,或者法律实体或社团由此获得了或应该获得利润,则对后者处以罚款。 (2) 罚款应, 1. 若为故意犯罪,高达100万德国马克; 2. 若因疏忽而犯罪,则高达50万德国马克。 对于行政犯罪,罚款的最高金额须根据有关行政犯罪罚款的最高罚款金额进行评估。对于同为刑事犯罪和行政犯罪的案件,如果作为行政犯罪可处的最高罚款金额超过了第一款规定的最高罚款金额,则也适用第二款规定。 (3) 第17条第4款和第18条应经适当变通后适用。 如果并未就刑事或行政犯罪启动刑事诉讼或行政罚款诉讼,或者如果诉讼暂停了,或者没有任何惩罚被视为适当,则可单独评估罚款。也可通过一项法令,规定可在其他案件中单独评估罚款。然而,如果因法律原因不能起诉刑事或行政犯罪,则不可能单独评估对法律实体或社团的罚款;第33条第1款第二项应不受影响。 (5) 评估对法律实体或社团的罚款应排除根据《刑法典》第73条及第73a条或第29a条因同一行为责令的没收。 第130条:违背公司和企业的监管义务
1 If a felony or misdemeanour is committed in an undertaking in the exercise of commercial activities in accordance with the objects of the undertaking and if it is not possible to attribute this act to any specific natural person due to the inadequate organisation of the undertaking, then the felony or misdemeanour shall be attributed to the undertaking. In such cases, the undertaking shall be liable to a fine not exceeding 5 million francs.(1) 凡作为公司或企业所有者故意或因疏忽而未能采取防止违背其作为公司或企业所有者应承担的、其违反应受处罚或罚款的职责所必需的监管措施者,应视为实施了行政犯罪,前提是这等违背行为本可通过适当监管予以阻止或使之更加难以实施。必要的监管措施还应当包括委任、慎重选择和监督监管人员。
2 If the offence committed falls under articles 260ter, 260quinquies, 305bis, 322ter, 322quinquies or 322septies paragraph 1 or is an offence under article 4a paragraph 1 letter a of the Federal Act of 19 Dec. 1986 on Unfair Competition, the undertaking shall be penalised irrespective of the criminal liability of any natural persons, provided the undertaking is responsible for failing to take all the reasonable organisational measures that were required in order to prevent such an offence.(2) 根据第1款和第2款,公司或企业应包括公共企业。
3 The court shall assess the fine in particular in accordance with the seriousness of the offence, the seriousness of the organisational inadequacies and of the loss or damage caused, and based on the economic ability of the undertaking to pay the fine.(3) 如果行政犯罪受到惩罚,则可处以不超过100万德国马克的罚款。如果违背职责可处以罚款,那么违反监管义务的最高罚款金额应取决于对违背职责规定的最高罚款金额。如果罚款最高金额超过了第一句规定的罚款最高金额,那么第二句规定也应适用于可同时予以惩罚和处以罚款的违背职责的情况。
4 Undertakings within the meaning of this title are:第30章(对法人和社团的罚款)的非官方翻译。 实例 意大利法律对法人责任(2001年6月8日第231/2001号法令)规定如下:
a. any legal entity under private law;意大利通过2000年9月29日第300号法令及2000年6月19日公布于第140号《公报》、题为“根据2000年9月29日第300号法令第11条的法人、公司及甚至无法律地位之社团的行政责任纪律”的2001年5月8日第231号法令实施了一套法人行政责任制度。有关更多信息,可查阅www.oecd.org/dataoecd/61/31/45508054.pdf。
b. any legal entity under public law with exception of local authorities;第5条 机构责任
c.1.
companies;机构应对下列人员为其利益或好处而实施的犯罪承担责任:
d. sole proprietorships.a) 具有机构或其拥有财务和职能自主权的组织单位的代表、行政或管理职能的人,以及事实上对其行使管理和控制权的人
See www.admin.ch/ch/e/rs/311_0/a102.html.b) 受a)项所述主体之一管理或监督的人。
Example2. 如果第1款所述人员为自身利益或第三方利益行事,则机构无需承担责任。
German law imposes fines on legal entities and associations, in the following law:实例
The Administrative Offences Act (OwiG) of the Federal Republic of Germany《以色列刑法5737-1977》(第6版)规定如下:
Unofficial translation. Further information available from www.oecd.org/dataoecd/62/54/2377479.pdf.第四条:法人团体之刑事责任
Section 30: Fine imposed on legal entities and associations法人团体之刑事责任范围
(1) If a person23.(a) 在以下情形下,法人团体应承担刑事责任
1. acting in the capacity of an agency authorised to represent a legal entity, or as a member of such an agency,(1) 根据第22条,如果犯罪系个人在法人团体履行其职能过程中实施的;
2. as the board of an association not having legal capacity, or as a member of such a board,(2) 对于需要证明犯罪意图或犯罪过失的犯罪,前提是在案件发生的情况下并考虑行为人在法人团体事务管理中的权力和责任,其实施犯罪的行为、犯罪意图或犯罪过失被视为该法人团体之行为、犯罪意图或犯罪过失。
3. as a partner of a commercial partnership authorised to representation, or(b) 如果犯罪系因疏忽所为,执行之义务直接属于法人团体,那么犯罪还能否与法人团体的特定人员相关则不再重要。 关于更多信息,可查阅www.oecd.org/dataoecd/15/58/43289694.pdf。
4. as the fully authorised representative or in a leading position as a procura holder, or as general agent of a legal entity or of an association as specified in Nos.第四章.
2 or 3 has committed a criminal or administrative offence by means of which duties incumbent upon the legal entity or the association have been violated, or the legal entity or the association has gained or was supposed to gain a profit, a fine may be imposed on the latter.侦查
(2) The fine shall be评介
1. up to one million Deutsche Mark in cases of a wilfully committed offence;本章意欲便利侦查需要根据《公约》确立的有组织犯罪,处理了两个不同而有交叉重叠的问题: 特殊侦查手段,即执法人员为了侦探和侦查犯罪和嫌疑人而应用的以不惊动目标人员的方式收集信息的手段。
2. up to five hundred thousand Deutsche Mark in cases of a negligently committed offence.执法机构之间的非正式(警察到警察或机构到机构)合作。
In cases of an administrative offence the maximum amount of the fine shall be assessed in accordance with the maximum fine provided for the administrative offence in question. The second sentence shall also apply in cases of an offence which at the same time is both a criminal and an administrative offence if the maximum fine imposable for the administrative offence is in excess of the maximum fine in accordance with the first sentence. (3) Section 17 subsection 4 and section 18 shall apply, mutatis mutandis.这些问题都包含在《公约》第19条、第20条和第27条中。
If criminal proceedings or administrative fine proceedings in respect of the criminal or administrative offence are not initiated, or if they are discontinued, or if no punishment is deemed appropriate, the fine may be assessed separately. It may be specified by means of a statute that the fine may also be assessed separately in further cases. Separate assessment of a fine on the legal entity or association shall however be ruled out if the criminal or administrative offence cannot be prosecuted for legal reasons; section 33 subsection 1 second sentence shall remain unaffected.这些规定都不打算孤立实行。对国家起草人来说,联系其他国家法律,包括警察权力法、刑事诉讼法、隐私法和关于更正式合作、特别是司法协助和引渡合作的法律,来考虑这些规定的实行,将至关重要。
(5) The assessment of a fine against the legal entity or association shall preclude forfeiture pursuant to sections 73 and 73a of the Criminal Code or Section 29a being ordered against it for the same act.本章意欲在国内和作为国际合作的一部分提供特殊侦查手段的立法依据。除了管理执法机构和其他机构侦查权力的常规规则之外,这些规定也意欲实行。 有各种不同的特殊侦查手段,每种手段都有不同程度的风险,都可能引起不同的人权问题。例如,控制下交付由高级执法人员授权可能是合适的,而电子监视通常需要司法机构授权和监督。因此,每个主要类型的特殊侦查手段都单独处理,以便可以为每种订立一种适当的制度。
Section 130: Violation of obligatory supervision in firms and enterprises如《立法指南》所指出,特殊侦查手段通常都需要有立法依据,因为不然它们就将是非法的,而且它们也引起关于隐私和人权的特别关切: 控制下交付适用于在违禁品转运过程中查明或拦截违禁品并随后在监视下进行交付,以查明预定收货人或监督违禁品随后在整个犯罪组织中分销的情况。然而,由于执法人员或其他人交付违禁品本身就可能属于国内法所规定的犯罪,因此,为允许采取此类行动,通常需要在法律上作出规定。如果执法人员或其他人有可能渗透到犯罪组织中以搜集证据,即可采用特工行动。以窃听设施为形式的电子监视或拦截通信起着类似的作用,在组织十分严密,外人无法渗透,或直接渗透或监视给侦查或侦查者的安全造成过高的风险的情况下往往更为可取。鉴于电子侦查的干扰性,通常必须对之进行严格的司法控制,并且必须从法律上订立许多保障措施以防止滥用。 《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第183-184页。 关于使用特殊侦查手段的更详细评注,见于欧洲;见欧洲委员会关于针对恐怖主义行为等严重犯罪的“特殊侦查手段”的Rec(2005)10号建议。这项建议说明,需要对通过执法确保公共安全的利益和确保个人权利的必要性平衡兼顾。它建议,明确制订标准会增加公众对使用这些“特殊侦查手段”的信任,因为它们被界定为“主管当局在刑事侦查背景下,为了侦探和侦查严重犯罪和嫌疑人而适用的手段,目的是以不惊动目标人员的方式收集信息”。在该建议中,“主管当局”系指“参与根据本国法规决定、监督或使用特殊侦查手段的司法、检察或侦查当局”。 欧洲委员会部长委员会,关于针对恐怖主义行为等严重犯罪的“特殊侦查手段”的Rec(2005)10号建议,2005年4月20日通过。可查阅www.coe.int。 该建议阐述了指导各国拟订有关这个问题的国家法律和政策的若干原则。下述要点受到注意: 司法机关或其他独立机构通过事先授权、侦查过程中的监督和(或)事后审查适当控制特殊侦查手段适用的重要性与 所侦查的行为相比,确保所用特殊侦查手段相称的重要性(奉行的原则是应当使用适合实现目的的侵扰最少的办法) 各国需要制订法律,允许在法院提出通过特殊侦查手段取得的证据,同时也尊重获得公平审判的权力 使用特殊侦查手段的操作准则与培训的重要性 各国必须尽可能最大限度地利用关于使用特殊侦查手段的现行司法和警察合作国际安排,必要时辅以其他安排 有许多不同类型的特殊侦查手段。然而,本示范立法规定只着重《公约》中特别说明的那些:控制下交付、特工行动(涉及使用假扮身份)和电子监视。对每种形式的特殊侦查手段,起草人都需要考虑下述问题: 核准手段的机制 予以核准的门槛 使用手段的条件 使用特殊侦查手段的人员免除民事和刑事责任的程度 使用通过该手段取得的证据 该信息可以传播的范围 监管、审查和监督机制 国际合作 第四章. 侦查 第13条.控制下交付
(1) Whoever, as the owner of a firm or an enterprise, wilfully or negligently fails to take the supervisory measures required to prevent contravention of duties in the firm or the enterprise which concern the owner in this capacity, and the violation of which is punishable by a penalty or a fine, shall be deemed to have committed an administrative offence if such a contravention is committed which could have been prevented or made much more difficult by proper supervision.1.
The required supervisory measures shall also comprise appointment, careful selection and surveillance of supervisory personnel.为了本条的目的,“控制下交付”系指在[插入主管机构的名称]知情和监督的情况下,允许非法或可疑货物[现金或交易]在[插入国家名称]领土内运送、运出、通过或运入的一种做法,其目的在于侦查并辨认参与这些示范立法规定适用的犯罪的人员。
(2) A firm or an enterprise in accordance with subsections 1 and 2 shall include a public enterprise.2. 控制下交付,如果根据本条得到授权,就是合法的。
(3) If the administrative offence is subject to punishment, it may be punished by a fine not exceeding one million Deutsche Mark. If the violation of duty is punishable by a fine, the maximum amount of the fine for a violation of obligatory supervision shall be dependent on the maximum amount of the fine provided for the violation of duty. The second sentence shall also apply in the event of a breach of duty which at the same time is punishable by a penalty and a fine if the maximum amount of the fine is in excess of the maximum amount in accordance with the first sentence.3. 从事根据本条规定所准行为的人员或其助理人员,不对该行为承担刑事或民事责任。
Unofficial translation of § 30 Geldbuße gegen juristische Personen und Personenvereinigungen.4. 控制下交付以由下述人员授权:
Example(a) [插入拥有指定职位人员,如有关执法机构首长和副手和(或)反腐败机构首长;检察官或调查法官]
The Italian Law on liability of legal persons (Legislative Decree 231/2001 of 8 June 2001) provides as follows:5. 执法人员可以代表执法机构或外国执法机构向授权人申请进行控制下交付的权限。 6. 外国代理人只有在根据本条第4[(a)]款规定给予授权时,才能进行控制下交付。
Italy imposed a system of administrative liability of corporations through the Decree-Law No. 300 of 29 September 2000 and the Decree-Law No. 231 of 8 May 2001, entitled “Discipline of the administrative liability of legal persons, of companies and of associations even without a legal status, pursuant to Article 11 of Law no. 300 of 29 September 2000” published in the Gazzetta Ufficiale no. 140 of 19 June 2000. Further information available from www.oecd.org/dataoecd/61/31/45508054.pdf.7. 申请可以任何手段提出,但每项请求及嗣后决定包括拒绝都应当做书面记录。
Art.8.
5 Liability of the agency申请必须: (a) 提交足够的信息,使授权人能够决定是否批准申请;
1. The agency is liable for crimes committed in its interest or to its advantage:(b) 说明此事是否是先前申请的主题。 9. 授权人可以: (a) 无条件或有条件地授权批准控制下交付,包括替换或部分替换货物; (b) 拒绝申请。 10. 授权人不得批准申请,除非有合理理由确信: (a) 这些示范立法规定适用的犯罪已经、正在或可能实施; (b) 可疑犯罪活动的性质和程度如此这般,因此有正当理由实施控制行动; (c) 进行控制下交付所含的任何非法活动,将限于与进行有效控制下交付相合的最大可能限度; (d) 行动的开展要确保,在最大可能限度上,控制下交付所涉任何非法物品,在控制下交付结束时,受执法人员的控制; (e) 控制下交付不要以可能诱使人实施其本来无意实施的犯罪的方式进行; (f) 控制下交付所涉任何行为不要: ㈠ 严重危及任何人员的健康或安全; ㈡ 造成任何人员死亡或重伤。 11. [插入有关人员/指定机构或有关部委首长等]每年向[议会/议会委员会/公众]报告:
a) by persons having functions of representation, administration or management of the agency or of an organizational unit thereof possessing financial and functional autonomy, and by persons who exercise, also de facto, the management and control thereof(a) 控制下交付寻求授权的次数;
b) by persons subject to the management or supervision of one of the subjects as per letter a).(b) 授予次数;
2. The agency is not answerable if the persons indicated in subsection 1 have acted in their own sole interest or that of third parties.(c) 使用根据本条规定授权获取的证据或信息的起诉的次数。
Example评注
The Israeli Penal Law 5737 - 1977 (6th Edition) provides as follows:来源:《有组织犯罪公约》第2条(i)项(“控制下交付”的定义)和第20条(特殊侦查手段)。
Article Four: Criminal Liability of Body Corporate根据《有组织犯罪公约》第20条第1款,各国在其本国法律基本原则许可的情况下,必须允许在其境内适当使用控制下交付,并酌情使用其他特殊侦查手段,如电子监视和特工行动,以打击有组织犯罪。准备工作文件所载《公约》第20条的解释性说明确认,第20条第1款没有暗示各缔约国有义务做出使用所说各种形式的特殊侦查手段的规定。
Extent of Criminal Liability of a Body Corporate《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》,第206页。
23. (a) A body corporate shall bear criminal liability (1) under section 22, if the offence was committed by a person in the course of the performance of his function in the body corporate; (2) for an offence that requires proof of criminal intent or negligence, if – under the circumstances of the case and in the light of the position, authority and responsibility of the person in the management of the affairs of the body corporate – the act by which he committed the offence, his criminal intent or his negligence are to be deemed the act, the criminal intent or the negligence of the body corporate. (b) If the offence was committed by way of omission, when the obligation to perform is directly imposed on the body corporate, then it is immaterial whether the offence can or cannot be related also to a certain officer of the body corporate. Further information available from www.oecd.org/dataoecd/15/58/43289694.pdf. Chapter IV. Investigations Introductory commentary This chapter is intended to facilitate the investigation of organized crime offences required to be established under the Convention. It addresses two separate but overlapping issues: Special investigative techniques. That is, techniques for gathering information in such a way as not to alert the target persons, applied by law enforcement officials for the purpose of detecting and investigating crimes and suspects. Informal (police-to-police or agency-to-agency) cooperation between law enforcement agencies. These issues are covered in articles 19, 20 and 27 of the Convention. These provisions are not intended to operate in isolation. It will be vital for national drafters to consider the operation of these provisions alongside other national laws, including laws on police powers generally, criminal procedure law, privacy laws and laws on more formal means of cooperation, in particular for mutual legal assistance and extradition. This chapter is intended to provide the legislative basis of special investigative techniques both domestically and as part of international cooperation. These provisions are intended to operate in addition to the regular rules that regulate investigative powers of law enforcement and other agencies. There are various discrete special investigative techniques and each of these has different levels of risk and potentially raises different human rights issues. For example, it may be appropriate that a controlled delivery be authorized by senior law enforcement officials, whereas electronic surveillance usually requires judicial authorization and supervision. Accordingly, each major type of special investigative technique is addressed separately so that an appropriate regime can be established for each. As noted in the Legislative Guides, special investigative techniques will typically require a legislative basis, as otherwise they may be illegal, and they also raise specific concerns about privacy and human rights: Controlled delivery is useful in particular in cases where contraband is identified or intercepted in transit and then delivered under surveillance to identify the intended recipients or to monitor its subsequent distribution throughout a criminal organization. Legislative provisions are often required to permit such a course of action, however, as the delivery of the contraband by a law enforcement agent or other person may itself be a crime under domestic law. Undercover operations may be used where it is possible for a law enforcement agent or other person to infiltrate a criminal organization to gather evidence. Electronic surveillance in the form of listening devices or the interception of communications performs a similar function and is often preferable where a close-knit group cannot be penetrated by an outsider or where physical infiltration or surveillance would represent an unacceptable risk to the investigation or the safety of investigators. Given its intrusiveness, electronic surveillance is generally subject to strict judicial control and numerous statutory safeguards to prevent abuse. Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 183-184. Further commentary on the use of special investigative techniques is found in the European context; see Council of Europe recommendation Rec(2005)10 on “special investigation techniques” in relation to serious crimes including acts of terrorism. The recommendation notes the need to balance the interests of ensuring public safety through law enforcement, with the need to ensure the rights of individuals. It suggests that having clear standard-setting will increase public confidence in the use of these “special investigative techniques”, defined as “techniques applied by the competent authorities in the context of criminal investigations for the purpose of detecting and investigating serious crimes and suspects, aiming at gathering information in such a way as not to alert the target persons”. For the purposes of the recommendation, the “competent authorities” means “judicial, prosecuting and investigating authorities involved in deciding, supervising or using special investigation techniques in accordance with national legislation”. Council of Europe Committee of Ministers, Recommendation Rec(2005)10 on “special investigation techniques” in relation to serious crimes including acts of terrorism, adopted on 20 April 2005. Available from www.coe.int. The recommendation sets out a number of principles to guide States in the formulation of national laws and policy on this issue. The following major points are noted: The importance of adequate control of implementation of special investigative techniques, by judicial authorities or other independent bodies through prior authorization, supervision during the investigation and/or after the fact review The importance of ensuring proportionality of the special investigative technique used, when compared with the conduct being investigated (following the principle that the least invasive method suitable to achieve the objective should be used) The need for States to enact laws to permit the production of evidence gained through special investigative techniques in court, while respecting the right to a fair trial The importance of operational guidelines and training in the use of special investigative techniques The need for States to make the greatest possible use of existing international arrangements for judicial and police cooperation in relation to the use of specialist investigative techniques, supplemented by additional arrangements where necessary There are many different types of special investigative techniques. However, the present model legislative provisions focus only on those specifically noted in the Convention: controlled deliveries, undercover operations (involving the use of assumed identities) and electronic surveillance. For each form of the special investigative techniques, drafters will need to consider the following issues: Mechanism for approving the technique这些示范立法规定所用“控制下交付”定义,基于《公约》第2条(i)项的相同定义。在界定这个术语时,各国可能会发现,提到“便利”非法或可疑货物前行,很有用。专家工作组会议指出,控制下交付可以是被动的(意指不制止交付),但也可以是主动的(意指积极便利交付货物前行)。加入“便利”一词就将顾及这些较主动形式的控制下交付。
Threshold for grant of approval Conditions on use of technique Extent to which officers using special investigative techniques are protected from civil and criminal liability Use of evidence obtained through that technique Extent to which that information can be disseminated Supervision, review and oversight mechanisms International cooperation Chapter IV. Investigations Article 13. Controlled delivery 1. For the purpose of this article, “controlled delivery” shall mean the technique of allowing illicit or suspect consignments [cash or transactions] to pass within, out of, through or into the territory of [insert name of State] with the knowledge and under the supervision of [insert name of competent authorities], with a view to the investigation and the identification of persons involved in offences that these model legislative provisions apply to. 2. A controlled delivery is lawful if it has been authorized in accordance with this article. 3. An official, or person assisting an official, who engaged in conduct authorized in accordance with this article shall not be criminally or civilly liable for that conduct. 4. A controlled delivery can be authorized by: (a) [Insert designated position holders, such as head and deputy head of relevant law enforcement agency and/or the head of the anti-corruption agency; prosecutor or investigative judge] 5. A law enforcement officer may apply to an authorizing officer for authority to conduct a controlled delivery on behalf of the law enforcement agency or a foreign law enforcement agency. 6. Foreign agents can undertake controlled deliveries only if authorization has been provided in accordance with paragraph 4 [(a)] of this article. 7. An application can be made by any means, but a written record should be made of every request and the subsequent decision, including refusals. 8. The application must: (a) Provide sufficient information to allow the authorizing officer to decide whether or not to grant the application; and (b) State whether or not the matter has been the subject of a previous application. 9. The authorizing officer can: (a) Authorize the controlled delivery, unconditionally or subject to conditions, including the substitution or the partial substitution of a consignment; (b) Refuse the application. 10. The authorizing officer must not approve the application unless satisfied, on reasonable grounds, that: (a) An offence to which these model legislative provisions apply has been, is being or is likely to be committed; (b) The nature and extent of the suspected criminal activity are such as to justify the conduct of a controlled operation; (c) Any unlawful activity involved in conducting the controlled delivery will be limited to the maximum extent possible consistent with conducting an effective controlled delivery; (d) The operation will be conducted in a way that ensures that, to the maximum extent possible, any illicit goods involved in the controlled delivery will be under the control of a law enforcement officer at the end of the controlled delivery; (e) The controlled delivery will not be conducted in such a way that a person is likely to be induced to commit an offence that the person would otherwise not have intended to commit; and (f) Any conduct involved in the controlled delivery will not: (i) Seriously endanger the health or safety of any person; (ii) Cause the death of, or serious injury to, any person. 11. The [insert name of appropriate official/designate such as head of agency or relevant Ministry] is to report annually to [Parliament/a Parliamentary Committee/the public] about: (a) The number of authorisations sought for controlled deliveries;考虑用合法物资或假物资替换非法货物的可能,以防止在交付过程中丧失非法货物的风险,也很重要。为了有效进行此类替换并逮捕被替换物资的接收人,宣布进口、转移或持有“作为非法货物”予以接收或获得的物资为犯罪的法律规定,对某些国家会有用。不然,被替换物资的接收人不会因为持有此类物资而被捕,因为所持有的这种物资是合法的。
(b) The number that were granted; and (c) The number of prosecutions where evidence or information obtained under an authorisation provided by this article was used. Commentary Source: Organized Crime Convention, articles 2, subparagraph (i) (definition of “controlled delivery”); and 20 (special law investigative techniques). Under article 20, paragraph 1, of the Organized Crime Convention, States are required, if permitted by the basic principles of their national legal systems, to allow for the appropriate use of controlled delivery, and where appropriate, for the use of other special investigative techniques, such as electronic surveillance and undercover operations in their territory, for the purpose of combating organized crime. The interpretative note on article 20 of the Convention contained in the Travaux Préparatoires confirms that paragraph 1 of article 20 does not imply an obligation on States parties to make provisions for the use of all the forms of special investigative techniques noted. Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 206. The definition of “controlled delivery” used in these model legislative provisions is based on the equivalent definition in article 2 (i) of the Convention. In defining this term, States may find it useful to include a reference to “facilitating” onward movement of illicit or suspect consignments. In the expert working group meeting, it was noted that controlled delivery can be both passive (in the sense of not stopping a delivery) but also active (in the sense of actively facilitating onward movement of the delivery). The inclusion of the word “facilitating” will allow for these more active forms of controlled delivery. It is also important to consider the possibility of substituting the illicit consignments with licit or fake material in order to prevent the risk of losing the illicit consignments during the course of delivery. In order to effectively conduct such substitution and arrest the recipient of the substituted material, legal provision to criminalize the import, transfer or possession of material that are received or acquired “as illicit consignments” would be helpful for some States. Otherwise, the recipient of the substituted material will not be arrested for the possession of such material, because the material in possession is licit. This draft article authorizes the use of controlled delivery on application to a senior official within relevant agencies. In some national legal systems, there may be a preference for further oversight, for example, by a judicial body. This needs to be balanced against the need for ensuring that controlled deliveries can be authorized quickly and at any time of the day or night. A balance could be struck by permitting the initial authorization to be given by the senior law enforcement official (allowing a quick response), which must then be reviewed and extended by a judicial body after a short period of time (such as seven days). It is important that special investigative techniques be subject to a level of scrutiny. Otherwise, they can provide opportunities for misuse and even corruption. These model legislative provisions recommend that a senior official, such as the head of the law enforcement agency or Ministry of Justice, be required to report to Parliament or equivalent, on an annual basis, on the number of authorizations sought and granted and the number of prosecutions where evidence or information obtained through authorizations was used. In some legal systems, there may be a preference for additional scrutiny through, for instance, reporting and review by an independent oversight body. If this is the case, it will likely be necessary to have two levels of review: the first, which allows full review including access to sensitive operational information by an independent review body with a specific legislative mandate; and the second, which is a public review to the Parliament (for example), which does not disclose operational information, including methods and sources. Example There are provisions regarding “controlled deliveries” in the Customs Code of France: Title II Chapter IV. Powers of customs officers Section 7. Controlled deliveries Article 67 bis In order to establish that offences against the Customs Code have been committed in respect of the import, export or possession of substances or plants classified as narcotic, to identify the perpetrators of and accomplices to such offences and also those who have participated as interested parties under the terms of article 399, and to effect the seizures provided for under this Code, customs officers authorized by the Minister for Customs may, in circumstances established by decree, after informing the Government procurator and under his control, monitor the transport of such substances or plants. They shall not be criminally liable when, to that end, with the authorization of the Government procurator and under his control, they purchase, hold, transport or deliver such substances or plants or provide persons possessing such substances or plants or engaging in the customs offences referred to in the previous paragraph with legal support or means of transport, deposit or communication. Authorization may be granted only for actions that do not involve committing the offences referred to in the first paragraph. The provisions of the previous two paragraphs shall be applicable for the same purposes to substances used for the illicit manufacture of narcotics the list of which shall be established by decree and to the equipment used for such manufacture. Customs officers who, in respect of funds involved in the offence specified in article 415 and in order to establish that such an offence has been committed, carry out the actions referred to in the first two paragraphs shall not be liable to criminal punishment. Available from www.legifrance.gouv.fr. Example这条草案授权在向有关机构内的高级人员申请后使用控制下交付。某些国家法律制度,可能更倾向进一步监督,例如由司法机构监督。这样做,需要平衡兼顾确保控制下交付可以迅速且不管昼夜任何时候获得授权的必要性。允许高级执法人员将给予的初始授权(容许做出迅速反应),在短时间(比如七天)之后,必须由司法机构予以审查和延续,可以平衡兼顾。
The following definitions of “controlled operation” and “major controlled operation” are found in the Australian Crimes Act 1914 (Commonwealth): 15GD Meaning of controlled operation and major controlled operation (1) A controlled operation is an operation that: (a) involves the participation of law enforcement officers; and (b) is carried out for the purpose of obtaining evidence that may lead to the prosecution of a person for a serious Commonwealth offence or a serious State offence that has a federal aspect; and (c) may involve a law enforcement officer or other person in conduct that would, apart from section 15HA, constitute a Commonwealth offence or an offence against a law of a State or Territory. (2) A major controlled operation is a controlled operation that is likely to: (a) involve the infiltration of an organised criminal group by one or more undercover law enforcement officers for a period of more than 7 days; or (b) continue for more than 3 months; or (c) be directed against suspected criminal activity that includes a threat to human life. Australian law establishes a system whereby a law enforcement officer can apply to designated senior officials for authority, which can be granted only if certain conditions are met: 15GF Meaning of authorising officer etc. (1) Any of the following is an authorising officer for a controlled operation: (a) if the operation is a major controlled operation and the investigation of the offence to which the controlled operation relates is within the functions of the Australian Federal Police—the Commissioner or a Deputy Commissioner; (b) if the operation is not a major controlled operation, but the investigation of the offence to which the controlled operation relates is within the functions of the Australian Federal Police—any AFP authorising officer; (c) if the investigation of the offence to which the controlled operation relates is within the functions of the ACC [Australian Crime Commission]—any ACC authorising officer; (d) if the controlled operation relates to the investigation of a corruption issue (within the meaning of the Law Enforcement Integrity Commissioner Act 2006)—any ACLEI [Australian Commission for Law Enforcement Integrity] authorising officer. (2) The following are AFP authorising officers: (a) the Commissioner; (b) a Deputy Commissioner; (c) a senior executive AFP employee who is a member of the Australian Federal Police and who is authorised in writing by the Commissioner for the purposes of this paragraph. (3) The following are ACC authorising officers: (a) the Chief Executive Officer of the ACC; (b) a member of the staff of the ACC who is an SES employee and who is authorised in writing by the Chief Executive Officer of the ACC for the purposes of this paragraph. (4) The following are ACLEI authorising officers: (a) the Integrity Commissioner; (b) the Assistant Integrity Commissioner; (c) a member of the staff of the ACLEI who is an SES employee and is authorised in writing by the Integrity Commissioner for the purposes of this paragraph. Example Article 1.3 of the Model Legislation on Money Laundering and Financing of Terrorism (civil law) includes a definition of controlled delivery: L. “Controlled delivery” shall mean the technique of allowing illicit or suspect consignments and cash to pass within, out of, through or into the territory of [name of the country] with the knowledge and under the supervision of the competent authorities, with a view to the investigation of an offence and the identification of persons involved therein. The Model Provisions on Money Laundering, Terrorist Financing, Preventive Measures and Proceeds of Crime (for common law legal systems), prepared by UNODC, the Commonwealth Secretariat and the International Monetary Fund do not include a definition of controlled delivery. Article 14. Assumed identities 1. The acquisition and use of an assumed identity is lawful if it has been authorized in accordance with this article. 2. Officials and individuals assisting them are not subject to civil or criminal liability for conduct that has been authorized in accordance with this article. 3. A law enforcement officer from [insert name of designated agencies] may apply to acquire or use an assumed identity for the purpose of investigating an offence covered by these model legislative provisions [on behalf of the law enforcement agency, or a foreign law enforcement agency]. 4. Use or acquisition of an assumed identity can be authorized by: (a) [Insert designated position holders, such as the head and deputy head of relevant law enforcement agency; and/or the head of the Anti-Corruption Agency]. 5. An application must be made in writing and must include: (a) The name of the applicant; (b) Details of the proposed assumed identity; (c) Reasons for the need to acquire or use an assumed identity; and (d) Details of the investigation or intelligence-gathering exercise for which the identity will be used (to the extent known). 6. After considering the application, the authorizing officer can:特殊侦查手段受到某种程度的仔细审查,很重要。否则,它们可能提供滥用甚至是腐败的机会。这些示范立法规定建议,高级官员,诸如执法机构首长或司法部部长,必需每年向议会或相当机构报告寻求授权的次数、获准次数及使用通过授权获取的证据或信息的起诉的次数。某些法律制度,可能更倾向通过,比如说,独立监督机构的报告和审查进行额外审查。如果是这样,就可能需要设立两个层次的审查:第一层次,允许全面审查,包括有明确立法授权的独立审查机构接触机密行动信息;第二层次,是面向议会(例如)的公开审查,不披露行动信息,包括方法和资源。
(a) Authorize the use or acquisition of an assumed identity, unconditionally or subject to conditions; or实例
(b) Refuse the application.法国《海关法》有关于“控制下交付”的规定:
7. The authorizing officer may not approve the application unless satisfied on reasonable grounds that the assumed identity is necessary for one or more of the following reasons:第二编
(a) To investigate an offence covered by these model legislative provisions that has been, is being or is likely to be committed; and第四章.海关人员的权力 第7节. 控制下交付 第67条之二 为了确定在进口、出口或持有归类为麻醉品的药物或植物方面已经实施了违反《海关法》的犯罪,为了查明此类犯罪的实施者和共犯,还有作为第399条规定的利害关系方参与的人,并为了实行本《法》规定的扣押,获得海关署长授权的海关官员,在法令规定的情况下,通报政府检察官之后并在其控制下,可以监测此类药物或植物的运输。 他们为此目的,经政府检察官授权之后并在其控制下,购买、持有、运输或交付此类药物或植物,或者为持有此类药物或植物或从事前款所说海关犯罪的人提供法律支持或交通、存放或通信手段,则不承担刑事责任。授权只能给予不包含实施第一款所说犯罪的行动。 出于同样的目的,前两款的规定应适用于列入法令所定名单的麻醉品非法制造所用药物,也适用于此类生产所用设备。 海关官员,若对第415条所述犯罪涉及的资金,并为了确定此类犯罪已经实施,采取头两款所述行为,不受刑事处罚。 可查阅www.legifrance.gouv.fr。 实例 下述“受控制行动”和“重大受控制行动”的定义,见于1914年《澳大利亚罪行法》(英联邦): 15GD 受控制行动和重大受控制行动的含义 (1) 受控制行动是如下所述的行动: (a) 需有执法人员参与; (b) 为了获取可能导致因严重的英联邦犯罪或影响联邦的严重国家犯罪起诉某人的证据而实施; (c) 可能把执法人员或其他人卷入,除了第15HA节之外,还会构成英联邦犯罪或违犯某国或某领土的某项法律的犯罪的行动。 (2) 重大受控制行动是一种受控制行动,它可能: (a) 需要一名或多名从事秘密工作的执法人员渗透有组织犯罪集团7天以上; (b) 连续3个月以上; (c) 针对可疑犯罪活动,包括对人的生命的威胁。 澳大利亚的法律确立了一种制度,执法人员可以根据该制度向指定的高级官员申请授权,申请只有满足了某些条件才能获准: 15GF 授权人员的含义等 (1) 下述任何人员都是受控制行动的授权人 (a) 如果行动是重大受控制行动,且侦查受控制行动所涉犯罪属于澳大利亚联邦警察局职能范围内——局长或副局长; (b) 如果行动不是重大受控制行动,但侦查受控制行动所涉犯罪属于澳大利亚联邦警察局职能范围内——任何澳警局授权人; (c) 如果侦查受控制行动所涉犯罪属于澳罪委[澳大利亚罪行委员会] 职能范围内——任何澳罪委授权人; (d) 如果受控制行动涉及腐败问题(2006年《执法廉洁委员法》所指腐败)侦查——任何澳执法廉洁委[澳大利亚执法廉洁委员会]授权人。 (2) 下述人员为澳警局授权人: (a) 局长; (b) 副局长; (c) 身为澳大利亚警察局成员且为了本款的目的获得了局长书面授权的澳警局高级执行雇员。 (3) 下述人员为澳罪委授权人: (a) 澳罪委首席执行干事;
(b) Any administrative function in support of subparagraph (a). 8. A copy of each authorization must be provided to [insert name of relevant oversight body]. 9. A person acting under an authorization may request assistance from a person to acquire evidence of an assumed identity that has been approved under this article. Notwithstanding any other laws, a person may create or provide evidence of an assumed identity in response to a request under this article. 10. The Chief Officer of the [insert names of relevant agencies] must periodically review each authority granted by the [insert details of relevant delegates]. 11. If, having reviewed an authority, the Chief Officer is of the view that the authority is no longer necessary, he or she must cancel the authority under [insert paragraph]. 12. If, having reviewed an authority, the Chief Officer is of the view that the authority is still necessary, he or she must record his or her opinion, and the reasons for it, in writing. 13. Every [insert relevant number of] months the Chief Officer of [agency] must report to [insert oversight body] on: (a) The number of assumed identities currently authorized; and (b) How recently each has been reviewed and the outcome of that review. 14. The [head of the law enforcement agency] is to report annually to [Parliament/a Parliamentary committee/publically] on: (a) The number of assumed identities that were granted; (b) The number that were revoked; and (c) The number of prosecutions where evidence or information obtained through the use of an assumed identity was used [or played a role in the investigation or prosecution]. Article 15. Infiltration 1. For the purpose of this article, infiltration consists of surveillance of persons suspected of committing offences covered by these model legislative provisions, carried out by [specialized] designated officers acting as participants to those offences. To that end, designated officers are authorized to use an assumed identity. They cannot act in a way that instigates the commission of offences. 2. Infiltration is lawful only if it has been authorized in accordance with this article. 3. Designated officers are authorized, without being criminally responsible: (a) To acquire, detain, transport, copy or deliver items, products, documents and information coming from the commission of offences covered by these model legislative provisions or used to commit those offences; (b) To make available legal and financial means, transport, storage, housing and communications needed for the perpetration of those offences; (c) This immunity is extended to all persons officially requested [by the designated officer or by the investigator] to assist in the infiltration. 4. Infiltration shall be carried out only by specially trained, designated officers. 5. Infiltration shall be carried out only under the responsibility of an investigator who shall supervise the designated officers. This investigator will establish a report on the infiltration operation. 6. Authority for infiltration shall be sought from: [insert designated position holders, such as the head and deputy head of relevant law enforcement agency; and/or the head of anti-corruption agency/prosecutor/investigative judge]. 7. The authorization must be requested by the specialized unit/agency and shall mention the suspected offences, the name of the investigator in charge, the duration of the infiltration which cannot exceed [...] months and shall state the reason why the infiltration is needed. 8. Authorization shall be granted only if [insert relevant conditions]. 9. This authorization may be revoked at any time by [the head and deputy head of relevant law enforcement agency; and/or the head of anti-corruption agency/prosecutor/investigative judge]. At the end of the infiltration operation, the designated officer shall be given the time necessary for a safe withdrawal, which cannot exceed [...] months, [time during which he will still be authorized to use his assumed identity and to commit offences as stated in paragraph 2]. Commentary Source: Organized Crime Convention, article 2, subparagraph (i) (definition of “controlled delivery”) and article 20 (special investigative techniques). Under article 20, paragraph 1, of the Organized Crime Convention, States are required, if permitted by the basic principles of their national legal systems, to allow for the use, where appropriate, of undercover operations or infiltration of criminal operations in their territory, for the purpose of combating organized crime. The interpretative notes contained in the Travaux Préparatoires to the Convention confirm that paragraph 1 of article 20 does not imply an obligation on States parties to make provisions for the use of all the forms of special investigative techniques noted. Travaux Préparatoires of the Negotiations for the Elaboration of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 206. It is vital for drafters to consider the issue of whether evidence obtained through infiltration/undercover operations can be adduced in court, and, if so, whether the undercover agent has to reveal their real identity. The French solution is to use the investigator (who is not the undercover agent) as a proxy. The investigator remains in charge of the operation, and he or she is the person who would draft any reports and appear in court. This undercover agent may testify by special means in order to protect his or her real identity. Another important issue for national drafters to consider is the strength of evidence obtained through infiltration: in some countries for example, conviction cannot be grounded solely on evidence obtained through infiltration. In all of this, it is important to balance the interests of justice (including the need to combat transnational organized crime), with the need to ensure a fair trial of the accused. Example The French Penal Code provides as follows: Article 706-81 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) Where the needs of the inquiry or investigation into any of the felonies or misdemeanours falling within the scope of article 706-73 justify this, the district prosecutor or, after hearing his opinion, the investigating judge seized of the case, may authorise an infiltration operation to be carried out, under their respective supervision, in accordance with the conditions provided for by the present section. Infiltration is when a specially authorised judicial police officer or agent, in accordance with the conditions determined by decree and acting under the authority of a judicial police officer appointed to oversee the operation, carries out surveillance on those persons suspected to have carried out a felony or a misdemeanour by passing himself off to these persons as one of their fellow perpetrators, accomplices or receivers of stolen goods. To this end, a judicial police officer or agent is authorised to use an assumed identity and to commit, where necessary, the actions mentioned in article 706-82. Under penalty of nullity, these acts may not constitute an incitement to commit any offences. A report of the infiltration operation is drafted by the judicial police officer who coordinated the operation, and contains only those elements strictly necessary for the noting of any offences, without endangering the safety of the infiltrator agent or of those persons recruited in accordance with article 706-82. Article 706-82 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) Without incurring criminal liability for their actions, judicial police officers or agents authorised to carry out an infiltration operation may, in all parts of the French national territory: 1° acquire, possess, transport, dispense or deliver any substances, goods, products, documents or information resulting from the commission of any offences or used for the commission of these offences; 2° use or make available to those persons carrying out these offences legal or financial help, and also means of transport, storage, lodging, safe-keeping and telecommunications. The exemption from liability provided for by the first paragraph also applies, in respect of acts committed with the sole aim of infiltration, to those persons recruited by officers or agents of the judicial police in order to enable this operation to be carried out. Article 706-83 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) Under penalty of nullity, the authorisation given in accordance with article 706-81 is issued in writing and must be specially reasoned. It details the offence or offences which justify the choice of these proceedings and the identity of the judicial police officer under whose authority the operation will be carried out. This authorisation determines the length of the infiltration operation, which may not exceed four months. The operation may be renewed under the same conditions of form and duration. The judge who authorised this operation may, at any time, order its suspension before the expiry of the fixed time limit. The authorisation is attached to the case file after the infiltration operation has been completed. Article 706-84 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) The true identity of judicial police officers or agents who have carried out infiltration operations under an assumed identity must not appear at any stage in the proceedings. Divulging the identity of these judicial police officers or agents is punished by five years’ imprisonment and by a fine of €75,000. Where such a revelation has led to violence or assault and battery against these persons or their spouses, children or direct ascendants, the penalties are increased to seven years’ imprisonment and a fine of €100,000. Where such a revelation has caused the death of these persons or their spouses, children or direct ascendants, the penalties are increased to ten years’ imprisonment and a fine of €150,000, without prejudice, where appropriate, to the application of the provisions of Chapter 1 of Title II of Book II of the Criminal Code. Article 706-85 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) Where a decision is made to suspend the operation, or the period determined by the ruling which authorised the infiltration expires and is not renewed, the undercover agent may carry out the activities mentioned in article 706-82, without being criminally responsible, for only for such a period as is strictly necessary for him to put an end to his surveillance under conditions ensuring his safety, which may not exceed four months. The judge or prosecutor who gave the authorisation provided for by article 706-81 is informed of this as quickly as possible. If, at the end of the four month period, the infiltrator undercover agent cannot end his operation in conditions that ensure his safety, the judge or prosecutor authorises a four month extension to this period. Article 706-86 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) The judicial police officer under whose authority the infiltration operation is carried out may solely be heard in relation to this operation only in the capacity of a witness. However, if it emerges from the report mentioned in the third paragraph of article 706-81 that the person placed under judicial investigation or appearing before a trial court has been implicated due to reports made by an agent who personally carried out infiltration operations, this person may request to be confronted with the agent under the conditions provided for by article 706-61. The questions asked of the undercover agent at this confrontation may not be designed to reveal, whether directly or indirectly, his true identity. Article 706-87 (Inserted by Law no. 2004-204 of 9 March 2004, art.1, Official Journal of 10 March 2004, in force 1 October 2004) No conviction may be returned solely on the basis of statements made by judicial police officers or agents who have carried out an infiltration operation. The provisions of the present article are, however, not applicable where the judicial police officers or agents testify under their true identity. Example The Dutch Code of Criminal Procedure provides as follows: Undercover operations (including covert investigations) Legal framework: 126h Dutch Code of Criminal Procedure (DCCP) (after the commission of an offence; by NL police officers), 126h(4) (by foreign police officers); 126p DCCP (not necessarily after the commission of an offence, but only in case of connection with planning or committing serious organized crime; by NL police officers); 126p(4) (by foreign police officers); 126w DCCP (after the commission of an offence; by civilians); 126x DCCP (not necessarily after the commission of an offence, but only in case of connection with planning or committing serious organized crime; by civilians). Criminal Code of Procedure TITLE IV A. SPECIAL POWERS OF INVESTIGATION PART ONE. SURVEILLANCE Article 126g 1. If it is suspected that an indictable offence has been committed, the public prosecutor may, in the interests of the investigation, order an investigating officer to follow a person or to observe his presence or behaviour on a systematic basis. 2. If the suspicions relate to an offence as defined in article 67, paragraph 1, which in view of its nature or connection with other offences committed by the suspect constitutes a serious breach of the legal order, the public prosecutor may, in the interests of the investigation, decide that in order to carry out the order referred to in paragraph 1, an enclosed place, not being a dwelling, may be entered without the permission of the title holder. 3. The public prosecutor may decide that in order to carry out the order referred to in paragraph 1, a technical device shall be used, provided it is not used to record confidential communications. No technical device shall be attached to a person without his permission.(b) 身为国家紧急救援服务处成员且为了本款的目的获得了澳罪委首席执行干事书面授权的澳罪委工作人员。
4. The order shall be given for a period not exceeding three months and may be extended, on each occasion for a further three months.(4) 下述人员为澳执法廉洁委授权人:
5. A surveillance order shall be in writing and shall include:(a) 廉洁委员;
a. the offence and, if known, the name or as accurate as possible a designation of the suspect;(b) 助理廉洁委员;
b. the facts or circumstances demonstrating that the conditions set out in paragraph 1 have been fulfilled;(c) 身为国家紧急救援服务处成员且为了本款的目的获得了廉洁委员书面授权的澳执法廉洁委工作人员。
c.实例 《洗钱和资助恐怖主义问题示范立法》第1.3条(民法)包括了一个控制下交付的定义: L.
the name or as accurate as possible a designation of the person referred to in paragraph 1;“控制下交付”系指在主管当局知情和监督的情况下,允许非法或可疑货物和现金在[国家名称]领土内运送、运出、通过或运入的一种做法,其目的在于侦查犯罪并辨认参与犯罪的人员。 《关于洗钱、资助恐怖主义、预防措施和犯罪所得的示范条文》(针对英美法体系),由毒品和犯罪问题办公室、英联邦秘书处和国际货币基金组织拟订,没有包含控制下交付的定义。
d.第14条.
if paragraph 2 is applied, the facts and circumstances demonstrating that the conditions set out in that paragraph have been fulfilled, and the place to be entered;假扮身份
e.1. 获取和使用假扮身份,如根据本条规定取得了授权,就是合法的。 2.
the way in which the order is to be executed, and官员及其助理,对已经根据本条规定取得授权的行为,不承担民事或刑事责任。
f.3.
the period for which the order is valid.[插入指定机构的名称]的执法人员可以[代表执法机构或外国执法机构],申请获得或使用假扮身份,以便侦查这些示范立法规定所涵盖的犯罪。
6. In urgent cases the order may be given verbally.4.
In such cases, the public prosecutor shall then put the order in writing within three days.使用或获取假扮身份,可由下述人员授权:
7. As soon as the conditions set out in paragraph 1 are no longer fulfilled, the public prosecutor shall terminate the implementation of the order.(a) [插入拥有指定职位的人员,如有关执法机构首长和副手和(或)反腐败机构首长]。
8. The order may be amended, supplemented, extended or terminated in writing, with reasons being given. In urgent cases the decision may be given verbally. In such cases, the public prosecutor shall then put his decision in writing within three days.5. 申请必须书面提出,且必须包含:
9. An order as referred to in paragraph 1 may also be given to a person in the public service of another State. Certain requirements may be imposed on that person by order in council. Paragraphs 2 to 8 shall apply, mutatis mutandis.(a) 申请人的姓名; (b) 拟议假扮身份的细节; (c) 必需获取或使用假扮身份的理由; (d) 将使用这种身份的侦查或情报收集活动的详情(以所知为限)。 6. 在考虑申请之后,授权人可以: (a) 无条件或有条件地授权使用或获取假扮身份; (b) 拒绝申请。 7. 授权人不得批准申请,除非有适当理由确信假扮身份因下述一个或多个理由必不可少: (a) 侦查这些示范立法规定所涵盖的已经、正在或可能实施的犯罪; (b) 支持(a)项的任何行政职能。 8. 每项授权书的副本必须提供给[插入有关监督机构的名称]。 9. 根据授权行事的人,可以请求某人协助获取已经根据本条规定得到批准的假扮身份的证据。尽管有任何其他法律,一个人可以生造或提供假扮身份的证据,以响应本条规定的请求; 10. [插入有关机构名称]首席官员必须定期审查[插入有关代表的细节]所授每项权限。 11. 首席官员如果审查过权限后认为,不再需要该权限,就必须根据[插入款]取消该权限。 12. 首席官员如果审查过权限后认为,仍然需要该权限,就必须以书面形式记录其意见及其理由。 13. 每隔[插入有关数字]月,[机构]首席官员必须向[插入监督机构]报告: (a) 目前授权的假扮身份数量; (b) 最近每个假扮身份是如何受到审查的,审查结果如何。 14. [执法机构长官]每年要向[议会/议会委员会/公开]报告: (a) 被授予的假扮身份的数量; (b) 被取消的数量; (c) 利用假扮身份获得的证据或信息被使用[或者在侦查或起诉中发挥了重大作用]的起诉的次数。
PART TWO.第15条.
INFILTRATION渗透
Article 126h1. 为了本条的目的,渗透指作为这些示范立法规定所涵犯罪参与者行事的[专业]指定人员对涉嫌实施这些犯罪的人进行的监视。为此,指定人员被授权使用假扮身份。他们不能以刺激犯罪的方式行事。
1.2.
If it is suspected that an offence has been committed as defined in article 67, paragraph 1, which in view of its nature or connection with other offences committed by the suspect constitutes a serious breach of the legal order, the public prosecutor may, if this is urgently required in the interests of the investigation, order an investigating officer as referred to in article 141b, to join or assist a group of persons who can reasonably be suspected of planning or committing offences.渗透只有根据本条规定获得授权,才是合法的。
2.3.
In carrying out the order referred to in paragraph 1, the investigating officer may not induce a person to commit an offence other than the one he was already intending to commit.指定人员获得授权,在不承担刑事责任的情况下,
3. An infiltration order shall be in writing and shall include:(a) 获取、扣留、运输、复制或交付来自实施这些示范立法规定所涵犯罪或实施这些犯罪使用的物品、产品、文件和信息;
a. the offence and, if known, the name or as accurate as possible a designation of the suspect;(b) 提供实施这些犯罪所需法律和金融手段、运输、储存、住房和通信; (c) 这种豁免权授予[指定人员或侦查员]正式请求协助渗透的所有人员。
b.4.
a description of the group of persons;渗透只应由受过专门训练的指定人员实行。
c.5. 渗透只应在监督指定人员的侦查员的负责下实行。这位侦查员将确定渗透行动报告。 6.
the facts or circumstances demonstrating that the conditions set out in paragraph 1 have been fulfilled;渗透权限应向:[插入拥有指定职位的人员,如有关执法机构首长和副手和(或)反腐败机构首长/检察官/调查法官]寻求。
d. the way in which the order is to be executed, including any activities which constitute an offence, insofar as this is possible to foresee at the time the order is issued, and7. 授权必须由专门单位/机构请求,且应提到可疑罪行、负责侦查员的姓名、不能超过[......]月的渗透持续时间,并应申明必需渗透的理由。
e.8.
the period for which the order is valid.授权只应在[插入有关条件]下赋予。
4. An order as referred to in paragraph 1 may also be issued to:9. 这种授权可以由[插入拥有指定职位的人员,如有关执法机构首长和副手和(或)反腐败机构首长/检察官/调查法官]随时取消。渗透行动结束后,应给予指定人员安全撤出的必要时间,最长不能超过[......]月[这期间,他仍被授权使用其假扮身份和实施第2款所述的犯罪]。
a. a person in the public service of another State who complies with requirements laid down by order in council;评注
b. an investigating officer as referred to in article 142, provided the said officer is cooperating pursuant to section 11, subsection 2 of the 1993 Police Act with investigating officers as referred to in article 141 (b).来源:《有组织犯罪公约》第2条(i)项(“控制下交付”的定义)和第20条(特殊侦查手段)。 根据《有组织犯罪公约》第20条第1款,各国在其本国法律基本原则许可的情况下,必须允许在其境内酌情使用特工行动或犯罪行动渗透,以打击有组织犯罪。准备工作文件所载《公约》第20条的解释性说明确认,第20条第1款没有暗示各缔约国有义务做出使用所说各种形式的特殊侦查手段的规定。
Paragraphs 2 and 3 shall apply mutatis mutandis.《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》,第206页。
5. Article 126g, paragraphs 7 and 8 shall apply mutatis mutandis, on the understanding that an infiltration order may not be extended verbally.对起草人来说,至关重要的是考虑通过渗透/特工行动获取的证据是否可以在法院中举出,如果可以,特工是否要披露其真实身份问题。法国的解决办法是用侦查员(不是特工)作代理。侦查员仍然负责有关行动,并且是要起草报告和出庭的人。这特工可以用特殊手段作证,以保护其真实身份。国家起草人要考虑的另一个重要问题是通过渗透取得的证据的有力程度:在某些国家,例如,定罪不能只根据通过渗透取得的证据。在这一切中,重要的是兼顾司法利益(包括打击跨国有组织犯罪的必要性)和确保被告获得公平审判的必要性。
Article 126p实例 《法国刑法典》规定如下:
1. In a case as referred to in article 126o, paragraph 1, the public prosecutor may, if this is urgently required in the interests of the investigation, order an investigating officer as referred to in article 141(b) to join or assist the organisation in question.第706-81条
2. In carrying out the order referred to in paragraph 1, the investigating officer may not induce a person to commit an offence other than the one he was already intending to commit.(按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效) 如果调查或侦查第706-73条范围内的任何重罪或轻罪的需要证明这样有理,则地方检察官,或者在听取其意见之后,办案调查法官,可根据本节规定的条件,授权在他们各自监督下实行渗透行动。
3. An infiltration order shall be in writing and shall include:渗透是一个经过特别授权的法警或特工,根据法令确定的条件并在被指定监督行动的法警的管辖下,对那些涉嫌犯下重罪或轻罪的人,冒充是他们的犯罪同伙、共犯或赃物接收人,对这些人进行监视。为此,法警或特工受权使用假扮身份并在必要的情况下实施第706-82条提到的行动。根据无效处罚,这些行为不得构成实施任何犯罪的煽动。
a. a description of the organisation;渗透行动报告由协调行动的法法警起草,且只载入那些注意任何犯罪绝对需要的因素,不得危及渗透特工或那些根据第706-82条征聘的人员的安全。
b. the facts or circumstances demonstrating that the conditions set out in paragraph 1 have been fulfilled;第706-82条
c. the way in which the order is to be executed, including any activities which constitute an offence, insofar as this is possible to foresee at the time the order is issued, and(按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效)
d. the period for which the order is valid.在不为其行动招致刑事责任的情况下,受权实行渗透行动的法警或特工,可以在法国国家领域各地:
4. An order as referred to in paragraph 1 may also be issued to:1°获取、持有、运输、分发或交付实施任何犯罪所致或所用的任何物质、产品、文件或信息;
a. a person in the public service of another State who complies with requirements laid down by order in council;2°利用或向那些实施这些犯罪的人提供法律或金钱帮助,还提供交通工具、储存、住宿、安全保护和电信。 第一款规定的责任豁免,就以渗透为唯一目的而做出的行为来说,也适用于法警警员或特工为了使这种行动能够实施而征聘的那些人。
b. an investigating officer as referred to in article 141 (c) or article 142, provided the said officer complies with the requirements of the order in council regarding training and cooperation with investigating officers as referred to in article 141 (b).第706-83条
Paragraphs 2 and 3 shall apply mutatis mutandis.(按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效) 根据无效处罚,根据第706-81条给予的授权书以书面形式给出,且必须特别合乎逻辑。 授权书详述成为选择这些程序的正当理由的一种或多种犯罪以及指挥实施行动的法法警的身份。 这授权书决定渗透行动的时间长短,最长不得超过四个月。行动可以根据同样形式和时间的条件予以续延。授权这一行动的法官可以在固定时限期满之前随时下令中止行动。 在渗透行动完成之后,授权书附于案件卷宗。 第706-84条 (按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效) 已经用假扮身份实行了渗透行动的法警或特工,其真实身份不得在诉讼的任何阶段出现。 泄露这些法警或特工的身份,处五年监禁和7.5万欧元罚款。 如果此类暴露已经导致这些人员或其配偶、子女或直系长辈遭受暴力或攻击与殴打,则处罚加至七年监禁和10万欧元罚款。 如果此类暴露已经造成这些人员或其配偶、子女或直系长辈死亡,则处罚加至十年监禁和15万欧元罚款,不影响在适当情况下适用《刑法》第二卷第二编第一章的规定。 第706-85条 (按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效) 如果已决定中止行动,或者授权实施渗透的裁决所定时期期满且不再续,则特工可以开展第706-82条提及的活动,不用承担刑事责任,持续时间是他在确保其安全的条件下结束其监视绝对需要的时期,最长不得超过四个月。此事要尽快告诉给出第706-81条规定授权的法官或检察官。如果四个月过去了,渗透特工不能在确保其安全的条件下结束其行动,则法官或检察官就授权这个时期再延长四个月。 第706-86条 (按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效) 指挥实施渗透行动的法警,只能以证人的身份,让人听取对这一行动的看法。 然而,如果从第706-81条第三款提及的报告中看出,接受司法调查或在审判法庭出庭的人因为亲自实施渗透行动的特工所做的报告而被卷入,这个人可以在第706-61条规定的条件下,请求与该特工对质。在这种对质中,询问特工的问题,不得意图直接或间接地揭示其真实身份。 第706-87条 (按2004年3月9日第2004-204号法第1条插入,2004年3月10日《公报》,2004年10月1日生效) 不得只根据实施了渗透行动的法警或特工所做的陈述宣告定罪。 然而,本条各项规定,在法警或特工以真实身份作证的情况下,不适用。 实例 《荷兰刑事诉讼法》规定如下: 特工行动(包括暗地侦查) 法律框架 126h 《荷兰刑事诉讼法》(在实施犯罪之后;由荷兰警察),126h(4)(由外国警察); 126p 《荷兰刑事诉讼法》(不必在实施犯罪之后,但只在与筹划或实施严重有组织犯罪的情况下;由荷兰警察); 126p(4) (由外国警察); 126w 《荷兰刑事诉讼法》(在实施犯罪之后;由平民); 126x 《荷兰刑事诉讼法》(不必在实施犯罪之后,但只在与筹划或实施严重有组织犯罪的情况下;由平民)。 《刑事诉讼法典》 第四编A.侦查的特别权力 第一部分.监视 第126g条 1. 如果怀疑可起诉犯罪已经实施,检察官可以为了侦查,命令侦查员系统地跟踪某人或观察其出没或行为。 2. 如果怀疑涉及第67条第1款界定的犯罪(鉴于其性质或与嫌疑人实施和其他犯罪的联系,严重扰乱了法律秩序),检察官可以为了侦查决定,为了执行第1款所说的命令,可以不经所有权人许可,而进入一个非住处的封闭地方。 3. 检察官可以决定,为了执行第1款所说的命令,应使用技术装置,但不是用来记录保密通信。未经本人允许,不得把技术装置置于某人身上。 4. 发出的命令有效时间不超过三个月,并且可以每次再延长三个月。
5.5.
Article 126g, paragraphs 7 and 8 shall apply mutatis mutandis, on the understanding that an infiltration order may not be extended verbally.监视令应以书面形式发出,且应:
Available from www.coe.int/t/dlapil/codexter/Source/pcti_questionnaireReplies/Netherlands%20reply.pdf.a. 包括犯罪,并且如果知道,还包括嫌疑人的姓名或者尽可能准确的称呼;
Exampleb. 证明第1款所述条件得到满足的事实或情节;
The Swiss Criminal Procedure Code of 5 October 2007 provides as follows:c. 包括第1款所说之人的姓名或者尽可能准确的称呼; d. 如果第2款适用,则包括证明该款所述条件得到满足的事实或情节和要进入的地点;
Section 5: Undercover Investigationse. 包括命令执行的方式;
Art. 286 Requirementsf. 包括命令有效期。 6. 在紧急情况下,命令可以口头下达。果真如此,则检察官接着应在三天之内把命令笔之于书。 7. 一旦第1款所述条件不再得到满足,检察官就应终止执行命令。 8. 命令可以以书面形式修改、补充、延期或终止,但要给出理由。在紧急情况下,决定可以口头做出。果真如此,检察官接着应在三天之内把决定笔之于书。 9. 第1款所述命令可以对另一国家公务部门的人员发出。某些要求可以通过枢密令加给此人。第2条至第8条应比照适用。 第二部分.渗透 第126h条
1 The public prosecutor may order an undercover investigation if:1. 如果怀疑第67条第1款界定的犯罪(鉴于其性质或与嫌疑人实施和其他犯罪的联系,严重违犯了法律秩序)已经实施,则检察官可以在侦查迫切需要的情况下,命令第141b条所述侦查员加入或者协助可以合理地怀疑在筹划或实施犯罪的人的团伙。
a. it is suspected that an offence listed in paragraph 2 has been committed;2. 在执行第1款所说命令时,侦查员不得诱使人实施其已经在打算实施的犯罪之外的犯罪。 3. 渗透令应以书面形式下达且应包括: a. 包括犯罪,并且如果知道,还包括嫌疑人的姓名或者尽可能准确的称呼;
b. the seriousness of the offence justifies the covert investigation; andb. 对该团伙的描述;
c.c.
previous investigative activities have been unsuccessful or the enquiries would otherwise have no prospect of success or be made unreasonably complicated.证明第1款所述条件得到满足的事实或情节;
.d.
..在命令发出之时可能预见的程度上,包括执行命令的方式,包括任何构成犯罪的活动;
Art.e.
287 Requirements for the persons deployed包括命令有效期。
1 The following persons may be deployed as undercover investigators:4. 第1款所述命令可以下达给:
a.a.
members of a Swiss or foreign police force;另一国家公务部门遵守枢密令所述要求的人;
b. persons employed temporarily on police duties even if they have not received police training.b. 第142条所说侦查员,条件是该侦查员正根据1993年《警察法》第11节第2小节规定与第141(b) 条所说侦查员合作。 第2款和第3款应比照适用。 5. 第126g条第7款和第8款应比照适用,有一项理解是不得口头续延渗透令。 第126p条 1. 在第126o条第1款所述情况下,检察官可以在侦查迫切需要的情况下,命令第141(b)条所述侦查员加入或协助有关组织。
2 Only members of a police force may be deployed as command staff.2. 在执行第1款所说命令时,侦查员不得诱使人实施其已经在打算实施的犯罪之外的犯罪。
3 If members of a foreign police force are deployed, they are normally led by their regular commander.3. 渗透令应以书面形式下达且应包括:
Art. 288 Cover and guarantee of anonymitya. 有关组织说明; b. 证明第1款所述条件得到满足的事实或情节;
1 The public prosecutor may provide undercover investigators with a cover that gives them an identity that differs from their true identity.c. 在命令发出之时可能预见的程度上,包括执行命令的方式,包括任何构成犯罪的活动; d. 包括命令有效期。 4. 第1款所述命令可以下达给: a. 另一国家公务部门遵守枢密令所述要求的人; b. 第141(c)条或第142条所说侦查员,条件是该侦查员遵守枢密令关于培训和与第141(b)条所说侦查员合作的要求。 第2款和第3款应比照适用。 5. 第126g条第7款和第8款应比照适用,有一项理解是不得口头续延渗透令。 可查阅www.coe.int/t/dlapil/codexter/Source/pcti_questionnaireReplies/Netherlands%20reply.pdf。 实例 2007年10月5日《瑞士刑事诉讼法典》规定如下: 第5节:秘密侦查 第286条 要求 1 检察官可以命令秘密侦查,如果: a. 怀疑列入第2款的犯罪已经实施; b. 犯罪极其极其严重,有理由暗地侦查; c. 先前的侦查活动都无结果,或者询问在其他情况下也没有成功的可能或搞得无端复杂起来。 ...... 第287条 对被部署人员的要求 1 可以部署下述人员做秘密侦查员: a. 瑞士或外国警察; b. 纵使没有受过警察训练却临时受雇执行警务的人员。
2 It may guarantee to undercover investigators that their true identity will not be disclosed even if they appear in court proceedings as persons providing information or witnesses.2 只有警察可以被部署担任指挥官。
3 If undercover investigators commit an offence while deployed, the compulsory measures court shall decide on the identity under which criminal proceedings are brought.3 如果部署外国警察,他们通常由其正规指挥官领导。
Art. 289 Authorisation procedure第288条 假身份和匿名保证 1 检察官可以为秘密侦查员提供一个假身份,赋予他们一个不同于其真实身份的身份。 2 假身份也可以对秘密侦查员保证,即使他们在法庭审理中出现,作提供信息的人或证人,其真实身份也不会披露。 3 如果秘密侦查员在部署期间实施了犯罪,强制措施法院应对提起刑事诉讼所用身份做出裁决。 第289条 授权程序
1 The deployment of an undercover investigator requires the authorisation of the compulsory measures court.1 秘密侦查员部署须得到强制措施法院授权。
2 The public prosecutor shall submit the following documents to the compulsory measures court within 24 hours of ordering the undercover investigation:2 检察官应在命令秘密侦查的24小时内向强制措施法院提供下述文件:
a.a.
the order;命令;
b.b.
a statement of the reasons and the case documents relevant for authorisation.理由说明和对授权来说重要的案卷。
3 The compulsory measures court shall decide and provide a brief statement of the reasons within 5 days of the undercover investigation being ordered. It may grant authorisation subject to a time limit or other conditions, or request further information or investigations.3 强制措施法院应在秘密侦查命令下达5天内做出裁决,并做出扼要的理由说明。它可以给予附有时限或其他条件的授权,或者请求提供更多材料或进一步调查。
4 The authorisation shall expressly state whether it is permitted:4 授权应明确申明是否允许:
a.a.
to produce or alter official documents in order to create or maintain a cover;制作或修改官方文件以便制造或保持一个假身份;
b.b.
to guarantee anonymity;保证匿名;
c.c.
to deploy persons with no police training.部署没有受过警察训练的人员。
5 The compulsory measures court shall grant authorisation for a maximum of 12 months. Authorisation may be extended on one or more occasions for a maximum of 6 months at a time. If an extension is required, the public prosecutor shall file an application for the extension, stating the reasons therefor, before expiry of the current authorisation.5 强制措施法院应给予最长12个月的授权。授权可以一次或多次续延,每次最长6个月。如果需要续延,检察官应当前授权期满之前提交续延申请,说明续延理由。
6 If authorisation is not granted or no authorisation has been obtained, the public prosecutor shall terminate deployment immediately. All records must be destroyed immediately. Findings made by means of the undercover investigation may not be used.6 如果未被给予授权或者没有取得授权,检察官应立即终止部署。所有记录必须立即销毁。以秘密侦查手段取得的结果不得使用。
Art. 290 Briefing before deployment第290条 部署前介绍情况 检察官在部署之前应向指挥官和秘密侦查员介绍情况。
The public prosecutor shall brief the commanding officer and the undercover investigator before deployment.第291条 指挥官
Art. 291 Commanding officer1 在部署期间,秘密侦查员须接受指挥官的直接指示。在部署期间,检察官和秘密侦查员之间的任何联系,应只通过指挥官进行。 2 具体而言,指挥官拥有下述具体职责: a. 应向秘密侦查员详细、连续地介绍任务和权力及如何处理掩护身份。 b. 应指示秘密侦查员,给他们建议,并不断评估危险情况。 c. 应书面记录秘密侦查员所做口头报告,保存关于行动的全部档案。 d. 定期向检察官全面通报行动情况。 第292条 秘密侦查员的职责 1 秘密侦查员应根据其职责,遵守其指示,实施其行动。 2 他们应定期向其指挥官全面报告其活动及其侦查结果。 第293条 所准影响范围
1 During deployment, the undercover investigator is subject to the direct instructions of the commanding officer. During deployment, any contact between the public prosecutor and the undercover investigator shall take place exclusively via the commanding officer.1 秘密侦查员通常不得怂恿他人犯罪或者煽动已经自愿犯罪的人实施更严重犯罪。他们开展活动必须只限证实现有实施犯罪的决定。
2 The commanding officer has the following duties in particular:2 他们的活动在实施具体犯罪的决定中只能是无足轻重的。
a. he or she shall brief the undercover investigator in detail and continuously on the assignment and powers and on how to deal with the cover story.3 如果是做成主要交易所需,他们可以试买或提供其支付能力的证据。 4 如果秘密侦查员超越了授权行动范围,法院在评估根据侦查员的影响对有关人员所处刑罚时,必须适当考虑这一点,或者可以不处任何刑罚。 第294条 根据《麻醉品法》所做侦查部署
b. he or she shall instruct and advise the undercover investigator and continually assess the risk situation.秘密侦查员如果正在授权的秘密侦查过程中采取行动,不得根据1951年10月3日《麻醉品法》第19条和第20-22条被定犯罪。
c. he or she shall keep a written record of oral reports made by the undercover investigator and a full dossier on the operation.第295条 模拟交易的钱
d. he or she shall inform the public prosecutor regularly and in full on the operation.1 应检察官请求,联邦政府通过国家银行按所要求的金额、形式和面额提供用于模拟交易的款项并提供支付能力证据。 2 请求必须提交给联邦警察局,并附上案件事实摘要。
Art. 292 Duties of undercover investigators3 检察官应采取必要的预防措施以保护所提供的钱款。如果损失,联邦政府或检察官所属的州要负责。 第296条 意外发现 1 如果在秘密侦查过程中有侦查令所指犯罪以外的犯罪的证据暴露,只要为了侦查新暴露的犯罪本来就会允许的暗地侦查,就可以用该证据。 2 检察官应立即下令秘密侦查并启动授权程序。 第297条 行动结束
1 Undercover investigators shall carry out their operation in accordance with their duties and in line with their instructions.1 如果发现下述情况,检察官应立即终止行动:
2 They shall report to their commanding officer regularly and in full on their activities and their findings.a. 要求不再得到满足;
Art. 293 Scope of influence permittedb. 授权或续延授权遭拒绝; c. 秘密侦查员或指挥官没有奉行指示或者没有以某种不同方式履行其职责,特别是有意向检察官提供虚假信息。 2 在第1款a和c项规定的情况下,检察官就把行动终止之事通知强制措施法院。 3 当终止一项行动时,必须确保秘密侦查员或参与侦查的任何第三方都不会遭受任何可以避免的风险。 第298条 通知 1 检察官至迟在初审结束时应通知被告,他或她一直是秘密侦查对象。 2 如出现下述情况,通知可以迟发或不发,但要征得强制措施法院同意: a. 侦查结果不用作证据; b. 迟发或不发通知是保护公众或私人最重要利益所必需的。 3 成为秘密侦查对象的人可以根据第393-397条提出异议。提出异议的时期从收到侦查通知之时开始。 实例 德国的《刑事诉讼法典》规定如下: 第110a条 [秘密侦查员]
1 Undercover investigators may not generally encourage others to commit offences or incite persons already willing to commit offences to commit more serious offences.(1) 如果有充分事实迹象表明重大刑事犯罪在下述情况下已经实施,就可以用秘密侦查员查清刑事犯罪 1.
They must limit their activities to substantiating an existing decision to commit an offence.在毒品或武器非法贸易或者伪造钱币或官方印章领域;
2 Their activities may only be of minor significance in the decision to commit a specific offence.2. 在国家安全领域(《法院规约法》第74a条和第120条);
3 If required in order to bring about the main transaction, they may make trial purchases or provide evidence of their ability to pay.3. 在商业或习惯的基础上;
4 If the undercover investigator exceeds the remit of the authorised operation, the court must take due account of this in assessing the sentence imposed on the person subject to the investigator’s influence, or may dispense with imposing any sentence.4. 由团伙成员所为或以某种不同的有组织方式实施。如果某些事实证明有重犯的危险,也可以派秘密侦查员查清重罪。只有在使用其他手段查清严重刑事犯罪没成功可能或者要困难得多的情况下,才可以动用秘密侦查员。如果重罪特别重大,因此非采取行动不可,并且其他手段没有成功的可能,也可以用秘密侦查员查清重罪。
Art. 294 Deployment in investigations under the Narcotics Act(2) 秘密侦查员应是警察中利用所受已变的永久身份(传奇身份)实行侦查的人员。他们可以利用其传奇身份参加合法交易。
Undercover investigators may not be convicted of an offence under Articles 19 and 20–22 of the Narcotics Act of 3 October 1951 if they are acting in the course of an authorised undercover investigation.(3) 如果是树立或维持传奇身份所需,则可以起草、更改和使用有关文件。
Art. 295 Money for simulated transactions第110b条 [检察院同意;法院同意;不披露身份] (1) 只有在取得检察院同意之后,才能动用秘密侦查员。在紧急情况下且如果无法及时取得检察院的决定,应立马取得此类决定;如果检察院在三个工作日内不表示同意,则该措施应终止。同意应以书面形式给出,且有明确的时限。续延为继续动用秘密侦查员提供条件,应予以接受。 (2) 动用秘密侦查员
1 At the request of the public prosecutor, the Confederation may provide sums of money via the National Bank in the required amounts, forms and denominations for the purpose of simulated transactions and to provide evidence of an ability to pay.1. 侦查某个特定被告,或者
2 The request must be submitted to the Federal Office of Police together with a summary of the facts of the case.2. 需要秘密侦查员进入通常不允许进入的私人房舍
3 The public prosecutor shall take the precautions required to protect the money provided. In the event of loss, the Confederation or the canton to which public prosecutor belongs is liable.需要法院同意。在紧急情况下,有检察院同意足够了。在无法及时取得检察院的决定的情况下,应立马取得此类决定;如果法院在三个工作日内不表示同意,则该措施应终止。第(1)小节第三、四句,应比照适用。 (3) 即使行动已经结束,秘密侦查员的身份仍然可以保密。负责决定是否同意动用秘密侦查员的检察院和法院,可以要求向它们透露身份。在所有其他情况下,在刑事诉讼中保守身份秘密,根据第96条规定,应可以接受,如果有理由担心透露身份会危及秘密侦查员或另一个人的生命、肢体或自由,或者会危害继续动用秘密侦查员,更应接受。
Art. 296 Accidental finds见www.gesetze-im-internet.de/englisch_stpo/german_code_of_criminal_procedure.pdf。 第16条. 电子监视
1 Where evidence of an offence other than that named in the investigation order comes to light in the course of an undercover investigation, the evidence may be used provided the ordering of a covert investigation would have been permitted in order to investigate the offence newly disclosed.1. 为了本条的目的,电子监视包括监测、拦截、复制或操纵以电子手段传输的信息或信号。
2 The public prosecutor shall order an undercover investigation immediately and begin the authorisation procedure.2. 电子监视如果根据本条规定得到了授权,就是合法的。
Art.3.
297 Conclusion of the operation官员、个人和援助他们的法人,均不对根据本条规定获得授权的行动承担民事或刑事责任。
1 The public prosecutor shall terminate the operation immediately if:4. [插入指定机构的名称]的[高级官员]可以向[插入有关主管或司法机构的名称]申请进行电子监视的[授权令]。申请必须具体说明:
a. the requirements are no longer met;(a) 拟议监视的类型;
b. authorisation or an extension thereof is refused; or(b) 要实行的监视的目的;
c. the undercover investigator or the commanding officer fails to follow instructions or fails to carry out his or her duties in some other way, in particular by wilfully providing false information to the public prosecutor.(c) 预期将收集的信息的性质;
2 In cases under paragraph 1 letters a and c, the public prosecutor shall notify the compulsory measures court of the termination of the operation.(d) 要监视的个人或装置;及
3 When terminating an operation, it must be ensured that neither the undercover investigator nor any third parties involved in the investigation are exposed to any avoidable risks.(e) 为确保个人隐私和人权尽可能得到保护而实施的措施。
Art.5.
298 Notice[主管/司法机构]可以酌情下达授权令,授权进行电子监视。
1 The public prosecutor shall give notice to the accused at the latest on conclusion of the preliminary proceedings that he or she has been the subject of an undercover investigation.6. [授权令]可以包括附加于授权的任何条件。
2 Notice may be deferred or dispensed with, subject to the consent of the compulsory measures court, if:7. [授权令]必须具体讲明最长[插入合理的时期]的有效期。授权令可以凭申请续发。
a. the findings are not used as evidence; and8. 在行使第2款规定的酌处权时,[主管机构][司法机构]应考虑:
b. deferring or dispensing with notice is necessary to protect overriding public or private interests.(a) 所寻求的授权在各种情况下是否合理和相称;
3 Persons who have been the subject of an undercover investigation may file an objection in accordance with Articles 393—397. The period for filing the objection begins on receipt of notice of the investigation.(b) 它是否确保所有有关人员的人权,包括隐私权,在此情况下得到了尽可能大的保护。
Example9. 每项授权令的副本必须提供给[插入监督机构的名称]。
The Criminal Code of Procedure of Germany provides the following:10. 机构首席官员可以书面授权官员和其他个人开展授权令规定的活动。 11. 官员可以请求某人,包括电子通信服务商的援助,以实行获得授权的监视。
Section 110a [Undercover Investigators]12. 通过电子监视获得的信息,未经[执法机构首长或代表]批准,不能在[有关执法机构]以外传播。此类批准只可以为下述目的而给予:
(1) Undercover investigators may be used to clear up criminal offences where there are sufficient factual indications showing that a criminal offence of substantial significance has been committed(a) 预防或起诉[严重犯罪];
1.(b) 增进预防或起诉[严重犯罪]的国际合作; (c) 确保适当监督有关机构的活动。 13.
in the sphere of illegal trade in drugs or weapons, of counterfeiting money or official stamps;[执法机构首长]必须确保,已经根据监视设备授权令收集到的但与预防或起诉[严重犯罪]无关的材料实际尽快销毁,且不得迟于授权令期满六个月。
2.14.
in the sphere of national security (sections 74a and 120 of the Courts Constitution Act);在监视设备授权令期满六个月内,[执法机构首长]必须使一份关于根据授权令开展的活动及根据授权令获得的信息材料的用处的报告,提交给[插入适当机构,如检察长]。报告副本必须提供给[插入监督机构的名称]。
3. on a commercial or habitual basis;15.
or[执法机构首长]每年要向[议会/议会委员会/公开]:
4.(a) 所寻求监视授权令的数量; (b) 授予次数; (c) 使用根据监视授权令获取的证据或信息的起诉的次数。 评注 来源:《有组织犯罪公约》第20条。 此项规定起草,假定多数国家都已经有允许直接监视的法律。这项规定意欲补充有关这个问题的已有法律。 以窃听设施为形式的电子监视或拦截通信起着类似的作用,在组织十分严密,外人无法渗透,或直接渗透或监视给侦查或侦查者的安全造成过高的风险的情况下往往更为可取。鉴于电子侦查的干扰性,通常必须对之进行严格的司法控制,并且必须从法律上订立许多保障措施以防止滥用。 《联合国打击跨国有组织犯罪公约及其议定书实施立法指南》,第183页。 在国家法中界定电子监视时,关键是做到技术上中立;因此,这些示范立法规定建议提到“以电子手段传输的信息或信号”。如果具体列明任何技术清单,使用包容式语言(“诸如.
by a member of a gang or in some other organized way......
Undercover investigators may also be used to clear up felonies where certain facts substantiate the risk of a repetition.”),以顾及技术未来的进展,也很重要。 永远不可能全面公开审查秘密行动,因为这可能会危害行动和可能需要得到保护并可能需要再度利用的方法和来源。因此,这条草案鼓励对使用电子监视采用两级审查。第一级审查要求向以审查这种手段使用为任务的监督机构报告。提供给监督机构的报告可以详细说明行动,监督机构随后对是否遵守了适当程序做出其独立评估。第二级审查涉及向议会做出更全面报告的职能,报告所寻求和下达的授权令的次数,不用提供任何有关方法和来源的信息。 实例 关于电子监视,见《联合王国侦查权力管理法》(2000年)(www.legislation.gov.uk/ukpga/ 2000/23/contents)。 第17条.
Their use shall only be admissible where other means of clearing up the serious criminal offence would offer no prospect of success or be much more difficult.国际执法合作 1.
Undercover investigators may also be used to clear up felonies where the special significance of the offence makes the operation necessary and other measures offer no prospect of success.[插入所有有关执法机构的名称]的职能包括在符合本国法律和行政管理制度的情况下,与外国执法机构和主管国际与区域组织合作,并协助它们预防、查明和打击这些示范立法规定适用的犯罪。
(2) Undercover investigators shall be officials in the police force who carry out investigations using a changed and lasting identity (legend) which is conferred on them.2.
They may take part in legal transactions using their legend.虽然有任何其他法律,但[插入国家执法机构的名称]可与他国的外国执法机构,并且在相关时,也与国际组织合作,为它们提供个人或其他信息,以便预防、查明和打击这些示范立法规定在两者之中任一个管辖区域中适用的犯罪。
(3) Where it is indispensable for building up or maintaining a legend, relevant documents may be drawn up, altered and used.3. [插入国家执法机构的名称]也可以就下述事项与外国执法机构或国际区域组织合作:
Section 110b [Consent of the Public Prosecution Office; Consent of the Court; Non-Disclosure of Identity](a) 提供物品、物质、文件或记录供分析或侦查使用;
(1) The use of an undercover investigator shall be admissible only after the consent of the public prosecution office has been obtained. In exigent circumstances and if the decision of the public prosecution office cannot be obtained in time, such decision shall be obtained without delay; the measure shall be terminated if the public prosecution office does not give its consent within three working days. Consent shall be given in writing and for a specified period. Extensions shall be admissible providing the conditions for the use of undercover investigators continue to apply.(b) 临时调派或交换人员,包括提供专家和委派联络官;
(2) Use of undercover investigators(c) [联合侦查;] (d) 证人保护,包括转移被保护的证人;
1. concerning a specific accused, or(e) 其他行政协助。
2.4.
which involve the undercover investigator entering private premises which are not generally accessible[插入国家执法机构的名称]可以与外国执法机构或国际区域组织谈判并缔结协定,目的是促进执法合作,以预防、查明和打击这些示范立法规定适用的犯罪。 评注 来源:《有组织犯罪公约》第27条。 《公约》第27条第1款要求各国在符合本国法律和行政管理制度的情况下互相合作,以加强打击《公约》所涵盖犯罪的执法行动的有效性。《公约》还要求各国就下述事项采取更多具体的措施: (a) 建立并加强各国主管当局、机构和部门之间的联系渠道,以促进安全、迅速地交换情报(第27条第1款(a)项); (b) 就查明和找出犯罪嫌疑人、犯罪所得和犯罪工具开展合作(第27条第1款(b)项)。 在某些情况下,人们可能会关切,与外国执法机构合作超出了国家执法机构的权限。在这种情况下,国家通过法律具体阐明,主管机构的职能之一是与外国执法对应机构,包括《有组织犯罪公约》其他缔约国的机构,还有国际刑事警察组织(国际刑警组织)及其他有关区域组织合作。 尽管第27条第1款根据《公约》预防重点,只提到了打击本《公约》所涵盖的犯罪(见《公约》第1条),这些示范立法规定却建议赋予执法机构与其对应机构合作的权力,以“预防、查明和打击”这些示范立法规定所涵盖的犯罪。 本条规定草案第2款意在宣布隐私/保密规定无效,但并不强迫提供信息。它涵盖了信息方面的合作。其目的是,如果这样,就会允许就《公约》第27条第1款(b)项更具体列出的所有事项开展合作,包括但不限于: (a) 有组织犯罪集团的身份、性质、组成情况、结构、所在地或活动(第26条第1(a)㈠款);
shall require the consent of the court. In exigent circumstances consent of the public prosecution office shall suffice. Where the decision of the public prosecution office cannot be obtained in time, such decision shall be obtained without delay. The measure shall be terminated if the court does not give its consent within three working days. Subsection (1), third and fourth sentences, shall apply mutatis mutandis.(b) 与其他有组织犯罪集团之间的联系,包括国际联系(第26条第1(a)㈡款);
(3) The identity of the undercover investigator may be kept secret even after the operation has ended. The public prosecution office and the court responsible for the decision whether to consent to the use of the undercover investigator may require the identity to be revealed to them. In all other cases, maintaining the secrecy of the identity in criminal proceedings shall be admissible pursuant to Section 96, particularly if there is reason to fear that revealing the identity would endanger the life, limb or liberty of the undercover investigator or of another person, or would jeopardize the continued use of the undercover investigator.(c) 有组织犯罪集团所实施或可能实施的犯罪(第26条第1(a) = 3 \* GB4 ㈢款);
See www.gesetze-im-internet.de/englisch_stpo/german_code_of_criminal_procedure.pdf.(d) 有组织犯罪集团采用的具体手段和方法,包括路线和交通工具,利用假身份、经变造或伪造的证件或其他掩盖其活动的手段(第27条第1款(e)项)。
Article 16. Electronic surveillance《公约》提到各缔约国缔约双边协定,以促进一般(以打击这些示范立法规定所涵犯罪)和涉及以下事项的执法合作: (a) 建立或加强其主管当局、机构和部门之间的联系渠道,以促进安全、迅速地交换有关本公约所涵盖犯罪的各个方面的情报; (b) 加强人员和其他专家的交流,包括派出联络官员; (c) 交换关于有组织犯罪集团采用的具体手段和方法的资料,包括关于路线和交通工具,利用假身份、经变造或伪造的证件或其他掩盖其活动的手段的资料。 本条规定草案第3款意在赋予具体所说执法机构以缔结此类协定的权力。立法起草人也似宜考虑如何传递合作与交换信息的请求,例如通过国际刑警组织I-24/7系统或任何区域渠道。 实例 1979年《澳大利亚联邦警察法》(英联邦)明确把为外国执法机构提供支持和援助列为一项职能: 8职能 (1) 澳大利亚联邦警察局的职能是: (a) ...... (bf) 提供警察服务或警察支助服务,以便协助澳大利亚或外国下述机 构,并与它们合作: ㈠ 执法机构; ㈡ 情报或安全机构;  = 3 \* GB4 ㈢ 政府管理机构;[......] 第18条. 联合侦查
1.1.
For the purpose of this article, electronic surveillance includes the monitoring, interception, copying or manipulation of messages or signals transmitted by electronic means.在适当情况下,[插入执法机构的名称]可以与外国执法机构和有关国际和区域组织,就设立联合调查机构,做出安排。
2.2.
Electronic surveillance is lawful if it has been authorized in accordance with this article.除了第1款规定外,[插入国家执法机构的名称]可以就一国或多国预防、侦查和启动这些示范立法规定适用的犯罪的审判程序事宜,与外国执法机构和有关国际和区域组织订立协定或安排。
3.3.
Officials, individuals and legal persons assisting them are not subject to civil or criminal liability for conduct that has been authorized in accordance with this article.在此类协定或安排已经订立[或者甚至没有协定,具体情况具体处理]的情况下,[国家执法机构]可以与有关国家、国际组织或区域组织开展联合[行动/侦查]。
4. A [senior official] from [insert name of designated agencies] may apply to [insert name of relevant competent or judicial authorities] for a [warrant] to undertake electronic surveillance. The application must specify:评注
(a) The type of surveillance that is proposed;选择性条文。
(b) The purpose for which the surveillance is to be undertaken;来源:《有组织犯罪公约》第19条。
(c) The nature of the information that it is expected will be collected;尽管《公约》第27条着重鼓励和促进一般跨境执法合作,但第19条更具体侧重利用联合侦查。
(d) The individuals or devices that are the target of the surveillance; and (e) The measures that are in place to ensure that the privacy and other human rights of individuals is protected as far as is possible. 5. The [competent/judicial authority] may, at its discretion, issue a warrant authorizing the use of electronic surveillance. 6. The [warrant] may include any conditions attaching to the authority. 7. The [warrant] must specify the time period of validity up to a maximum of [insert reasonable time period]. Warrants may be renewed on application. 8. In exercising discretion under paragraph 2, the [competent authority] [judicial authority] shall consider whether: (a) The authority sought is reasonable and proportionate in all of the circumstances; (b) It ensures the human rights of all persons concerned, including the right to privacy, are protected as far as is possible in the circumstances. 9. A copy of each warrant must be provided to [insert name of oversight body]. 10. The chief officer of the agency may authorize in writing officers and other individuals to carry out activities under the warrant. 11. An official may seek assistance from a person, including a provider of electronic communication services, to effect surveillance authorized. 12. Information obtained through electronic surveillance cannot be disseminated outside the [relevant law enforcement agency] without the approval of [the head of the law enforcement agency or delegate]. Such approval may be given only for the purposes of: (a) Preventing or prosecuting [serious crime]; (b) Enhancing international cooperation on the prevention or prosecution of [serious crime]; or (c) Ensuring proper oversight of the activities of the agency. 13. The [head of the law enforcement agency] must ensure that information which has been collected under a surveillance devices warrant but which is not relevant to the prevention or prosecution [of a serious crime] is destroyed as soon as practical, and no later than six months after the expiry of the warrant. 14. Within six months of the expiry of a surveillance devices warrant the [head of the law enforcement agency] must cause a report to be provided to [insert appropriate authority, such as Attorney General] about the activities carried out in reliance on the warrant and the utility of the information obtained under the warrant. A copy of the report is to be provided to [insert name of oversight body].《有组织犯罪公约》第19条鼓励但不要求各缔约国订立协定或安排以便利联合调查机构。这些可以是一个联络点,各国通过它可以对一国或多国侦查、起诉或审判程序事项进行联合侦查。在缺乏此类协定的情况下,《公约》各缔约国承认,此类联合侦查可以通过逐案协定进行。各缔约国需要确保在其领土上进行此类侦查的缔约国的主权得到尊重。
15. The [head of the law enforcement agency] is to report annually to [Parliament/Parliamentary committee/publically] on:《立法指南》提议,以立法形式,通过联合侦查实施《有组织犯罪公约》第19条,可能要求很少。然而,鉴于各国想采用的联合侦查模式,需要考虑这一点。
(a) The number of surveillance warrants sought; (b) The number that were granted; and (c) The number of prosecutions where evidence or information obtained under a surveillance warrant was used. Commentary Source: Organized Crime Convention, article 20. This provision is drafted on the assumption that most States will already have laws that permit physical surveillance. This provision is intended to supplement pre-existing laws on this issue. Electronic surveillance in the form of listening devices or the interception of communications performs a similar function and is often preferable where a close-knit group cannot be penetrated by an outsider or where physical infiltration or surveillance would represent an unacceptable risk to the investigation or the safety of investigators. Given its intrusiveness, electronic surveillance is generally subject to strict judicial control and numerous statutory safeguards to prevent abuse. Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, pp. 183. When defining electronic surveillance in national law, it is important to be technologically neutral; hence, these model legislative provisions recommend referring to “messages and signals transmitted by electronic means”. If specifying any list of technologies, it is also important to use inclusive language (“such as ...”), to allow for future advances in technology. It will never be possible to have full public scrutiny of covert operations as this would potentially jeopardize operations and methods and sources which need to be protected and may need to be reused. Accordingly, this draft article encourages the use of two levels of scrutiny of use of electronic surveillance. The first level involves reporting to an oversight body, tasked with scrutiny of the use of these techniques. Reports provided to this body can go into detail about the operations, and the oversight body then makes its own independent assessment of whether proper processes are being followed. The second level involves a more general reporting function to the Parliament about the number of warrants sought and granted, without providing any information about methods and sources.2008年9月2日至4日,在联合国打击跨国有组织犯罪公约缔约国会议第四届会议召开之前,联合侦查问题非正式专家工作组会议在维也纳召开。与会专家确定了两个主要的联合侦查模式:
Example On electronic surveillance, see the United Kingdom Regulation of Investigatory Powers Act (2000) (www.legislation.gov.uk/ukpga/2000/23/contents). Article 17. International law enforcement cooperation 1. The functions of [insert name/s of all relevant law enforcement authority/ies] include assisting and cooperating, consistent with domestic legal and administrative systems, with foreign law enforcement agencies and competent international and regional organizations, to prevent, identify and combat offences to which these model legislative provisions apply. 2. Notwithstanding any other law, the [insert name of national law enforcement authority] may cooperate and provide personal or other information to a foreign law enforcement authority of another State and, where relevant, international regional organizations, for the purpose of preventing, identifying and combating the offences to which these model legislative provisions apply in either jurisdiction. 3. The [insert name of national law enforcement authority] may also cooperate with a foreign law enforcement authority or international regional organization, with regard to: (a) Providing items, substances, documents or records for analytical or investigative purposes; (b) Seconding or exchanging personnel, including by making experts available and the posting of liaison officers; (c) [Joint investigations;] (d) Witness protection, including relocation of the protected witness; (e) Other administrative assistance. 4. The [insert name of national law enforcement authority] may negotiate and conclude agreements with foreign law enforcement authorities or international regional organizations, for the purposes of enhancing law enforcement cooperation to prevent, identify and combat the offences to which these model legislative provisions apply. Commentary Source: Organized Crime Convention, article 27. Article 27, paragraph 1, of the Convention requires States to cooperate with one another, consistent with their respective domestic legal and administrative systems, to enhance the effectiveness of law enforcement action to combat the offences covered by the Convention. The Convention also requires States to take more specific measures, regarding: (a) Establishing or enhancing channels of communication between their competent authorities, agencies and services to facilitate the fast and secure exchange of information (article 27, paragraph 1 (a)); (b) Cooperation with regard to the identification and location of suspects, proceeds and instrumentalities of crime (article 27, paragraph 1 (b)). In some contexts, there may be a concern that cooperating with foreign law enforcement agencies is beyond the competence of the national law enforcement authority/ies. In these instances, it may be useful for the State to specify through law that one of the functions of the authority is to cooperate with foreign law enforcement counterparts, including the agencies of other States parties to the Organized Crime Convention, as well as the International Criminal Police Organization (INTERPOL) and other relevant regional organizations. While article 27, paragraph 1, refers only to combating the offences covered by this Convention, in line with the prevention focus of the Convention (see article 1 of the Convention), these model legislative provisions recommend empowering law enforcement authorities to cooperate with their counterparts to “prevent, identify and combat” offences covered by these model legislative provisions. Paragraph 2 of this draft provision is intended to override privacy/secrecy provisions but not to compel the provision of information. It covers cooperation regarding information. It is intended that this would allow cooperation on all of the items listed more specifically in article 27, paragraph 1 (b) of the Convention, including, but not limited to: (a) The identity, nature, composition, structure, location or activities of organized criminal groups (article 26, paragraph 1 (a)(i)); (b) Links, including international links, with other organized criminal groups (article 26, paragraph 1 (a)(ii)); (c) Offences that organized criminal groups have committed or may commit (article 26, paragraph 1 (a)(iii)); (d) Specific means and methods used by organized criminal groups, including routes and conveyances, and the use of false identities, altered or false documents or other means of concealing their activities (article 27, paragraph 1 (e)). The Convention refers to States parties concluding bilateral agreements to facilitate law enforcement cooperation generally (to combat the offences covered by these model legislative provisions) as well as with regard to: (a) Establishing or enhancing channels of communication between their competent authorities, agencies and services in order to facilitate the secure and rapid exchange of information concerning all aspects of the offences covered by these model legislative provisions; (b) Promoting the exchange of personnel and other experts, including the posting of liaison officers; (c) Exchanging information on specific means and methods used by organized criminal groups, including routes and conveyances, the use of false identities, altered or false documents or other means of concealing their activities. Paragraph 3 of this draft provision is intended to empower specified law enforcement agencies to make such agreements. Legislative drafters may also wish to consider how communication of requests for cooperation and exchange of information shall be carried out, such as through the I-24/7 system of INTERPOL or any regional channels. Examples The Australian Federal Police Act 1979 (Commonwealth) specifically lists the provision of support and assistance to foreign law enforcement agencies as a function: 8 Functions (1) The functions of the Australian Federal Police are: (a) ... (bf) the provision of police services and police support services for the purposes of assisting, or cooperating with, an Australian or foreign: (i) law enforcement agency; or(a) 有一个共同目标的平行协调侦查。根据这种模式,每个国家的执法机构应在各自领土上开展平行侦查,可能得到联络网或个人联系的协助。这些侦查将得到要求移交证据司法协助请求的补充。在这种模式中,侦查员不是处于同一地点。可能没有必需确定平行协调侦查的法律依据或必要性有限。
(ii) intelligence or security agency; or(b) 并合联合侦查队。根据这种模式,侦查队可能包括来自至少两个国家的人员。这种性质的侦查队可能是被动的(例如,来自一国的人员与来自东道国的人员合并,却以咨询角色行事)或主动的(例如,侦查队包含来自至少两个管辖区的人员,他们都有法定权力在侦查队行动所在领土或管辖区行使至少某些行动权力)。有可能需要确定并合联合侦查队的法律依据。
(iii) government regulatory agency; [...]联合侦查问题非正式专家工作组已经指出:
Article 18. Joint investigations并合侦查队,在并合/被动侦查队的情况下,通常处于同一地点;其依据要么是授权外国人员被任命/指定的国家法律,要么是技术援助协定。在并合/主动侦查队的情况下,如若合适,外国人员则也可以根据现行国家法律予以指定。欧洲联盟成员国的有关立法,都基于临时调派的外国人员概念;外国人员,视法定酌处权,也有能力在开展业务活动的东道国队长的控制下,行使权力。并合/主动侦查队,被一位专家描述为一种特别创造的基础设施,使来自至少两个国家的人员能够在一个管辖区工作,拥有至少某些相当的行动权力。获准参加此类侦查队的人员,取决于有关制度,例如,由审问式大陆法系人员组成的侦查队,通常会包括一个法官或检察官以及执法人员。
1. Where appropriate, the [insert name of law enforcement authority] may conclude arrangements with a foreign law enforcement agency and relevant international and regional organizations regarding the establishment of a joint investigative body.专家组查明了开展联合侦查的各种法律障碍,包括:
2. In addition to the provision in paragraph 1, the [insert name of national law enforcement authority] may enter into agreements or arrangements with foreign law enforcement authorities and relevant international and regional organizations in relation to the prevention, investigation and prosecution of judicial proceedings for offences to which these model legislative provisions apply in one or more States.缺乏处理开展联合侦查的明确法律框架或具体授权立法
3. Where such an agreement or arrangement has been made [or on a case-by-case basis even without agreement], the [national law enforcement authority] may engage in joint [operations/investigations] with the relevant State or international or regional organization.行动控制,如对特工人员,不清楚
Commentary承担联合侦查费用的责任
Optional. Source: Organized Crime Convention, article 19. While article 27 of the Convention focuses on encouraging and facilitating law enforcement cooperation across borders generally, article 19 has a more specific focus on the use of joint investigations. Article 19 of the Organized Crime Convention encourages but does not require States parties to establish agreements or arrangements to facilitate joint investigative bodies. These could be a focal point through which States could undertake joint investigations for matters that are the subject of investigations, prosecutions and judicial proceedings in one or more States. In the absence of such agreements, States parties to the Convention recognize that such joint investigations may be undertaken by agreement on a case-by-case basis. States parties are required to ensure that the sovereignty of the State party in whose territory such investigations take place is respected. The Legislative Guides suggests that little may be required by way of legislation to implement article 19 of the Organized Crime Convention through joint investigations. However, this needs to be considered in the light of the model of joint investigations that States want to adopt. A meeting of an informal expert working group on joint investigations was held in Vienna from 2 to 4 September 2008 prior to the fourth session of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime. Experts at the meeting identified two main models of joint investigations: (a) Parallel, coordinated investigations, with a common goal. Under this model, the law enforcement authorities in each State undertake parallel investigations in their respective territories, possibly assisted by a liaison network or personal contacts. These investigations will be supplemented by mutual legal assistance requests for transferring evidence. The investigators in this model are not co-located. There may be limited or no need to establish a legal basis for parallel, coordinated investigations. (b) Integrated joint investigative teams. Under this model, the investigative team includes officers from at least two States. Teams of this nature can be passive (for example, an officer from one State is integrated with officers from the host State but acts in an advisory role) or active (for example, the team includes officers from at least two jurisdictions, all of whom have the legal power to exercise at least some operational powers in the territory or jurisdiction where the team is operating). There will likely be a need to establish a legal basis for integrated joint investigative teams. As noted by the informal expert working group on joint investigations: Integrated teams are usually co-located, in the case of the integrated/passive team; this is on the basis of either national legislation enabling a foreign officer to be appointed/designated or a technical assistance agreement. In the case of the integrated/active team, foreign officers may also be designated based on existing national legislation providing it is adequate. Relevant legislation in States members of the European Union is based on the concept of a seconded foreign officer with the ability, subject to statutory discretion, to exercise powers under control of a team leader of the host State where the operational activity is taking place. The integrated/active model was described by one expert as a specially created infrastructure enabling officials from at least two countries to work in one jurisdiction with at least some equivalent operational powers. The officials allowed to participate in such a team will depend on the system in question, for instance, teams formed from officials of inquisitorial civil law systems will normally include a judge or prosecutor as well as law enforcement officers. The expert working group identified various legal impediments relating to the establishment of joint investigations including: The lack of a clear legal framework or specific enabling legislation dealing with the establishment of joint investigations Lack of clarity regarding operational control, e.g. in relation to undercover officers Liability for costs of the joint investigation Legislation will likely be required for establishment of the integrated/active model, as this involves the operational deployment of officers from foreign jurisdictions. For the purposes of the integrated/active model, the following issues were identified as requiring legislation: The equivalence of powers for foreign law enforcement officers Operational control and where this should lie Evidence-gathering by foreign law enforcement officers (especially with the use of coercive means) and thereafter its admissibility in any proceedings The possibility for a team member to gather evidence in their home jurisdiction without the necessity of a formal mutual legal assistance request The civil and criminal liabilities of foreign law enforcement officers The exchange of operational information and control over such information once exchanged In the expert working group meeting on joint investigations, it was noted that the issue of equivalence of powers needs to be addressed in law before States can engage in integrated joint investigations. There are a variety of options for how this might operate. As noted by the expert working group: The experience within the expert working group showed that foreign officers designated in countries under existing statutory powers (although this is generally not sufficient for the purposes of an integrated/active team) and on the basis of European Union legislation as seconded officers, exercised powers under host State control. Within the European Union, the issue of whether a seconded (foreign) officer could participate in investigative actions or be present when investigative actions were being carried out, or is to be excluded from such actions, was a matter of statutory discretion in most cases left to the day-to-day team leader of the joint investigation, and there were no specific examples of officers using hard coercive powers. Other examples provided by experts from European Union member States showed that seconded officers were not able to exceed the extent of their domestic powers. In other words, they could not be granted more powers in the host State than they were entitled to exercise in their home jurisdiction, and in those European Union member States represented in the expert working group, there were no specific legislative provisions dealing with the carrying of weapons; this would be covered in the operational agreement on the basis of applicable national legislation. Examples Ireland has a specific law regulating the making and receipt of requests for the establishment of joint investigative teams and the functions and powers of such teams (The Criminal Justice (Joint Investigation Teams) Act 2004). The law includes criteria for when joint investigative teams might be established and also specifies the information that must be provided by the requesting State wanting to establish a joint investigation team. The provision for making a request is in section 3 (below), and an equivalent section for receiving requests is in section 4 (not reproduced here): See www.irishstatutebook.ie/pdf/2004/en.act.2004.0020.pdf.确立并合/主动模式,可能需要立法,因为这涉及来自外国管辖区人员的行动部署。就并合/主动模式而言,确定下述问题需要立法:
3.—(1) Where the Competent Authority is satisfied that—外国执法人员的权力均等
(a) either—行动控制和应在何处控制
(i) an offence has been committed, or there are reasonable grounds for suspecting that an offence has been committed, in the State and the investigation of the offence or suspected offence has links with another Member State or States, or外国执法人员收集证据(特别是用强迫手段)和嗣后该证据在任何诉讼中的可采性
(ii) conduct which would constitute an offence if it occurred in the State has occurred, or there are reasonable grounds for suspecting that such conduct has occurred, partly in the State and partly in another Member State or States,侦查队员在本国管辖区收集证据而不必提出正式司法协助请求的可能性
and外国执法人员的民事和刑事责任
(b) there are reasonable grounds for believing that it is in the public interest, having regard to the benefit likely to accrue to the investigation of the offence or suspected offence concerned or into the conduct concerned, to establish a joint investigation team with that other Member State or those other Member States because—行动信息交流和交流后此类信息的控制
(i) part of the investigation is being, or it is anticipated that it will be, conducted in that other Member State or those other Member States, or联合侦查问题专家工作组会议指出,权力均等问题必须在法律中得到解决,然后各国才能从事并合联合侦查。这事如何办,可以有各种不同的选择。专家工作组已经指出:
(ii) the investigation requires coordinated and concerted action by the Member States (including the State) concerned,专家工作组内部的经验表明,根据现有法定权力(虽然这对并合/主动侦查队来说通常是不够的)并基于欧洲联盟立法在各国被指定为临时调派人员的外国人员,在东道国的控制下行使权力。在欧洲联盟内,临时调派(外国)人员能否参加侦查行动,或者在侦查行动实施之际能否在场,或者是否可被排除在此类行动之外的问题,在多数情况下是一个法定酌处权问题,留给联合侦查每日领队去决定,并且没有人员使用强硬强迫权力的具体事例。
the Competent Authority may request the competent authority or authorities of that other Member State or those other Member States to establish a joint investigation team to investigate the offence, suspected offence or conduct concerned.欧洲联盟成员国专家提供的其他事例表明,临时调派人员不能超越其国内权力的范围。换句话说,在东道国不能赋予他们多于在本国管辖区内有权行使的权力;在那些派代表参加专家工作组的欧洲联盟成员国中,没有处理携带武器的具体立法规定;这将根据适用的国家法律载入行动协定。
(2) A request under subsection (1) shall specify the following:实例
(a) the competent authority making the request,爱尔兰有一项具体法律管辖提出和接收建立联合调侦查队的请求以及此类侦查队的职能与权力(2004年《刑事司法(联合侦查队)法》)。这项法律包括了联合侦查队何时可以建立的标准,还具体阐明了想要建立联合侦查队的请求国必须提供的信息。提出请求的规定在第3节(下文),收到请求的相应章节在第4节(此外没有转载):
(b) the purpose of the request, (c) the conduct to be investigated, (d) the identity and nationality (if known) of the person or persons whose conduct is to be investigated, (e) proposals in respect of the membership of a joint investigation team, and (f) the period for which a joint investigation team is required. (3) The Competent Authority shall furnish to the other competent authority or authorities concerned such other information (if any) as is specified to the Competent Authority and is reasonably required by that authority or those authorities to decide whether or not to agree to establish a joint investigation team.见www.irishstatutebook.ie/pdf/2004/en.act.2004.0020.pdf。
(4) Where any of the competent authorities concerned accedes to a request under subsection (1), the Competent Authority may, subject to this Act, agree with that authority and any other competent authority concerned to establish a joint investigation team to investigate the offence, suspected offence or conduct concerned.3.—(1) 如果主管当局确信——
(5) The Competent Authority and the competent authority or authorities concerned may, pursuant to an agreement under subsection (4), establish a joint investigation team.(a) 要么—— ㈠ 在本国犯罪已经实施,或者有合理理由怀疑犯罪已经实施,并且侦查犯罪或可疑犯罪同另一个或多个国家有联系,要么 ㈡ 如果发生在本国就会构成犯罪的行为已经发生,或者有合理理由怀疑此类行为已经发生,部分发生在本国,部分发生在另一个或多个成员国,
Irish national law also specifies the requirements of an agreement to establish a joint investigation team:且 (b) 有合理理由相信,正是为了公共利益,顾及侦查有关犯罪或可疑犯罪或者侦查有关行为可能带来的利益,与该其他一个或多个成员国建立联合侦查队,因为—— ㈠ 部分侦查正在或者预计将在该另一个或多个成员国进行,或者
8.—(1) An agreement under section 3(4) or 4(3) to establish a joint investigation team shall be in writing and shall specify the following:㈡ 侦查需要有关成员国(包括本国)采取协调一致行动, 主管机构可以请求该另一个或多个成员国主管机构建立联合侦查队,以侦查有关犯罪、可疑犯罪或行为。 (2) 第(1)小节规定的请求应明确规定下述事项:
(a) the parties to the agreement;(a) 提出请求的主管机构,
(b) the purposes for which the team is established;(b) 请求的目的,
(c) the identity and nationality (if known) of the person or persons whose conduct is to be investigated;(c) 要侦查的行为,
(d) the membership of the team, including the identity (if known) of the member of it who is to be the team leader in each of the Member States (including the State) establishing the team and in which it or a part of it is to operate;(d) 行为将被侦查的人的身份或国籍(如果知道),
(e) the period for which the team is to operate;(e) 关于联合侦查队成员资格的提议,
(f) the financial arrangements for the team, including arrangements for the payment to its members of remuneration and allowances for expenses (if any) incurred by them and the payment of other expenses that may be incurred by it in the performance of its functions;(f) 需要联合侦查队的时期。 (3) 本主管机构应向其他一个或多个主管机构提供本主管机构指定的并且是其他主管机构决定是否同意建立联合侦查队合理所需的其他信息(若有)。 (4) 如果任何有关主管机构同意第(1)小节规定的请求,则本主管机构,除遵守本《法》之外,还可与该机构和有关任何其他主管机构协定建立联合侦查队,以侦查有关犯罪、可疑犯罪或行为。 (5) 本主管机构和有关一个或多个主管机构可以根据第(4)小节规定的协定,建立联合侦查队。 爱尔兰国家法律还具体阐明了对建立联合侦查队协定的要求: 8.—(1) 第3(4)节或第4(3)节规定的建立联合侦查队的协定,应采取书面形式,且应具体阐明如下事项: (a) 协定当事方; (b) 侦查队建立的目的; (c) 行为将被侦查的人的身份和国籍(如果知道); (d) 侦查队的成员资格,包括侦查队将在每个设立该侦查队的成员国(包括本国)和该侦查队或其部分行动所在成员国担任队长的成员的身份(如果知道); (e) 侦查队行动期; (f) 侦查队的财务安排,包括支付其成员薪酬和他们所致其他费用(若有)的补贴及支付侦查队在履行其职能时可能招致的其他费用的安排;
(g) the participants (if any) in the team and whether section 7(5) is to apply to such participants; and(g) 侦查队的参与者(如果有)和第7(5)节是否适用于此类参与者;
(h) such other terms and conditions (if any) as are agreed by the Competent Authority and the other competent authority or authorities concerned.(h) 本主管机构与有关其他一个或多个主管机构商定的其他条款条件(如果有)。
(2) If the period for which a joint investigation team is to operate is extended under section 5(1), the agreement under subsection (1) to establish the team shall be amended accordingly.(2) 如果联合侦查队行动期根据第5(1)节予以延长,则第(1)小节规定建立侦查队的协定应相应加以修正;
(3) If the Competent Authority agrees under section 5(3) with the other competent authority or authorities concerned to amend the agreement establishing a joint investigation team, the agreement under subsection (1) to establish the team shall be amended accordingly.(3) 如果本主管当局根据第5(3)节与有关其他一个或多个主管机构同意修正建立联合侦查队的协定,则第(1)小节规定建立侦查队的协定应相应加以修正;
(4) If the State pursuant to an agreement under subsection (4) of section 5 joins a joint investigation team, the agreement to establish the team concerned, as amended by the agreement under that subsection, shall insofar as is reasonably practicable be in accordance with subsection (1).(4) 如果本国根据第5节第(4)小节规定的协定加入联合侦查队,则建立有关侦查队的协定,经该小节规定的协定修正后,应在尽可能合理切实的范围内,符合第(1)小节。
(5) If another Member State pursuant to an agreement under section 5(5) joins a joint investigation team, the agreement under subsection (1) to establish the team concerned shall be amended to take account of that agreement under section 5(5).(5) 如果另一个成员国根据第5(5)节规定的协定加入联合侦查队,则第(1)小节规定建立有关侦查队的协定,应加以修正,以顾及第5(5)节规定的协定。
Example实例
The national law of Romania includes provisions on international cooperation and permits the establishment of joint investigation teams. Law no. 39/2003 regarding the preventing and combating of organized crime provides as follows:罗马尼亚国家法律包括关于国际合作的规定,并允许建立联合侦查队。关于预防和打击有组织犯罪的第39/2003号法规定如下:
Art. 26.(1) Upon request of Romanian qualified authorities or those of other states, on the territory of Romania can take place joint investigations, to the purpose of preventing and combating transnational offenses committed by organized criminal groups.第26条. (1) 应罗马尼亚主管当局或其他国家主管当局请求,在罗马尼亚领土上可以进行联合侦查,以预防和打击有组织犯罪集团实施的跨国犯罪。
(2) The joint investigations stipulated in paragraph (1) shall take place according to the bilateral or multilateral conventions signed by the qualified authorities.(2) 第(1)款规定的联合侦查应根据主管当局签署的双边或多边公约进行。
(3) The representatives of the Romanian qualified authorities may take part in joint investigations taking place on other states’ territories, while abiding by the legislation of these states.(3) 罗马尼亚主管当局代表可以参加在其他国家领土上开展的联合侦查,同时要遵守其他国家的法规。
Available from www.diicot.ro/pdf/legislatie/en/law_39_2003.pdf.可查阅www.diicot.ro/pdf/legislatie/en/law_39_2003.pdf。
Example实例
Swedish national law includes a provision regulating the establishment of joint investigation teams (Act on Joint Investigation Teams for Criminal Investigations promulgated on 18 December 2003.):瑞典国家法律包括一项关于建立联合侦查队的规定(《刑事侦查联合侦查队法》,2003年12月18日颁布):
Further information is available from www.imolin.org/doc/amlid/Sweden_Act%20on%20Joint%20Investigation%20Teams.pdf; see also the Ordinance on Joint Investigation Teams for Criminal Investigations promulgated on 18 December 2003 (www.imolin.org/doc/amlid/Sweden_Ordinance%20on%20Joint%20Investigation%20Teams%20.pdf).有关更多信息,可查阅www.imolin.org/doc/amlid/Sweden_Act%20on%20Joint%20Investigation% 20Teams.pdf;另见2003年12月18日颁布的《刑事侦查联合侦查队法令》(www.imolin.org/doc/ amlid/Sweden_Ordinance%20on%20Joint%20Investigation%20Teams%20.pdf)。
Setting up a joint investigation team建立联合侦查队
Section 2.第2节.
A joint investigation team shall be set up for a specific purpose and for a limited period of time.联合侦查队应为具体目的而建立并持续一段有限时间。
Section 3.第3节.
If a preliminary investigation is in progress in Sweden concerning criminal activity that a joint investigation team shall investigate, it is the prosecutor or authority leading the preliminary investigation that concludes the agreement to set up the joint investigation team.如果瑞典正在对联合侦查队要侦查的犯罪活动进行初步侦查,则由检察官或领导初步侦查的当局缔结建立联合侦查队的协定。
If a joint investigation team cannot be set up under the first paragraph an agreement to set up a team may be concluded by如果联合侦查队不能根据第一款建立,则建立侦查队的协定可以由下述机构缔结:
1.1.
the Office of the Prosecutor General or the regional public prosecution office designated by the Office of the Prosecutor General,检察长办公室或检察长办公室指定的地区检察院,
2.2.
the National Police Board or the police authority designated by the National Police Board,国家警察局或国家警察局指定的警察机构;
3.3.
the Swedish Customs Service, or瑞典海关署,
4.4.
the Swedish Coast Guard.瑞典海岸警卫队。
The agreement shall make clear which officials are members of the joint investigation team and the period of time during which the team shall operate.协定应申明哪些人员是联合侦查队成员和侦查队行动期。
Article 19.第19条.
Conferral of powers on foreign law enforcement officials in joint investigations在联合侦查中授权给外国执法人员
1.1.
Where [appropriate States/the States involved have an agreement covering conferral of powers in joint investigations], officials from foreign law enforcement agencies may be conferred with one or more of the following powers, which they can then exercise in [insert name of State], subject to [insert name of State] law:在[主管国家/所涉国家有涵盖联合侦查授权的协定]的情况下,来自外国执法机构的人员可被授予下述一种或多种权力,他们依照[插入国家名称]法律,于是就可以在[插入国家名称]行使所受权力:
(a) [The power to receive information and take statements, in accordance with the law of the State, provided this is not prohibited by [insert name of State] law];(a) [在[插入国家名称]法律不加禁止的条件下,根据该国法律接收信息和记录供述的权力];
(b) [The power to lay charges/record charges in the official record, including in a form required by their national law, provided this is not prohibited by [insert name of State] law];(b) [在[插入国家名称]法律不加禁止的条件下,在正式记录中提出控告/记录控告,包括采用其国家法律规定的形式的权力];
(c) [The authority to undertake surveillance and/or undercover operations/infiltration].(c) [进行监视和(或)特工行动/渗透的权限]。
2.2.
Where an official from a foreign law enforcement agency has been conferred with specified powers under paragraph 1, he or she shall be entitled to the same protections as national law enforcement officials under [insert name of relevant national laws].在来自外国执法机构的人员被授予第1款下所述权力的情况下,他或她根据[插入有关国家法律的名称]规定,有权得到国家执法人员同样的保护。
Commentary评注 选择性条文。
Optional.来源:《有组织犯罪公约》第19条。
Source: Organized Crime Convention, article 19.第19条要求各缔约国考虑就联合侦查机构缔结双边和多边协定或安排。在缺乏此类协定或安排的情况下,第19条规定,“则可在个案基础上商定进行这类联合调查。有关缔约国应确保拟在其境内进行该项调查的缔约国的主权受到充分尊重”。
Article 19 requires States parties to consider concluding bilateral and multilateral agreements or arrangements with regard to joint investigative bodies. In the absence of such agreements or arrangements, article 19 provides that “joint investigations may be undertaken by agreement on a case-by-case basis. The State parties involved shall ensure that the sovereignty of the State party in whose territory such investigation is to take place is fully respected.”尽管《公约》第19条没有做出严格规定,但作为一个实际问题,想进行联合侦查的国家可能需要考虑如何确保外国执法人员可能合法参加本地行动。短期授权可能是一个有益的选择。
While not strictly required by article 19 of the Convention, as a practical matter, States wanting to engage in joint investigations may need to consider a way of ensuring that foreign law enforcement officials can lawfully participate in local operations. Conferring powers for a short period of time may be a useful option.其他考虑因素包括:
Other considerations include:(a) 确保临时调派人员的监督及角色与责任清楚明确;
(a) Ensuring clarity with respect to supervision, and roles and responsibilities of seconded officers;(b) 确保做出对临时调派人员可执行的活动的限制。
(b) Ensuring limits on which activities seconded officers can perform.另一个问题是,从事联合侦查授权行动的人员,是否对该行为承担刑事或民事责任。这些示范立法规定建议考虑这一点,给予临时调派的外国人员某种保护,与当地征聘执法人员所享保护相当。
Another issue is whether officials who engage in conduct authorized by a joint investigation are criminally or civilly liable for that conduct. These model legislative provisions suggest taking account of this by conferring certain protections on seconded foreign officers, equivalent to those enjoyed by locally engaged law enforcement officials.实例
Example爱尔兰2004年《刑事司法(联合侦查队)法》处理联合侦查队成员的民事和刑事责任问题:
Ireland’s Criminal Justice (Joint Investigation Teams) Act 2004 addresses the issues of both civil and criminal liability of members of joint investigative teams:13.—(1) 本国应负责联合侦查队或其部分的成员,在根据侦查队或其部分开展行动所在成员国的法律履行作为侦查队或其部分的临时调派成员的职能时,在另一个成员国造成的任何伤害、损失或破坏。
13.—(1) The State shall be liable for any injury, loss or damage caused in another Member State by members of a joint investigation team or a part of such a team in the performance of their functions as seconded members of the team or the part in accordance with the law of the Member State in which the team or the part is operating.(2) 本国应全额偿还另一成员国就第(1)小节所说伤害、损失或破坏支付给任何人的任何金额。
(2) The State shall reimburse another Member State in full in respect of any amount paid by that Member State to any person in respect of such injury, loss or damage as is referred to in subsection (1).(3) 身为在本国开展行动的联合侦查队或其部分的临时调派人员,在履行其职能时,造成了伤害、损失或破坏,本国应对此类伤害、损失或破坏支付赔偿或损害赔偿金,或者提供另一种适当的救济,方式和程度(如果有)就像上述侦查队或其部分的成员本身在履行其职能时造成了这种伤害、损害或破坏而负责对它们支付赔偿或损害赔偿金,或者提供另一种适当的救济一样。
(3) Where in the performance of their functions as seconded members of a joint investigation team or a part of such a team operating in the State, injury, loss or damage is caused by the seconded members, the State shall be liable to pay compensation or damages or provide another appropriate remedy in respect of such injury, loss or damage in the same manner and to the same extent (if any) as it would be liable to pay compensation or damages or provide such a remedy in respect of that injury, loss or damage if it were caused by the members of the team or the part aforesaid in the performance of their functions as such members.(4) 第(3)小节不排除本国根据该小节规定已经支付了任何金额的赔偿或损害赔偿金或者已经招致了其他损失,要求以下机构或人员偿还或赔偿——
(4) Subsection (3) does not preclude the State from seeking reimbursement of any amount of compensation or damages it has paid or other loss it has incurred under that subsection from—(a)
(a) the competent authority of the Member State that appointed the seconded members of the joint investigation team or the part of it concerned who caused the injury, loss or damage concerned, or指派造成有关伤害、损失或破坏的联合侦查队或其部分的有关临时调派人员的成员国主管机构,
(b) persons, other than another Member State or its competent authority, who may be liable for the injury, loss or damage concerned.(b) 可能对有关伤害、损失或破坏负责的人,而非另一成员国或共主管机构。
Examples实例
France regularly initiates and sets up joint investigation teams. France first became a member of such a team in 2004, with Spain. By the end of 2008, France had been involved in 20 joint investigation teams. Eleven of the 20 teams were related to organized crime, and nine to terrorism activities (12 joint investigation teams were concluded with Spain, 4 with Belgium, 2 with Germany, 1 with the Netherlands and 1 with Romania). Belgium (Operation Nougaro) and France (Operation Artigat) were the first to set up a joint investigation team to counter terrorism.法国定期启动和建立联合侦查队。法国2004年首次成了与西班牙所组联合侦查队的成员。至2008年底,法国已经参加了20个联合侦查队。其中十一涉及有组织犯罪,九个涉及恐怖主义活动(与西班牙组成12个联合侦查队,与比利时组成4个,与德国组成2个,与荷兰组成1个,与罗马尼亚组成1个)。比利时(Nougaro行动)和法国(Artigat行动)是首先建立联合侦查队以打击恐怖主义的国家。
Europol Annual Report 2007, p. 55.欧洲警察组织2007年《年度报告》,第55页。
The following laws, found in the French Criminal Code of Procedure, establish the necessary legal basis for a joint inspection team in the French context:下述法律,见于《法国刑事诉讼法典》,确立了在法国成立联合视察队的必要法律依据:
Article 695-2第695-2条
(Inserted by Law no. 2004-204 of 9 March 2004, art.17, I Official Journal of 10 March 2004)(按2004年3月9日第2004-204号法第17条一插入,2004年3月10日《公报》)
Where there is need to carry out, in the context of a French prosecution, either complex inquiries involving the mobilisation of extensive resources and which concern other member states or where several member states are carrying out inquiries into offences which call for coordinated and concerted action between the member states concerned, with the prior agreement of the Minister of Justice and the consent of the member state or states concerned, the competent judicial authority may create a joint investigation team.如果在法国起诉的情况下,需要进行必需调动广泛资源并涉及其他成员国的复杂调查,或者如果几个成员国正在调查要求有关成员国采取协调一致行动的犯罪,经司法部长事先同意和有关一个或多个成员国同意,主管司法机构就可以创立一个联合侦查队。
Foreign agents seconded by another member state to a joint investigation team may, within the limits of the powers conferred on them by their role, and under the supervision of the competent judicial authorities, have as their mission, as appropriate, over the whole of the national territory:另一个成员国临时调派参加联合侦查队的外国特工,可以在其角色赋予他们的权力的限度内,并在主管司法机构的监督下,在整个国家领土上,作为其使命,酌情:
1° the establishment of any felonies, misdemeanours or petty offences, and to record these in an official record, if necessary in the forms provided for by the law of their state;1° 确定任何重罪、轻罪或微罪,并把它们记录在正式记录中,如果必要,就采用其国家法律规定的形式;
2° the reception of the official reports of any statements made to them by any person liable to provide information on the facts in question, if necessary in the forms provided for by the law of their state;2° 接收任何负责就有关事实提供信息的人向他们所做陈述的正式报告,如果必要,就采用其国家法律规定的形式;
3° the secondment of French judicial police officers in the exercise of their duties;3° 临时调派在履行其职责的法国司法警察;
4° the carrying out of any surveillance and, if they are authorised for this purpose, infiltration, under the conditions provided for by articles 706-81 onwards, and which is necessary for the application of articles 694-7 and 694-8.4° 进行监视,并且如果得到专门授权,则在第706-81条起规定的条件下,实行适用第694-7和694-8条所需的渗透。
Foreign officers attached to a joint investigation team may carry out these missions subject to the consent of the member state which has implemented their secondment.附属联合侦查队的外国人员可以经临时调派他们的成员国的同意,执行这些使命。
These officers may only carry out the operations for which they have been designated. None of the powers which are the preserve of the French judicial police officer who is in charge of the team may be delegated to them.这些人员只能执行指定他们执行的行动。专属负责侦查队的法国司法警察的任何权力概不可授予他们。
The original copy of the official records which they prepare, and which must be drafted or translated into French, is attached to the case file.他们编制的正式记录,必须用法文起草或译成法文,把原件附在案宗上。
Article 695-3第695-3条
(Inserted by Law no. 2004-204 of 9 March 2004, art.17, I Official Journal of 10 March 2004)(按2004年3月9日第2004-204号法第17条一插入,2004年3月10日《公报》)
In the context of a joint investigation team, French judicial police officers and agents attached to a joint investigation team may carry out operations ordered by the head of the team, over the whole of the territory of the State in which they are operating, within the limit of the powers conferred on them by the present Code.就联合侦查队而言,法国司法警察和附属联合侦查队的特工,可以在他们行动所在国的整个领土上,在本《法典》赋予他们的权力的限度内,执行侦查队长命令执行的行动。
Their tasks are defined by the authorities of the Member State competent to direct the joint investigation team in the territory where the team is working.他们的任务由主管在联合侦查队工作所在地领土上指挥侦查队的成员国当局界定。
They may receive statements and record offences in the forms provided for by the present Code, subject to the consent of the State in whose territory they are operating.他们征得行动所在领土国家的同意,可以接受陈述并以本《法典》规定的形式记录犯罪。
Chapter V.第五章.
Prosecution of convention offences《公约》所涵盖犯罪的起诉
Introductory commentary评介
This chapter includes provisions that are intended to address some of the procedural matters that arise in the prosecution of Convention offences, including discretion to prosecute and the granting of immunity in certain circumstances.本章包括意在处理《公约》所涵盖犯罪的起诉中产生的某些程序性问题的规定,包括起诉的裁量权和在某些情况下给予豁免。
Chapter V.第五章.
Prosecution of convention offences《公约》所涵盖犯罪的起诉
Article 20.第20条.
Exercise of discretion to prosecute行使起诉裁量权
The [competent authority] shall, in the exercise of its discretion to prosecute an offence to which these model legislative provisions apply, take into account the fact that these offences are considered to be crimes of sufficient gravity as to be the subject of an international, binding agreement on this issue.[主管机构]在行使起诉这些示范立法规定适用的犯罪的裁量权时,应考虑到,这些犯罪被认为是极其严重的罪行,足以成为有关此问题的具有约束力的国际协定的主题。
Commentary评注
Source: Organized Crime Convention, article 11, paragraph 2.来源:《有组织犯罪公约》第11条第2款。
Not all States have a system that allows prosecutors discretion as to when to prosecute. However, as noted in the Legislative Guides, in those States that do have prosecutorial discretion, article 11, paragraph 2, requires the following:并非所有国家都有允许检察官酌情处理何时起诉的体制。然而,如《立法指南》指出,在那些没有起诉裁量权的国家中,第11条第2款要求如下:
These States must make an effort to encourage the application of the law to the maximum extent possible in order to deter the commission of the four main offences covered by the Convention, the offences established in accordance with the three Protocols (to the extent States are parties to the Protocols) and serious crimes.这些国家必须做出努力,鼓励在最大可能限度上适用法律,以震慑公约所涵盖的四项主要犯罪、三项议定书所规定的犯罪(在缔约国同时为议定书缔约国时)和严重犯罪。
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p. 133.《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》,第133页。
In those States where prosecutorial discretion is available, it will be critical for States to implement measures such as guidelines in order to ensure consistency in decision-making and guarantee that each decision on whom to charge and what charges to prefer is made carefully, with full consideration of the facts and due regard for what is required in the public interest, in relation to any offence covered by these model legislative provisions.在那些有起诉裁量权的国家中,对国家来说,关键是实施准则之类的措施,以确保决策的一致性,保证控告谁和更愿提出何种控告的每项决定,都认真做出,充分考虑有关这些示范立法规定所涵任何犯罪的事实,适当顾及公共利益所需。
Article 21.第21条.
Leniency and immunity from prosecution宽大和起诉豁免
1.1.
Subject to the provisions in paragraph 5, the [competent authority] may, in its discretion, [grant immunity from prosecution to] [decide not to prosecute] a person who provides useful information and proves to be effectively cooperating in the investigation or prosecution of an offence to which these model legislative provisions apply, or other offences revealed as a consequence of that cooperation.依照第5款规定,[主管机构]可以自由裁量,对在侦查或起诉这些示范立法规定适用的犯罪或者因为有效配合而揭露的其他犯罪中提供有用信息并实际进行有效配合的人,[给予起诉豁免][决定不起诉]。
2.2.
This article applies irrespective of whether the cooperation given was in relation to an investigation or prosecution in [insert name of State] or in any other State.不论所给予的配合是否涉及[插入国家的名称]或任何其他国家的侦查或诉讼,本条均适用。
3. Where an agreement is in place between [insert name of State] and another State, substantial cooperation can include cooperation provided to the competent authorities in that State.3.
The agreement between States may be entered into before or after the relevant prosecution is commenced.在[插入国家的名称]与另一国有协定的情况下,实质性配合可能包括提供给该国主管机构的合作。国家之间的协定,可以在有关起诉开始前后订立。
4.4.
When a person has voluntarily cooperated, providing useful information and assisting law enforcement agencies to investigate and/or prosecute other offences to which these model legislative provisions apply, the judge may decide to be more lenient in sentencing if the cooperation proved to be effective to identify or prove the participation of other participants of the organized criminal group, to locate the living victims of the crimes or to recover, totally or partially, the product and proceeds of the crime.当一个人自愿配合,提供有用信息并协助执法机构侦查和(或)起诉这些示范立法规定适用的其他犯罪之时,如果事实证明配合有效,查明或证实有组织犯罪集团其他参与者的参与,找到犯罪活着的受害人,或者全部或部分追回了犯罪产品和犯罪所得,法官就可以决定从宽处刑。
5.5.
In any case, immunity from prosecution shall not be granted to those defendants who organized or directed the commission of a serious crime involving an organized criminal group or were the leaders of the organized criminal group.无论如何,对那些组织或指示实施涉及有组织犯罪集团的严重犯罪或者身为有组织犯罪集团头目的被告,不得给予起诉豁免。
Commentary评注 选择性条文。
Optional.来源:《有组织犯罪公约》第26条第3款。
Source: Organized Crime Convention, article 26, paragraph 3. As noted in the Legislative Guides, the investigation of organized crime can be greatly assisted by the cooperation of members and other participants in the criminal group. The same considerations apply in the context of preventing organized crime: a tip-off from an insider can lead to actually preventing a planned criminal act from occurring. Accordingly, the Convention requires that States take measures to encourage the cooperation of insiders, consistent with the fundamental legal principles of each State. In some States, cooperation with the authorities is promoted through the granting of immunity from prosecution, in other States through a reduction in sentence for offenders who provide such cooperation. The Legislative Guides state that “the specific steps to be taken are left to the discretion of States, which are asked, but not obliged, to adopt immunity or leniency provisions”.如《立法指南》所指出,侦查有组织犯罪可以通过犯罪集团成员和其他参与者的配合得到很大协助。同样的考虑在预防有组织犯罪方面也适用:内线的密告可以导致实际防止规划的犯罪行为发生。因此,《公约》要求各国根据每国的根本法律原则,鼓励内线配合。有些国家,通过给予起诉豁免,其他国家则通过为提供合作的罪犯减刑,鼓励与当局配合。《立法指南》申明,“具体步骤则可由各国酌情采取,公约只是请而不是硬行规定各国通过不予起诉或宽大的规定”。
Ibid., p. 165.同上,第165页。
Ibid.同上。
The Legislative Guides further state:《立法指南》还申明:
Affording immunity from prosecution (art. 26, para. 3), if implemented, may require legislation either creating discretion not to prosecute in appropriate cases or structuring such prosecutorial discretion as already exists. Some form of judicial review and ratification may have to be provided for in order to set out the terms of any informal arrangements and ensure that decisions to confer immunity are binding.不予起诉(第26条第3款)如果付诸实施,可能需要制定立法来规定在适当情况下不予起诉的自由裁量权,或者确定已有的检察机关自由裁量权。可能应规定某种形式的司法审查和批准制度,以便列出任何非正式安排的条件并确保不予起诉的裁决具有约束力。
Ibid., p. 175.同上,第175页。
When considering the issue of immunity from prosecution, there are a number of considerations for drafters to bear in mind. In most countries where immunity is given, the immunity is conditional or confined in some way. For example, there may be a requirement that the cooperation given reflect honestly held views (even if the information turns out to be incorrect), or a requirement of a link between the crime for which immunity is granted and the crime that the suspect testifies on. Different responses may be needed depending on the value of the suspect’s evidence and its actual impact (for example, stopping or preventing a crime from occurring). Some countries have transactional immunity, meaning that leniency in sentencing is provided if truthful and complete testimony is given. This is not a form of mitigation.当考虑起诉豁免问题时,有许多考虑因素起草人要牢记。在给予豁免的多数国家中,豁免是有条件的,即在某方面是受到限制的。例如,可能要求所给予的合作反映诚实持有的看法(纵使信息结果证明不正确),或者要求得到豁免的犯罪与嫌疑人作证的犯罪之间有联系。可能需要不同对策,关键要看嫌疑人的证据的价值及其实际影响(例如防止或预防犯罪发生)。有些国家有制裁豁免,意思是说,如果给出真实、完整的证词,就从宽处刑。这不是一种减刑。
Member States should not take measures that prevent accountability, such as granting or endorsing amnesties for international crimes or gross violations of human rights.各成员国不应当采取妨碍问责制的措施,例如对国际犯罪或严重侵犯人权行为给予或批准赦免。
Example实例
Article 371.1 of the Criminal Procedure Code of the Russian Federation, states that the suspect or accused is entitled to file a motion on conclusion of a pretrial cooperation agreement. In this motion, the suspect or accused indicates what actions he or she undertakes in order to assist the investigation to detect and investigate the crime, incriminate and prosecute other accomplices of the crime, as well as search for the property, acquired as a result of a crime.俄罗斯联邦《刑事诉讼法典》第371.1条规定,嫌疑人或被告有权提出缔结审前合作协定的动议。在这种动议中,嫌疑人或被告指明,他或她要采取何种行动,以便协助侦查,调查和侦查犯罪,控告和起诉其他共犯,以及搜寻因犯罪所取得的财产。
The Criminal Code of the Russian Federation further stipulates that a person who voluntarily discontinued his or her participation in a criminal association or in the structural division thereof or in the meeting of organizers, managers (leaders) or other representatives of organized groups and who was actively assisting in the revelation or prevention of such crimes shall be released from criminal liability if there is no other corpus delicti in his or her actions.俄罗斯联邦《刑法典》进一步规定,自愿停止参加犯罪团伙或其分部,或者有组织团体的组织者、管理者(领导者)或其他代表会议,并积极协助揭露或预防此类犯罪的,如果其行动没有其他罪体,应被免除刑事责任。
Chapter VI.第六章.
Special procedures and evidentiary rules特殊程序和证据规则
Introductory commentary评介
This chapter includes provisions that are intended to provide a legal basis for the special procedural and evidentiary rules that may facilitate the effective prosecution of transnational organized crime, such as extended time to commence prosecutions and admission of evidence obtained through special investigative techniques.本章包括意欲为可能促进有效起诉跨国有组织犯罪的特别程序和证据规则提供法律依据的规定,如开始起诉的延长时间和采用通过特别侦查手段取得的证据。
Chapter VI.第六章.
Special procedures and evidentiary rules特殊程序和证据规则
Article 22.第22条.
Statute of limitation诉讼时效法规
1.1.
Subject to paragraph 2, a criminal proceeding to which these model legislative provisions apply is time-barred [insert number of years] after the commission of the offence.依照第2款,这些示范立法规定适用的刑事诉讼在犯罪实施之后[插入年数]丧失时效。
2. [Where a suspect has deliberately sought to evade the administration of justice for an offence to which these model legislative provisions apply, the limitation period in paragraph 1 is suspended.2.
][在嫌疑人为这些示范立法规定适用的犯罪而蓄意寻求逃避司法的情况下,第1款的时效期限中止。
Commentary评注
Optional.选择性条文。
Source: Organized Crime Convention, article 11, paragraph 5.来源:《有组织犯罪公约》第11条第5款。
States have different approaches to the issue of time limits on the commencement of prosecutions. Some States have statutes of limitations that prescribe the time limit within which prosecutions must be commenced. Other States do not have such limits.各国处理开始起诉限期问题的方法各异。有些国家有起诉时效法规,规定了起诉必须开始的限期。其他国家则没有这些限制。
As noted in the Legislative Guides, the Convention requires States that do have statutes of limitations to introduce long periods for all offences covered by this Convention, especially for offenders who have deliberately sought to evade the administration of justice. Article 11, paragraph 5 does not operate so as to require States without a statute of limitations to establish one.《立法指南》已经指出,《公约》要求确实有起诉时效法规的国家对本《公约》所涵各项犯罪,特别是对蓄意寻求逃避司法的罪犯,实行长期时效。第11条第5款没有实施,以便要求没有起诉时效法规的国家制订起诉时效法规。
Ibid., p. 135.同上,第135页。
In some States, time limits may be stopped or extended if the accused flees or fails to appear at proceedings. The Legislative Guides state that:在某些国家,如果被告逃跑或者不出席诉讼,则时限可以停止或延长。《立法指南》申明:
These factors should be considered in setting time limits, if any, and States that do set limits should set longer periods for cases where the accused has evaded proceedings. In such cases, the additional delay, which may make defending against the charges more difficult, is justified by the misconduct of the accused.在确定追诉时效期限时,应当考虑到这些因素,而且,如果被告逃避诉讼,则可以规定更长的期限。在此类情况下,额外延期使得为所指控罪名辩护更加困难,但因为被告的不法行为,这样做也是有道理的。
Ibid.同上。
Examples实例
Finland’s Criminal Code 39/1189, chapter 8 (Statute of limitations), section 1 (Time-barring of the right to bring charges (297/2003)), provides as follows:芬兰39/1189《刑事法典》第8章(诉讼时效法规)第1节(提出控告的权利丧失时效(297/2003)),规定如下: (1) 对最严重刑罚为终身监禁的犯罪提出控告的权利不丧失时效(212/2008) (2) 如果在下述时间内没有提出控告,则提出控告的权利丧失时效:
(1) The right to bring charges for an offence for which the most severe sentence is life imprisonment does not become time-barred. (212/2008)(1) 如果对该犯罪规定的最严重惩罚是八年以上有期徒刑,则在二十年内,
(2) The right to bring charges is time-barred if charges have not been brought(2) 如果最严重惩罚是两年以上且最多八年的徒刑,则在十年内,
(1) within twenty years, if the most severe penalty provided for the offence is fixed-term imprisonment for over eight years,(3) 如果最严重惩罚是一年以上且最多两年的徒刑,则在五年内,
(2) within ten years, if the most severe penalty is imprisonment for more than two years and at most eight years,(4) 如果最严重惩罚是最多一年徒刑或罚款,则在二年内。
(3) within five years, if the most severe penalty is imprisonment for over a year and at most two years, and(3) 最严重惩罚系指适用规定对该犯罪规定的最高刑罚。
(4) within two years, if the most severe penalty is imprisonment for at most a year, or a fine. (3) The most severe penalty refers to the maximum penalty provided for the offence in the applicable provision. (4) The minimum period during which the right to bring charges for offences in office becomes time-barred, however, is five years. The minimum period during which the right to bring charges for impairment of the environment, an environmental offence and a building protection offence becomes time-barred is ten years. The right to bring charges for impairment of the environment by a foreign vessel in the Finnish economic zone referred to in section 28 of the Act on the Prevention of Ship-Source Pollution (300/1979), aggravated impairment of the environment, an environmental infraction and negligent impairment of the environment becomes time-barred in three years. The minimum period during which the right to bring charges for a fishing offence committed from a foreign vessel in the Finnish economic zone becomes time-barred is three years. (1161/2005) (5) The right to bring charges for sexual abuse of a child and aggravated sexual abuse of a child becomes time-barred at the earliest when the complainant reaches the age of twenty-eight years. The same applies to rape, aggravated rape and coercion into sexual intercourse directed at a person under the age of eighteen years. (1161/2005) Germany’s Criminal Code, chapter 5, section 78 (Limitation period), provides as follows: (1) The imposition of punishment and measures (section 11(1) No 8) shall be excluded on expiry of the limitation period. Section 76a(2) 1st sentence No 1 remains unaffected. (2) Felonies under section 211 (murder under specific aggravating circumstances) are not subject to the statute of limitations. (3) To the extent that prosecution is subject to the statute of limitations, the limitation period shall be 1. thirty years in the case of offences punishable by imprisonment for life; 2. twenty years in the case of offences punishable by a maximum term of imprisonment of more than ten years; 3. ten years in the case of offences punishable by a maximum term of imprisonment of more than five years but no more than ten years; 4. five years in the case of offences punishable by a maximum term of imprisonment of more than one year but no more than five years; 5. three years in the case of other offences. (4) The period shall conform to the penalty provided for in the law defining the elements of the offence, irrespective of aggravating or mitigating circumstances provided for in the provisions of the General Part or of aggravated or privileged offences in the Special Part. Article 23. Transfer of criminal proceedings 1. With respect to transferring criminal proceedings from a foreign jurisdiction: (a) The [Prosecutor, General Prosecutor, Central Authority, Ministry of Justice...] may decide to take over the prosecution of an offence covered by these model legislative provisions which is prosecuted in a foreign jurisdiction and on which [national courts have jurisdiction] [the law of [...] applies], when it is considered to be in the interests of the proper administration of justice [and when it is so requested by the foreign authorities]; (b) The taking over of a prosecution is, however, not possible against a person who has already been convicted and who has executed a sentence for the same facts. 2. With respect to transferring criminal proceedings to a foreign jurisdiction: (a) The [Prosecutor, General Prosecutor, Central Authority, Ministry of Justice...] may decide to transfer the prosecution of an offence covered by these model legislative provisions to a foreign jurisdiction when it is considered to be in the interest of the proper administration of justice and when it is so requested by the authorities of the foreign jurisdictions. The transfer of criminal proceedings may be limited to specific facts, offences, or individuals [persons/suspects]; (b) The transfer of a prosecution shall be decided before [indicate here the stage of the proceedings after which it is not reasonable to transfer a case, for example, indictment]; (c) The [Prosecutor, General Prosecutor, Central Authority, Ministry of Justice...] shall, if practicable, allow the suspect [accused] to present his or her views on the alleged offence and on the intended transfer; (d) The [Prosecutor, General Prosecutor, Central Authority, Ministry of Justice...] shall, if practicable, allow victims of the alleged offence to present their views on the alleged offence and on the intended transfer to ensure that their rights [to proper compensation and restitution] are not affected negatively or unjustifiably; (e) The decision to transfer suspends the prosecution without prejudice to further investigations and mutual legal assistance; (f) The prosecution shall be closed when the [Prosecutor, General Prosecutor, Central Authority, Ministry of Justice...] is informed that the foreign jurisdiction has definitively disposed of the transferred case. Commentary(4) 然而,对在职犯罪提出控告的权利丧失时效的最短时期是五年。对损害环境、环境犯罪和破坏建筑保护犯罪提出控告的权利丧失时效的最短时期是十年。对《防止船舶造成的污染法》(300/1979)第28节所述外国船舶在芬兰经济区造成的环境损害,环境加重损害、环境违规行为和轻微环境损害提出控告的权利,三年丧失时效。对外国船舶在芬兰经济区实施的捕鱼犯罪提出控告的权利丧失时效的最短时期,是三年。(1161/2005)
Optional. Source: Organized Crime Convention, articles 15, paragraph 5; and 21. Situations may arise where it is possible for more than one State to commence and maintain an investigation and prosecution of the same offence. Article 21 requires States to consider the possibility of transfer proceedings from one country to another, where such transfer is considered in the interests of the proper administration of justice, in particular in cases where several jurisdictions are involved, with a view to concentrating the prosecution. As a practical matter, in order to effectively transfer the prosecution to another country, several steps may be required. First, there would need to be consultation between the two States, on matters including sharing and transfer of information and evidence. Article 15, paragraph 5, of the Convention provides that where two States are involved in the investigation, prosecution or judicial proceedings with respect to the same conduct, they shall, as appropriate, consult one another with a view to coordinating actions. Second, if the matter had already reached the courts, it would be necessary for the court to “stay” or suspend the prosecution, pending resolution in another country. This draft article is intended to facilitate this process. It is also important to note that the disposal of the case, mentioned in paragraph 2 (f), includes acquittal, conviction and dismissal. The United Nations Model Treaty on the Transfer of Proceedings in Criminal Matters (General Assembly resolution 45/118, annex) is also available. The issue of double jeopardy may become relevant in this context. The principle of double jeopardy (or ne bis in idem) is part of international law including international human rights law. Article 14, paragraph 7, of the International Covenant on Civil and Political Rights (General Assembly resolution 2200 A (XXI), annex) provides as follows: No one shall be liable to be tried or punished again for an offence for which he has already been finally convicted or acquitted in accordance with the law and penal procedure of each country. As noted in the Association of Southeast Asian Nations (ASEAN) Handbook on International Cooperation: While the principle of double jeopardy is of long standing, debates on its application are frequent. The most common issue concerns whether an alleged “second prosecution” is for the same offence or cause of action, such that the double jeopardy principle should be invoked. This question will often arise if a later charge relates to the same conduct but the offence is categorized differently or if substantial new evidence has come to light. Pauline David, Fiona David and Anne Gallagher, ASEAN Handbook on International Legal Cooperation in Trafficking in Persons Cases p. 122. Available from www.aseansec.org. This can be avoided or minimized by careful drafting of relevant legislation. The Revised Manual on the Model Treaty on Extradition, for example, in its paragraph 52 recommends that in preparing legislation to give effect to the double jeopardy principle: States may wish to consider what criteria and evidentiary information are appropriate and necessary to measure whether a second prosecution is for the same offence, particularly in complex and continuing group crimes.(5) 对儿童性虐待和严重儿童性虐待提出控告的权利,在原告年满二十八岁的最早时间丧失时效。这项规定也适用于针对十八岁以下之人的强奸、严重强奸和强迫性交。(1161/2005)
Available from www.unodc.org.德国《刑法典》第5章第78条(时效期限)规定如下:
Example The Criminal Code of Slovakia provides as follows: Title Three: Taking over and transfer of the criminal case Taking-over of a Criminal Case from Abroad Section 383a The prosecution general shall rule on a motion by the pertinent body of a foreign country to have the criminal prosecution of a citizen of the Slovak Republic for crimes committed on the territory of that country taken over by the pertinent bodies of the Slovak Republic and in case of a decision in favour of the motion it shall immediately submit a petition to the competent body with substantive and territorial competence to commence criminal prosecution pursuant to the provisions of this act. Transfer of a Criminal Case to a Foreign Country Section 383b If a criminal prosecution is conducted against a citizen of a foreign country for a crime committed on the territory of the Slovak Republic the prosecution general, and after filing the indictment the ministry of justice, may transfer the criminal prosecution to the appropriate body of the foreign country the accused persons is a citizen of. Transport for the Purposes of Proceedings Abroad Section 383c If a transport of person for the purposes of criminal proceedings abroad is requested by a foreign country the supreme court shall rule on the admissibility of transport upon a motion by a foreign country. The provisions of Title Two are applied as appropriate to the decision on the admissibility of transportation and security measures. Taking-over of a Person from a Foreign Country in Order to Perform a Procedure on the Territory of the Slovak Republic and His/Her Return Section 383d /1/ If the presence, either to serve as a witness or for confrontation, of a person is necessary for the purpose of a criminal prosecution on the territory of the Slovak Republic and this person is detained abroad or serves an imprisonment sentence abroad, the judge in the pretrial proceedings upon a motion by the prosecutor and the presiding judge of panel in proceedings before a court shall rule that this person will be in detention on the territory of the Slovak Republic during the temporary transfer and shall ask the Ministry of Justice of the Slovak Republic for other measures. /2/ In the decision pursuant to paragraph 1 the judge and in the proceedings before a court, the presiding judge of panel shall state that detention commences as of the day of such person’s taking-over. /3/ The person temporary transferred by a foreign country shall be taken-over by bodies of the Prison and Justice Guard Corps and they shall notify of the taking-over the body issuing the detention decision without delay. /4/ After the performance of necessary procedures, however, the latest in the term stipulated by the foreign country, this person shall be returned. /5/ The return of the person to the foreign country after the decision on release from detention ordered pursuant to paragraph 1 shall be arranged by the Ministry of Justice of the Slovak Republic. Transfer of an Accused Foreigner or an Accused Person without Citizenship for the Performance of Procedures Abroad Section 383e /1/ Upon a motion by a foreign country an accused foreigner or an accused person without a citizenship who is in detention or serving a sentence of imprisonment may be temporarily transferred to the territory of a foreign country in order to give testimony or confrontation. /2/ Such a person may be temporarily transferred provided the following conditions shall be satisfied: a) the person stipulated in paragraph 1 will give his/her consent to it, b) his/her absence shall not change the purpose of detention or execution of the sentence enforced on the territory of the Slovak Republic, c) the temporary transfer shall not extend inappropriately the duration of the custody enforced on the territory of the Slovak Republic, d) the temporary transfer shall not extent an inappropriately duration of the execution of the imprisonment sentence enforced on the territory of the Slovak Republic. /3/ In the pre-trial proceedings the Prosecution General of the Slovak Republic and in the proceedings before a court the Ministry of Justice of the Slovak Republic shall rule on the permission of a temporary transfer of the person stipulated in paragraph 1 herein, after the conditions stipulated in paragraphs 1 and 2 herein are satisfied. The Ministry of Justice of the Slovak Republic shall arrange the transfer of the person to the bodies of the foreign country. /4/ The body deciding on the temporary transfer of the person stipulated in paragraph 1 herein shall, at the same time, determine the appropriate term during which the person temporarily transferred shall be returned to the territory of the Slovak Republic. This term shall not be longer than 30 days. /5/ The person transferred shall stay in detention on the territory of the foreign country and this shall be stated in the decision of the body which ruled pursuant to paragraph 3 herein. The same shall also apply when such a person is escorted over the territory of a third country. /6/ The time spent in detention abroad shall not be included in the duration of terms pursuant to section 71 paragraphs 1 and 2. Ruling on this shall be made by the court and in the pretrial proceedings by the judge upon prosecutor’s motion (section 71, paragraph 7). However, the time spent in custody abroad shall be included into the duration of the execution of a sentence served in the Slovak Republic. The court ordering sentence enforcement shall rule on it. Article 24. Ensuring offenders do not flee for Convention offences 1. Where a suspect has been charged with an offence to which these model legislative provisions apply, pretrial detention should be considered by the [court/competent authority]. 2. Pretrial detention should be limited to a period of [insert time limit]. 3. When considering the issue of pretrial detention, the [court/competent authority] should consider the risk of: (a) The suspect failing to appear at subsequent criminal proceedings; (b) Tampering with the witnesses or the evidence; (c) The suspect otherwise obstructing the course of justice. 4. Where pretrial detention is not ordered, the [judicial authority/competent authority] may impose conditions on suspects pending trial or appeal to ensure their presence at the subsequent criminal proceedings and to ensure the administration of justice, including: (a) Confiscation of travel or other identity passports; (b) Notification of the relevant authorities at ports of entry and departure; (c) Holding of a substantial surety bond; (d) Restrictions on movement; (e) Other measures to prevent witness tampering and obstruction of justice. Commentary Source: Organized Crime Convention, article 11, paragraphs 3 and 4.(1) 施加惩罚和措施(第11条第(1)款第8项)在时效期限到期之时,应予以排除。第76a条第(2)款第1项仍然不受影响。
Article 11, paragraph 3 requires that, with respect to the offences established under the Convention, each State take appropriate measures, in accordance with its domestic law and with due regard for the rights of the defence, to seek to ensure that conditions imposed in connection with decisions on release pending trial or appeal take into consideration the need to ensure the presence of the defendant at subsequent criminal proceedings.(2) 第211条规定的重罪(在特殊加重处罚犯罪情节下的谋杀)不守诉讼时效法规。
As noted in the Legislative Guides, the criminal operations of organized crime groups may generate considerable profits with the result that large sums of money may be available to defendants. In these situations, the effectiveness of bail as a way of ensuring defendants do not abscond before trial may be reduced. Accordingly, as noted in the Legislative Guides, article 11, paragraph 3 of the Convention(3) 在诉讼须遵守诉讼时效法规的程度上,时效期限应为:
points to this risk of imprudent use of pretrial and pre-appeal releases and requires that each State take appropriate measures consistent with its law and the rights of defendants to ensure that they do not abscond.1. 如果是可处终生监禁的犯罪,三十年;
Legislative Guides for the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols Thereto, p.2.
134.如果是可处十年以上最长刑期的犯罪,二十年;
While not strictly required by the Convention, the capacity of the suspect to tamper with the witnesses or the evidence or take other steps to undermine the administration of justice may need to be considered in decision-making concerning pretrial release or detention.3.
Accordingly, these factors are mentioned for consideration in this drafting option in the model legislative provisions.如果是可处五年以上、十年以下最长刑期的犯罪,十年;
Article 25.4.
Evidence of prior convictions of Convention offences如果是可处一年以上、五年以下最长刑期的犯罪,五年;
In any proceeding for an offence to which these model legislative provisions apply, a court in its discretion may admit evidence of any prior conviction for [insert list of Convention offences] [or other serious crime] in [any State] [any Convention State], [where the probative value of that evidence outweighs the likely prejudicial effect that that evidence may have on the proceeding].5. 如果是其他犯罪,三年。
Commentary Source: Organized Crime Convention, article 22. Evidence of prior convictions can have a prejudicial effect in that it can lead the court or jury to think that the individual committed another crime and therefore must have committed the present crime as well. However, there are circumstances where it may be relevant to bring evidence that a suspect has been convicted of an offence in another jurisdiction. For example, it may be relevant to the sentencing judge to know that the offender has engaged in these actions before in other countries. In such situations, the probative value of the evidence will need to be carefully weighed against the likely prejudicial effect that the evidence may have on the course of justice. Accordingly, these considerations are specifically noted in this drafting option to implement article 22 of the Convention. As a practical matter, it may be necessary for States to put in place an administrative procedure whereby information about prior convictions can be obtained from other States. This could be undertaken through the mutual legal assistance process, or it may also be efficient to consider establishing another process for this to be undertaken. Example European Union Council Framework decision 2009/315/JHA of 26 February 2009, on the organization and content of the exchange of information extracted from the criminal record between Member States in its article 6 provides as follows: When information from the criminal record of a Member State is requested for the purposes of criminal proceedings against a person or for any purposes other than that of criminal proceedings, the central authority of that Member State may, in accordance with its national law, submit a request to the central authority of another Member State for information and related data to be extracted from the criminal record. Chapter VII. Protection of witnesses Introductory commentary Article 24, paragraph 1, requires a State party to “take appropriate measures within its means” to provide effective protection from potential retaliation or intimidation for witnesses (and their relatives and others close to them, as appropriate) who give evidence in criminal proceedings for Convention offences. As inferred in article 24, paragraph 4, a victim may be a witness in some circumstances, and where this is the case, the provisions of article 24 apply. Article 24, paragraph 2, of the Convention gives two examples of such measures: first, procedures that focus on providing physical protection through police protection or formal witness protection programmes, and secondly, evidentiary rules that permit witnesses to give evidence safely. There are many other strategies that may be useful beyond this. These model legislative provisions give various examples of legislative strategies that could be used. UNODC is in the process of developing a model law on witness protection. As noted in Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime, the ability of a witness to give testimony in a judicial setting and to cooperate with law enforcement without fear of intimidation or reprisal is essential to maintaining the rule of law. The concept of witness protection encompasses many different measures, ranging from simple inexpensive measures to more formal witness protection programmes: Protection may be as simple as providing a police escort to the courtroom, offering temporary residence in a safe house or using modern communications technology (such as videoconferencing) for testimony. There are other cases, though, where cooperation by a witness is critical to successful prosecution but the reach and strength of the threatening criminal group is so powerful that extraordinary measures are required to ensure the witness’s safety. In such cases, resettlement of the witness under a new identity in a new, undisclosed place of residence in the same country or even abroad may be the only viable alternative. Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime (2008), p. 1. Chapter VII. Protection of witnesses Article 26. Safety of witnesses 1. The [competent authority] shall take all appropriate measures to ensure that a victim or witness of an offence to whom these model legislative provisions apply, and his or her family, is provided adequate protection if his or her safety is at risk, including measures to protect him or her from intimidation and retaliation by suspects, offenders and their associates. 2. Victims and witnesses of offences to whom these model legislative provisions apply shall have access to any existing witness protection measures or programmes. Commentary Source: Organized Crime Convention, article 24. Mandatory. The obligation to take measures to provide effective protection for witnesses from retaliation or intimidation is mandatory. However, it is subject to what is reasonable within the means of the country in question. This provision is intended simply to establish the requirement that witnesses (and persons close to them) be given access to witness protection where required, and it is intended that the detail of the parameters of any programme would be set out in supplementary regulations/subordinate law. This article makes reference to the definition of a “witness” contained in the definitions section of these model legislative provisions. As noted in Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime, it is the function of the witness — as a person in possession of information important to the judicial or criminal proceedings — that is relevant rather than his or her status or the form of testimony. Witnesses fall into three main categories: justice collaborators (informants, other participants in the criminal conduct), victim-witnesses, and other types of witnesses (innocent bystanders, expert witnesses and others).(4) 时期应符合界定犯罪要件的法律规定的惩罚,不管一般部分条款规定的加重处罚或减轻处罚情况,也不管特殊部分中的严重或特权犯罪。
As noted in Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime, it is necessary to distinguish between a witness protection programme and witness assistance or support measures.第23条.
A witness protection programme is defined as follows in the Guide:刑事诉讼的移交
“Witness protection programme”: a formally established covert programme subject to strict admission criteria that provides for the relocation and change of identity of witnesses whose lives are threatened by a criminal group because of their cooperation with law enforcement authorities.1. 关于从外国管辖区移交刑事诉讼:
It is important to consider whether protections exist for personnel such as court staff, interpreters, transcribers, court reports, judges and jurors. In most countries, it is only in exceptional circumstances that judges, prosecutors, undercover agents, expert witnesses and interpreters are included in witness protection programmes. Intimidation or threats against their lives are considered to relate to their posts and the performance of their duties. They can qualify for special police protection, job transfers or early retirement, but their protection differs in nature from the protection measures intended for at-risk witnesses.(a) [检察官、检察长、中央机关、司法部......]在认为有助于真正司法[并且外国当局提出请求时],可以决定接管这些示范立法规定所涵、在外国管辖区已被起诉且[国家法院拥有管辖权][[......]法律适用]的犯罪的起诉;
Resources: United Nations Office on Drugs and Crime, Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime, (2008).(b) 然而,对因同样事实已经被定罪和已经执行刑罚的人,不能接管起诉。
Article 27.2.
Judicial protection of witnesses关于把刑事诉讼移交给外国管辖区:
A court hearing matters related to an offence to which these model legislative provisions apply may make orders to protect a witness [before, during and after] proceedings, including orders relating to:(a) [检察官、检察长、中央机关、司法部......]在认为有助于真正司法并且外国管辖区当局提出请求时,可以决定移交这些示范立法规定所涵犯罪的起诉。刑事诉讼的移交可限于特定事实、犯罪或个人[人员/嫌疑人];
(a) Closing the court;(b) 在[指明诉讼阶段,过了此阶段移交案件,比如指控,就不合理了]之前,应决定移交诉讼;
(b) Giving of evidence from behind a screen or other barrier; (c) Giving of evidence via video link or other remote means;(c) [检察官、检察长、中央机关、司法部......],如果切实可行,就应允许嫌疑人[被告]对所控犯罪、对拟欲的移交陈述其看法;
(d) The use of translators and interpreters;(d) [检察官、检察长、中央机关、司法部......],如果切实可行,就应允许所控犯罪受害人对所控犯罪、对拟欲的移交陈述其看法,以确保其[得到适当补偿和赔偿]的权利不受消极或不正当的影响;
(e) [Suppression/non-publication] of identity;(e) 移交决定中止起诉,不得影响深入侦查和司法协助;
(f) Use of voice distortion and facial disguise;(f) 在[检察官、检察长、中央机关、司法部......]得到通知,外国管辖区已经明确处理了被移交案件时,起诉应终结。
(g) Attendance of support persons;评注
(h) Sealing records of the trial; and选择性条文。
(i) Any other matters the court considers necessary or appropriate.来源:《有组织犯罪公约》第15条第5款和第21条。
Commentary Optional.一个以上的国家可能着手并坚持侦查和起诉同一犯罪的情况,会发生。第21条要求各国考虑,在把诉讼从一个国家移交给另一个国家有助于真正司法的情况下,特别是在涉及若干管辖区的情况下,是否有可能移交,以便集中起诉。
Source: Organized Crime Convention, article 24.作为一个实际问题,为了有效地把起诉移交给另一个国家,可能需要采取若干步骤。首先,两个国家之间可能需要就分享和移交材料和证据等事情进行协商。《公约》第15条第5款规定,如果两个国家都在对同一行为开展侦查、起诉或审判程序,它们应酌情相互磋商,以便协调行动。其次,如果事情已经到了法院,法院就必须“阻止”或中止起诉,等待另一个国家做出决定。这条草案意在促进这一程序。注意第2(f)款所说的案件处理,包括宣告无罪、定罪或驳回,也很重要。
It is important to ensure that witnesses can participate safely and without intimidation in any criminal justice process.联合国《刑事事件转移诉讼示范条约》(大会第45/118号决议附件)也可利用。 双重危险问题在这种情况下就变得很重要了。双重危险(或一罪不二审)原则是包括国际人权法在内的国际法的一部分。《公民权利和政治权利国际公约》第14条第7款(大会第2200 A (XXI)号决议,附件)规定如下:
In case the court does not already have an inherent discretion to provide “in court” protections to witnesses in transnational organized crime cases, this draft article provides it. The provision is expressed very broadly to ensure that the court has the discretion to do whatever it considers necessary to protect witnesses. This might include, for example, not only making non-publication orders with regard to names and addresses of witnesses but also allowing the use of facial disguises.任何人已依一国的法律及刑事程序被最后定罪或宣告无罪者,不得就同一罪名再予审判或惩罚。
Further information is available in Good Practices for the Protection of Witnesses in Criminal Proceedings Involving Organized Crime.东南亚国家联盟(东盟)《国际合作手册》已经指出: 尽管双重危险原则早已确立,但关于其适用的辩论却很频繁。最常见问题涉及指控的“二次起诉”是否是为同一犯罪或诉因,以至于应援引双重危险原则。如果后来的指控涉及同一行为但该犯罪被归为不同类别,或者如果有实质性新证据出现,就常常出现这种情况。
ExamplePauline David, Fiona David and Anne Gallagher, ASEAN Handbook on International Legal Cooperation in Trafficking in Persons Cases,p. 122。可查阅www.aseansec.org。 这种情况可以通过仔细起草法规予以避免或尽量减少。例如,《引渡示范条约修订手册》第52段建议,在拟订落实双重危险原则的法规时:
The Criminal Procedure Code of the Russian Federation, in its articles 376 and 389 as well as Federal Law No.# 39-FZ of 2011, allows for the use of videoconferences. As a procedural guarantee, the federal law envisages the presence of a judge on both sides of the video transmission.各国似宜考虑,衡量二次起诉是否是为同一犯罪,特别是在复杂而连续的群体犯罪中,什么标准和证据材料是适当而必要的。
In the Federal Law No.# 119-FZ (“On State Protection of Victims, Witnesses and Other Participants of Criminal Proceedings”) of 2004, the following security measures are envisaged:可查阅www.unodc.org。
(a) Providing for personal security and security for the dwelling and property;实例
(b) Granting special measures of individual protection, communications and danger warning;斯洛伐克《刑事法典》规定如下:
(c) Providing for confidentiality of information about the protected person;第三编:接管和移交刑事案件
(d) Moving to another place of residence;接管外国刑事案件
(e) Changing of documents;第383a节
(f) Changing of appearance;总检察机关应裁决外国有关机构的动议:让斯洛伐克共和国有关机构接管因在该外国领土上实施的犯罪而对斯洛伐克共和国公民提出的刑事起诉;如果做出支持该动议的裁决,它就应立即向拥有实质性属地权限的主管机构提出根据本法的规定开始刑事诉讼的请求。
(g) Changing the place of work (service) and education;把刑事案件移交给外国
(h) Temporarily placing in a safe location;第383b节
(i) Applying additional security measures in respect of the protected person who is kept in custody or is in the place of serving his sentence, including transfer from one place of custody or a place of serving punishment to another one.如果因为在斯洛伐克共和国领土上实施的犯罪而对外国公民提起刑事诉讼,总检察机关,在提出指控之后,司法部,均可以把刑事诉讼移交被告国籍所属的外国的主管机构。
Chapter VIII. Restitution and compensation for victims of Convention offences运送去接受国外诉讼
Introductory commentary第383c节 如果外国请求运送某人去接受国外刑事诉讼,最高法院应根据外国的动议裁决运送是否可以接受。第二编的规定酌情适用于是否可以采取运输和安全措施的决定。 接管一个外国人以便在斯洛伐克共和国领土上开展诉讼程序及其送归 第383d节 /1/ 如果为了在斯洛伐克共和国领土上进行的刑事诉讼,某人必需出庭作证或对质,并且此人在国外被拘留或在国外服刑,法官在根据检察官动议提出的预审诉讼中和合议庭审判长在法院诉讼中,应裁决,此人临时移交期间将在斯洛伐克共和国领导上被拘留,并且要求斯洛伐克共和国司法部采取其他措施。 /2/ 在根据第1款做出的裁决中,法官和在法院诉讼中,合议庭审判长,应申明拘留自此人被接管之日起开始。 /3/ 外国临时移交的人应被监狱和司法警卫部队机构接管,并且它们应立即把接管事宜通知发出拘留令的机构。 /4/ 然而,在执行必要程序之后,在外国规定期限的最晚时候,应把此人送还。 /5/ 在做出从根据第1款命令的拘留中释放的决定后,该人返回外国应由斯洛伐克共和国司法部予以安排。 移送被告的外国人或者没有公民身份的被告去国外执行程序 第383e节 /1/ 根据外国的动议,被告的外国人或在押或在服刑的没有公民身份的被告可以临时移送到外国领土,以便作证或对质。 /2/ 如果下述条件得到满足,此种人就可以临时移交:
This chapter includes provisions that are intended to assist States to implement article 25, paragraph 1, of the Organized Crime Convention. This article requires States parties to establish appropriate procedures to provide access to compensation and restitution for victims of Convention offences.a) 第1款规定的人将同意被移交,
Chapter VIII. Restitution and compensation for victims of Convention offencesb) 此人不在,不得改变拘留或执行在斯洛伐克共和国领土上所处刑罚的目的, c) 临时移交不得不适当地延长在斯洛伐克共和国领土上强制拘留的时间,
Article 28: Compensation and/or restitution by the offenderd) 临时移交不得不适当地延长执行在斯洛伐克共和国领土上所处监禁刑罚的时间。 /3/ 在预审诉讼中,斯洛伐克共和国总检察机构和在法院诉讼中,斯洛伐克共和国司法部,均应裁决,在此处第1和第2款规定条件得到满足之后,是否允许临时移交此处第1款规定的人。斯洛伐克共和国司法部应安排把该人移交给外国有关机构事宜。 /4/ 决定临时移交此处第1款规定的人的机构,应同时决定把被临时移交的人送回到斯洛伐克共和国领土的期限。这个期限不得长于30天。 /5/ 被移交的人应在外国领土上继续被拘留,并且这一点应在根据此处第3款做出判裁的机构的裁决中讲明。如果此种护送此人经过第三方国家的领土,这种规定也应适用。 /6/ 在国外被拘留的时间,不应包含在第71节第1和第2款规定的期限内。关于此事的判裁,应由法院做出,在预审诉讼中,应由法官根据检察官的动议做出(第71节第7款)。然而,在国外被拘留的时间应包含在执行在斯洛伐克共和国所服徒刑的时间内。命令执行判决的法院应裁决此事。 第24条. 确保罪犯不因《公约》所涵盖犯罪而逃跑
1.1.
Where a person is convicted of an offence to which these model legislative provisions apply, the court may order the offender to pay compensation or restitution to the victim, in addition to or in place of any other punishment ordered by the court.如嫌疑人被控告实施了这些示范立法规定适用的犯罪,则审前拘留应由[法院/主管机构]予以考虑。
2.2.
When imposing an order for compensation or restitution, the court shall take the offender’s means and ability to pay compensation or restitution into account and [shall give priority to a compensation or restitution order over a fine].审前拘留应当限于[插入时限]时期。
3.3.
The aim of an order for restitution shall be to give back to the victim the value of wrongful gain taken by the offender.在考虑审前拘留时,[法院/主管机构]应当考虑下述风险:
4. The aim of compensation shall be to compensate the victim for any loss suffered.(a) 嫌疑人在其后的刑事诉讼中不出庭; (b) 收买证人或篡改证据; (c) 嫌疑人以其他方式妨碍司法进程。 4.
An order for compensation may include payment for or towards:在没有下令实行审前拘留的情况下,[司法机关/主管机构]可以在审判或上诉之前对嫌疑人规定种种条件,确保他们在其后的刑事诉讼中出庭,并确保司法,包括:
(a) Costs of medical, physical, psychological or psychiatric treatment required by the victim;(a) 没收旅行或其他身份护照;
(b) Costs of physical and occupational therapy or rehabilitation required by the victim;(b) 通知入境和离境港口的有关当局;
(c) Costs of necessary transportation, temporary childcare, temporary housing or the movement of the victim to a place of temporary safe residence;(c) 持有实质性担保书;
(d) Lost income and due wages according to national law and regulations regarding wages;(d) 限制行动;
(e) Legal fees and other costs or expenses incurred, including costs incurred related to the participation of the victim in the criminal investigation and prosecution process;(e) 预防证人干扰和妨碍司法的其他措施。
(f) Payment for non-material damages, resulting from moral, physical or psychological injury, emotional distress, pain and suffering suffered by the victim as a result of the crime committed against him or her; and评注
(g) Any other costs or losses incurred by the victim as a direct result of the conduct of the offender and reasonably assessed by the court.来源:《有组织犯罪公约》第11条第3和第4款。 第11条第3款要求,就依《公约》而定的犯罪而言,各国均应,根据其本国法律并在适当考虑到被告方权利的情况下,采取适当措施,力求确保所规定的与审判或上诉前释放的裁决有关的条件考虑到确保被告人在其后的刑事诉讼中出庭的需要。
5. The immigration status or the return of the victim to his or her home country or other absence of the victim from the jurisdiction shall not prevent the payment of compensation and/or restitution under this article.如《立法指南》所指出,有组织犯罪集团的犯罪行动可能产生巨额利润,结果被告可能得到巨款。在这种情况下,保释作为一种确保被告不在审前逃跑的方式的效力就会减少。因此,如《立法指南》所指出,《公约》第11条第3款: 指出了滥用审判和上诉前释放的危险,要求各缔约国采取与其法律和被告权利相适应的措施,防止被告潜逃。 《关于拟订联合国打击跨国有组织犯罪公约及其各项议定书谈判的准备工作文件》,第134页。
6. Where not payable by the offender, the victim shall be eligible for compensation from [insert name of public fund].尽管《公约》没有提出严格要求,但嫌疑人收买证人、篡改证据或采取其他步骤破坏司法的能力,在就审前释放或拘留做出决策时,可能需要予以考虑。因此,这些因素在示范立法规定的这项起草备选案文中被提到,以供考虑。
7. Where the offender is a public official whose actions constituting an offence under these model legislative provisions were carried out under actual or apparent State authority, the court may order the State to pay compensation to the victim [in accordance with national legislation].第25条.
An order for State compensation under this article may include payment for or towards all or any of the items under paragraph 4 (a)-(g).《公约》所涵盖犯罪先前定罪的证据
Commentary在这些示范立法规定适用的犯罪的任何诉讼中,法院在裁量时,可以采信[任何国家][任何《公约》国家]先前对[插入《公约》所涵盖犯罪清单][或任何其他严重犯罪]的任何定罪的证据,[只要该证据的证明价值重于该证据可能对诉讼产生的有害影响]。 评注 来源:《有组织犯罪公约》第22条。 先前定罪的证据可能产生有害影响,因为它可能使法院或陪审团以为,该人犯过一另一桩罪,因此肯定也已经犯了本罪。然而,在某些情况下,提出嫌疑人在另一管辖区已经因为某桩犯罪而被定罪的证据,很重要。例如,对处刑法官来说,知道罪犯先前在其他国家已经实施了这些行动,很重要。在这种情况下,就需要根据证据可能对司法程序产生的有害影响,仔细权衡证据的证明价值。因此,本起草备选案文特别指出这些考虑因素,以便实施《公约》第22条。 作为一个实际问题,各国可能需要出台行政程序,借此从其他国家获得先前定罪的信息材料。这可以通过司法协助程序进行,或者考虑另设一种获取信息材料的程序可能也很凑效。 实例 2009年2月26日欧洲联盟理事会关于各成员国之间交换从犯罪记录提取的信息的组织和内容的2009/315/JHA号框架决定第6条规定如下: 在为了对某人提出刑事诉讼或者为了刑事诉讼之外任何目的而请求出自一个成员国的犯罪记录的信息,该成员国中央机关可以根据本国法律,把请求提交给另一成员国的中央机关,索取要从犯罪记录中提取的信息和有关数据。 第七章.保护证人 评介
Source: Organized Crime Convention, article 25, paragraph 1.第24条第1款要求缔约国“在其力所能及的范围内采取适当的措施”,为在《公约》所涵盖犯罪的起诉的刑事诉讼中作证的证人(并酌情为其亲属及其他与其关系密切者)提供有效的保护,使其免遭可能的报复或恐吓。如第24条第4款推断的那样,受害人在某种情况下可能就是证人,果真如此,第24条的规定就适用。
Mandatory.《公约》第24条第2款给出了此类措施的两个例子:第一个,着重通过警察保护或正式证人保护方案提供人身保护的程序;第二个,允许证人安全作证的证据规则。此外,还有许多其他可能有用的战略。这些示范立法规定给出了可以采用的立法战略的各种例子。毒品和犯罪问题办公室正在拟订证人保护示范法。
This provision is intended to provide guidance on the matters that States might want to consider when developing laws on both restitution and compensation for victims of organized crime. Restitution is a form of repayment for losses suffered by the victim, paid by the offender. In some legal systems, payment of restitution may depend on a conviction. In contrast, compensation is generally paid by the State, and it may or may not depend on there being a conviction. Provisions on ensuring access to both restitution and compensation need to be included only if procedures for ensuring compensation and restitution are not already available under national laws.《在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》已经指出,证人在司法情形中作证和与执法人员配合而不担心恐吓或报复的能力,对维护法治至关重要。证人保护包括许多不同措施,从简单的费用不高的措施到更正式的证人保护方案:
Example保护可以很简单,如由警察护送去法庭,在安全房屋中提供临时住处或使用现代通信技术(如电视会议)作证。不过,还有其他情况,证人合作对成功起诉很关键,但进行威胁的犯罪集团影响和实力极大,需要采取特别措施确保证人安全。在此种情况下,用新的身份,把证人重新安置到同一个国家不曾透露的新住所或到国外,可以是唯一可行的选择。
The United Kingdom Powers of Criminal Courts (Sentencing) Act, 2000, provides the following:《在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》(2008年),第1页。
130 Compensation orders against convicted persons.第七章. 保护证人
(1) A court by or before which a person is convicted of an offence, instead of or in addition to dealing with him in any other way, may, on application or otherwise, make an order (in this Act referred to as a “compensation order”) requiring him—第26条. 证人的安全
(a) to pay compensation for any personal injury, loss or damage resulting from that offence or any other offence which is taken into consideration by the court in determining sentence;1. [主管机构]应采取所有适当措施,以确保这些示范立法规定适用的犯罪的受害人或证人及其家属,如有安全危险,就得到适当的保护,包括采取措施保护他或她免受嫌疑人、罪犯及其同伙的恐吓和报复。 2.
or这些示范立法规定适用的犯罪的受害人和证人,应享受到任何现行证人保护措施或方案。
(b) to make payments for funeral expenses or bereavement in respect of a death resulting from any such offence, other than a death due to an accident arising out of the presence of a motor vehicle on a road;评注
but this is subject to the following provisions of this section and to section 131 below.来源:《有组织犯罪公约》第24条。
Chapter IX. Transfer of sentenced persons强制性条文。
Introductory commentary采取有效措施,为证人提供有效保护,使其免受报复或威胁,这种义务是强制性的。然而,它以合理为限,是有关国家的力所能及的。这项规定只是为了做出规定,在必要时,让证人(及其亲近的人)得到证人保护,并且打算要求在补充条例/从属法中阐明任何方案参数的细节。
Article 17 of the Organized Crime Convention encourages States parties to consider entering into agreements and arrangements for the transfer of persons sentenced for offences covered by the Convention. Transfer of sentenced persons is a complex issue likely requiring both the conclusion of bilateral or other agreements and supporting domestic legislation. This chapter includes the basics of what might need to be addressed in a national law on this issue. This could form the basis of a stand-alone law on transfer of prisoners, or this could be incorporated into existing criminal laws.这一条提到了这些示范立法规定定义一节所载“证人”的定义。
There are many pragmatic reasons to support the transfer of sentenced persons. As noted in the UNODC Handbook on the International Transfer of Sentenced Persons,《在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》已经指出,重要的是证人——身为持有对司法或刑事诉讼来说很重要的信息的人——的职能,而不是其地位或作证形式。证人分为三大类:司法合作者(告发人,而非犯罪行为的参与人)、受害人证人和其他类型的证人(无辜的旁观者、专家证人等)。
All other things being equal, sentenced persons who serve their sentences in their home countries can be better rehabilitated, resocialized and integrated back into the community better than elsewhere. This is a positive reason for transferring sentenced persons to a State with which they have social links to serve their sentences. Imprisonment in a foreign country, away from family and friends, may also be counterproductive, as families may provide prisoners with social capital and support, which improve the likelihood of successful resettlement and reintegration.《在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》已经指出,必需区分证人保护方案和证人援助或支持措施。证人保护方案在《指南》界定如下:
Handbook on the International Transfer of Sentenced Persons.“证人保护方案”:遵照严格采用标准正式订立的,规定须转移因为与执法机构合作而生命受到犯罪集团威胁的证人并改变其身份的秘密方案。
Although the rehabilitative goals of transfer are extremely important, transfer of sentenced persons can also serve a number of other diplomatic and practical purposes. For example, transfer can ease the diplomatic tension that may arise when one country imprisons the national of another country. Transfer is also a mechanism that States can use to secure the return of their nationals who may be imprisoned in harsh or inhumane conditions. Also, transfer eases the practical burdens attendant in incarcerating foreign nationals, arising from, for example, language barriers and the need to accommodate the religious, cultural and dietary needs of foreign inmates. Transfer has important law enforcement benefits, as the administering country gets valuable information about the returning national that would not be available should the person simply serve their sentence overseas and then seek to return home. Finally, when a particularly dangerous offender is returned to his or her home country, the transfer process may also provide that country with the opportunity to utilize whatever laws and procedures it may have in place to supervise the transferred offender.考虑对法院工作人员、口译、誊写者、法院记录员、法官和陪审员等人员是否存在保护,很重要。大多数国家,只有在特别情况下,才把法官、检察官、特工、专家证人和口译,纳入证人保护方案。对他们的恐吓或威胁,被认为涉及其职位和其职责的履行。他们可以有资格得到警察特别保护、换工作或提前退休,但保护他们,从性质上看,不同于针对险境证人的保护措施。
Transfer of sentenced persons has a strong basis in international human rights law. For example, article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which has been ratified or acceded to by 167 countries as of 31 August 2012, specifies that the “essential aim” of a penitentiary system is the “reformation and social rehabilitation” of prisoners. Furthermore, the rehabilitation of persons sentenced for Convention offences is also a stated objective of the Organized Crime Convention, which provides in article 31, paragraph 3, that “States parties shall endeavour to promote the reintegration into society of persons convicted of offences covered by this Convention”.来源:联合国毒品和犯罪问题办公室《在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》(2008年)。
As noted in the Handbook on the International Transfer of Sentenced Persons, many States have acceded to multilateral schemes and concluded bilateral agreements that facilitate the transfer of sentenced persons. Even though much of the framework around the transfer of sentenced persons will be found in relevant treaties, as with other forms of international cooperation, domestic legislation can operate to complement and ensure the efficient administration of transfer of sentenced persons. As noted in the Handbook on the International Transfer of Sentenced Persons:第27条. 证人的司法保护
United Nations Office on Drugs and Crime, Handbook on the International Transfer of Sentenced Persons.听审有关这些示范立法规定适用的犯罪的问题的法院,可以[诉讼]前后或过程中下令保护证人,包括下达有关下述事项的命令:
The implementation of national legislation can also assist with the creation of an effective transfer regime. A domestic statutory framework assigns authority, ensures clarity in relation to the principles behind the transfers and gives legality to the transfer process.(a) 闭庭; (b) 从屏障或其他障碍后作证; (c) 通过视频链路或其他遥控手段作证; (d) 使用笔译和口译; (e) [隐瞒/不公开]身份; (f) 使用声音失真和面部伪装; (g) 支助人员出席; (h) 密封审判记录; (i) 任何其他法院认为必要或合适的事情。 评注 选择性条文。 来源:《有组织犯罪公约》第24条。 确保证人可以安全而不受恐吓地参与任何刑事司法程序,很重要。 如若法院在跨国有组织犯罪案件中,已经没有为证人提供“法庭上的”保护的固有裁量权,这条草案就规定了此种裁量权。这项规定表述很宽泛,以确保法院拥有裁量权,做它认为保护证人需要做的事。这可能包括,比如,不仅是对证人的姓名和地址下达不公开令,而且还允许使用面部伪装。 有关更多信息,可查阅《在涉及有组织犯罪的刑事诉讼中保护证人的良好做法》。 实例 俄罗斯联邦《刑事诉讼法典》第376和第389条及2011年第#39-FZ号联邦法,容许利用视频会议。作为一种程序性保证,该联邦法设想法官出现在视频传输的两端。 2004年第#119-FZ号联邦法(“关于国家对受害人、证人和刑事诉讼其他参与者的保护”),设想如下安全措施: (a) 规定了人身安全和住处与财产安全; (b) 准许采取个人保护、通信和危险预警的特殊措施; (c) 规定有关被保护人的信息保密; (d) 迁往另一住处; (e) 改变证件; (f) 改头换面; (g) 改变工作(服务)和受教育地点; (h) 临时置于安全地点; (i) 对在押或在服刑地的受保护人适用额外安全措施,包括从一个羁押地点或服刑地点转移到另一个地点。 第八章.对《公约》所涵盖犯罪受害人的补偿 评介 本章包含意欲协助各国实施《有组织犯罪公约》第25条第1款的规定。本条要求各缔约国制定适当的程序,使《公约》所涵盖犯罪的受害人有机会获得赔偿和补偿。 第八章. 对《公约》所涵盖犯罪受害人的补偿 第28条. 罪犯给予的赔偿和(或)补偿 1. 在一个人被证明犯有这些示范立法规定适用的犯罪的情况下,法院除了或者替代其命令的其他惩罚,还可以命令罪犯赔偿或补偿受害人。 2. 在强行下达赔偿或补偿令时,法院应考虑罪犯的财力和赔偿或补偿能力,并且[应优先考虑赔偿或补偿令,后考虑罚款]。 3. 补偿令的目的应是把罪犯夺取的非法利得的价值还给受害人。 4. 赔偿的目的应是赔偿受害人所受的任何损失。赔偿令可以包括支付: (a) 受害人需要的医学、身体、心理或精神病治疗费用; (b) 受害人需要的身体和职业治疗或康复费用; (c) 必要的交通、临时托儿、临时住房或把受害人迁移到一个临时安全住处的费用; (d) 国家工资法律条例规定的损失收入和应得工资; (e) 所致法律费用和其他费用或支出,包括所致与受害人参加刑事侦查和起诉过程有关的费用; (f) 支付受害人因所遭犯罪而遭受的道德、身体或心理伤害或情感烦恼、悲伤和悲伤造成的非物质损害赔偿金; (g) 受害人直接因为罪犯的行为而招致和法院合理估定的任何其他费用或损害。 5. 移民身份或者受害人回国或者受害人不在管辖区,概不妨碍根据本条规定支付赔偿和(或)补偿。 6. 在罪犯不支付的情况下,受害人应有资格从[插入公共基金的名称]得到赔偿。 7. 如果罪犯是公职人员,其根据国家实际或明显授权而实施的行动,构成了这些示范立法规定所定的犯罪,则法院可以命令国家[根据本国法规]向受害人支付赔偿金。本条规定的国家赔偿令可以包括支付第4(a)-(g)款规定的全部或任何事项。 评注 来源:《有组织犯罪公约》第25条第1款。 强制性条文。 本项规定意在就国家制订关于补偿和赔偿有组织犯罪受害人的法律时可能要考虑的事项,提供指导。补偿是一种罪犯偿付受害人所受损失的形式。在某些法系中,支付补偿可能取决于定罪。相形之下,赔偿通常由国家支付,可能取决于也可能不取决于有定罪。只有确保赔偿和补偿的程序根据国家法律已经无法利用时,确保获得补偿和赔偿的规定才需要列入。 实例 联合王国2000年《刑事法院(量刑)权力法》规定如下: 130 针对已决犯的赔偿令 (1) 不是或者除了以其他方式处置某人外,宣布他有罪的法院,可以应申请或以其他方式,下述命令(在本《法》中称为“赔偿令”),要求他—— (a) 赔偿该犯罪或者法院在量刑时考虑的任何其他犯罪造成的任何人身伤害、损失或损害; (b) 关于任何此类犯罪所致死亡而非道路上有机动车辆造成的事故引起的死亡,支付丧葬费用或丧亲; 但这须遵守本节下述规定和下文第131节的规定。 第九章.被判刑人员的移交 评介 《有组织犯罪公约》第17条鼓励各国考虑缔结移交因犯《公约》所涵犯罪而被判刑的人员的协定或安排。移交被判刑人员是一个复杂问题,可能既需要缔结双边或其他协定,又需要本国支助立法。本章载有关于此问题的国家法律可能需要处理的基本因素。这可能构成移交囚犯的独立法律的基础,或者这可以纳入现行刑法中。 有许多实际理由支持移交被判刑人员。《毒品和犯罪问题办公室被判刑人员国际移交手册》已经指出, 所有其他情形都相等,在本国服刑的被判刑人员可能比在别处能更好地康复、重新社会化和重新融入社区。这是把被判刑人员移交给他们有社会联系的国家服刑的确实理由。在外国监禁,远离家人和朋友,可能也适得其反,因为家人可以为囚犯提供社会资本和支持,而社会资本和支持增加重新安置和重新融入的可能。 《被判刑人员国际移交手册》。 虽然移交的康复目标极其重要,但移交被判刑人员也可能达到若干其他外交和实际目的。例如,移交可以缓解一国囚禁另一国国民时可能出现的外交紧张关系。移交也是各国为让可能被监禁在严厉或非人道条件下的国民回国可以利用的一种机制。此外,移交会减轻伴随监禁外国国民而来的实际负担,比如语言障碍和需要顾及外国囚犯的宗教、文化和饮食需要而产生的负担。移交有重大的执法利益,管理国得到了关于回还国民的宝贵信息,如果此人只是在海外服刑,然后谋求回家,就得不到这些信息。最后,当把一个特别危险的罪犯送还本国时,移交过程可能也为该国提供了一个机会,利用它可能出台的法律和程序监督被移交的罪犯。 移交被判刑人员在国际人权法中有坚实依据。例如,截至2012年8月31日有167个国家批准或加入的《公民权利和政治权利国际公约》第十条第三款明言,监狱制度的“基本目的”是囚犯的“改造和社会复员”。此外,因《公约》所涵盖犯罪则被判刑人员的康复,也是《有组织犯罪公约》一个明言的目标;因为《公约》第31条第3款规定“缔约国应努力促进被判犯有本公约所涵盖的犯罪的人重新融入社会”。 《被判刑人员国际移交手册》已经指出,许多国家都已经加入了多边计划并缔结了双边协定,以促进被判刑人员的移交。即使该框架围绕被判刑人员移交的许多内容将会在有关条约中发现,正如其他形式的国际合作一样,国内法规也可能实行,以补充和确保被判刑人员移交的有效管理。《被判刑人员国际移交手册》已经指出: 联合国毒品和犯罪问题办公室,《被判刑人员国际移交手册》。 实施国家法规还可以协助创立一种有效的移交制度。国内法规框架赋予权力,确保支持移交的原则清楚并赋予移交程序以合法性。
Ibid.同上。
To ensure the efficiency of the transfer of sentenced persons, national laws should address the following issues at a minimum: definitions of all critical terms; identifying and designating a central authority to receive and respond to requests; enumerating the requirements for transfer; ensuring clarity of application and other procedures; and the steps and procedures that a country is to follow in administering the programme, processing applications and making transfer decisions. Such laws should not make any specific requirements that are unique to that State’s national context.为了确保移交被判刑人员的效率,国家法律起码应当解决下述问题:所有关键条款的定义;确立并指定一个接收和回应请求的中央机关;列举移交要求;确保申请和其他程序清楚明白;国家管理方案、处理申请和做出移交决定要遵守的步骤和程序。此类法律不应当做出该国国情所独有的特殊要求。
Other relevant considerations include: whether the prisoners are entitled to be represented by counsel, and if so, at what stage of the proceeding; whether juveniles and mentally ill persons are eligible for transfer and if so, whether special procedures and protections apply; the transferability of prisoners on parole, probation or other forms of conditional release; the impact that transfer has on the civil, political or civic rights of returning nationals and the immigration status of transferred prisoners; the identification of limitations on subsequent prosecutions of conduct forming the basis of the transferred offence, and any specific reporting requirements of the sentencing and administering countries.其他考虑因素包括:囚犯是否有权请律师代表,如果有,在诉讼的什么阶段;少年犯和精神病人是否有资格被移交,如果有,是否适用特别程序和保护;假释、缓刑或其他有条件释放的囚犯可否移交;移交对回还国民的国民权利、政治权利或公民权利和被移交囚犯的移民地位的影响;确定对嗣后起诉构成被移交犯罪基础的行为的限制以及判刑和管理国的任何特殊报告要求。
Chapter IX.第九章.
Transfer of sentenced persons被判刑人员的移交
Article 29.第29条.
Objective目的
The object of this chapter is to facilitate the transfer of prisoners subject to a final criminal sentence [for serious crimes] who satisfy the other prerequisites of transfer set forth herein.本章的目的是便利移交[因严重犯罪]而受到最终刑事判决,满足了此处所说移交的其他先决条件的囚犯。
Commentary评注
Source: Organized Crime Convention, article 17.来源:《有组织犯罪公约》第17条。
Optional.选择性条文。
A statement of objectives may be useful in guiding the interpretation of provisions on transfer of prisoners.目的说明可能有助于指导囚犯移交规定的解释。
Example实例
The International Transfer of Prisoners Act 1997 (Commonwealth) of Australia provides as follows:澳大利亚1997年《囚犯国际移交法》(英联邦)规定如下:
3 Objects of Act3 本法的目的
The objects of this Act are:本法的目的是:
(a) to facilitate the transfer of prisoners between Australia and certain countries with which Australia has entered agreements for the transfer of prisoners so that the prisoners may serve their sentences of imprisonment in their countries of nationality or in countries with which they have community ties; and(a) 便利在澳大利亚和与澳大利亚订立了囚犯移交协定的某些国家之间移交囚犯,使囚犯可以在其国籍国或者在与他们有社会联系的国家服监禁刑罚;
(b) to facilitate the transfer of prisoners to Australia from countries in which prisoners are serving sentences of imprisonment imposed by certain war crimes tribunals.(b) 便利把囚犯从其服某些战争罪法庭所处监禁刑罚的国家移交给澳大利亚。
Article 30.第30条.
Definitions and use of terms术语的定义与使用
In this chapter:在本章中:
(a) “Administering” or “receiving” country shall mean the State agreeing to administer or enforce the transferred sentence;(a) “管理”或“接收”国系指同意管理或执行被移交的刑罚的国家;
(b) “Central Authority” shall mean [insert name of relevant State authority or body that operates as the competent national authority for transfer of sentenced persons];(b) “中央机关”系指[插入担当被判刑人员移交主管国家机关的有关国家机关或机构的名称];
(c) “Dual criminality” shall mean that at the time of transfer of an offender the offence for which he or she has been sentenced is still an offence in the transferring country and is also an offence in the receiving country. [With regard to a country that has a federal form of Government, an act shall be deemed to be an offence in that country if it is an offence under the federal laws or the laws of any state or province thereof];(c) “两国共认犯罪”系指在移交罪犯时,导致罪犯被判刑的犯罪在移交国仍然是一种犯罪,在接收国也是一种犯罪。[关于采取联邦形式政府的国家,一种行为如果该国联邦法律或其任何州或省的法律规定是犯罪,在该国就应被认为是犯罪];
(d) “Finally convicted” means a prisoner has been finally convicted and sentenced, the prisoner has no appeals or collateral [attacks/appeals] pending on the underlying sentence or conviction, and the period for such appeal has expired;(d) “最终被定罪”系指一个囚犯已经最终被宣布有罪并处刑,该囚犯在基本判刑或定罪过程中没有上诉或担保物[攻击/上诉],并且此类上诉时期已过;
(e) “Imprisonment” shall mean a penalty imposed by a court under which the individual is confined to an institution;(e) “监禁”系指法院所处把个人监禁于某个机构中的处罚;
(f) “Prisoner” shall mean a person who is serving a sentence of imprisonment or other form of conditional release;(f) “囚犯”系指在服监禁刑罚或得到其他形式有条件释放的人;
(g) “Sentence” shall mean any punishment or measure involving deprivation of liberty ordered by a court or tribunal for a determinate or indeterminate period in the exercise of its criminal jurisdiction;(g) “刑罚”系指任何包含法院或法庭在行使其刑事管辖权时下令定期或不定期剥夺自由的刑罚或措施;
(h) “Sentencing” or “transferring” State shall mean the State that imposed the sentence of imprisonment;(h) “判刑”或“移交”国系指处监禁刑罚的国家;
(i) “Transfer” shall mean a transfer of an individual for the purpose of the execution in one country of a sentence imposed by the courts of another country.(i) “移交”系指移交一个人,以便在一国执行另一国法院所处的刑罚。
Commentary评注
Source: Organized Crime Convention, article 17.来源:《有组织犯罪公约》第17条。
Example实例
The Transfer of Prisoners Act 2001 of Mauritius provides as follows:毛里求斯2001年《囚犯移交法》规定如下:
“imprisonment” includes -“监禁”包括——
(a) placement of a juvenile in a place of detention referred to in section 25 of the Juvenile Offenders Act;(a) 把少年犯置于《少年犯法》第25节所说拘留所;
(b) confinement following an order issued pursuant to section 115 of the Criminal Procedure Act;(b) 遵守根据《刑事诉讼法》第115节下达的命令的禁闭;
(c) any other similar form of restraint of liberty that applies in a designated country;(c) 在指定国家适用的任何其他类似形式的自由限制;
“offender”-“罪犯”——
(a) means a person who -(a) 系指下述人员:
(i) is a citizen of Mauritius or a person whose transfer appears to the Minister to be appropriate having regard to any close ties that person may have with Mauritius; and㈠ 毛里求斯公民或者其移交在部长看来合适、顾及了他可能与毛里求斯建立的任何密切联系的人;
(ii) has been convicted and sentenced in a designated country to -㈡ 在指定国家已经被定罪且判处:
(A) a term of imprisonment of which the unexpired portion at the time that an application is made is not less than 6 months; or(A) 有期徒刑,在申请提出之时未尽刑期不短于6个月;
(B) an indeterminate period of imprisonment;(B) 不定期监禁;
(b) includes an offender released on licence from such sentence;(b) 包括经特许免除此类刑罚的罪犯;
“prisoner” means a foreign offender or an offender;“囚犯”系指外国罪犯或罪犯;
Available from www.可查阅www.
unodc.unodc.
org.org。
Example实例
The International Transfer of Prisoners Act 1997 (Commonwealth) of Australia provides as follows:澳大利亚1997年《囚犯国际移交法》(英联邦)规定如下:
sentence of imprisonment means any punishment or measure involving deprivation of liberty ordered by a court or tribunal for a determinate or indeterminate period in the exercise of its criminal jurisdiction and includes any direction or order given or made by the court or tribunal with respect to the commencement of the punishment or measure.判处徒刑系指任何包含法院或法庭在行使其刑事管辖权时下令定期或不定期剥夺自由的刑罚或措施,并包括法院或法庭就开始处罚或措施给出或下达的任何指示或命令。
prisoner means a person (however described) who is serving a sentence of imprisonment and includes:囚犯系指正在服刑的人(不管如何描述)并且包括:
(a) a mentally impaired prisoner; and(a) 弱智囚犯;
(b) a person who has been released on parole.(b) 被假释的人。
Article 31.第31条.
Requirements for transfer移交要求
A prisoner is eligible for transfer if the prisoner:囚犯若具备下述条件,就有资格被移交:
(a) Is a national of the administering or receiving State; or(a) 是管理国或接收国的国民;
(b) Has significant ties to the administering or receiving country such as the presence of close family members, [having resided for a number of years in the country, educational or work history, property ownership or professional licenses, other];(b) 与管理国或接收国有重要关系,有亲近家人在,[在该国居住了若干年,学历或工作经历,财产所有权或专业执照,其他];
(c) And all the following conditions are met:(c) 且所有下述条件俱足:
(i) The judgement and sentence are final;㈠ 判决和刑罚是最终的;
(ii) The sentencing State, administering State and prisoner all consent to the transfer;㈡ 判刑国、管理国和囚犯都同意移交;
(iii) Dual criminality exists; = 3 \* GB4 ㈢ 两国共认犯罪存在;
(iv) Any pending extradition request has been resolved; = 4 \* GB4 ㈣ 任何未决引渡请求已经解决;
(v) Six months or more remains to be served on the sentence. = 5 \* GB4 ㈤ 刑罚还有六个月或以上要服。
Commentary评注
Source: Organized Crime Convention, article 17; note also the International Covenant on Civil and Political Rights, the Convention on the Rights of the Child and the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment.来源:《有组织犯罪公约》第17条;也注意到《公民权利和政治权利国际公约》、《儿童权利公约》和《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约》。
As noted in the Handbook on the International Transfer of Sentenced Persons, historically, the consent of the sentenced person has always been a precondition for international transfers. The Handbook notes the following:《被判刑人员国际移交手册》已经指出,被判刑人员的同意始终是国际移交的一个先决条件。《手册》指出如下:
The requirement that prisoners must consent to the transfer ensures that transfers are not used as a method of expelling prisoners or as a means of disguised extradition. Moreover, since prison conditions vary considerably from country to country, and the prisoner may have very personal reasons for not wishing to be transferred, it seems preferable to base the transfer agreements on the consent requirement. It is also usually the case that the social rehabilitation of a prisoner is better served by transferring only sentenced persons who consent to such transfer.囚犯必须同意移交,这一要求确保移交不被用作一种驱逐囚犯的办法或一种变相引渡。而且,由于监狱条件因国家不同而迥异,而且囚犯可能有不希望被移交的个人理由,移交协定以这项同意要求为基础似乎更可取。只移交同意被移交的被判刑人员,更有助于囚犯的社会康复,也是常情。
United Nations Office on Drugs and Crime, Handbook on the International Transfer of Sentenced Persons.联合国毒品和犯罪问题办公室,《被判刑人员国际移交手册》。
In order for a determination to be made whether the prisoner’s consent is voluntary and made knowingly, the prisoner needs to be able to consult with legal counsel.为了确定囚犯的同意是否是自愿的和在知情情况下做出的,囚犯需要能够咨询其律师。
It is up to individual States to determine how far they wish to extend coverage beyond individuals who are nationals. For example, the Model Treaty on the Transfer of Supervision of Offenders Conditionally Sentenced or Conditionally Released provides that prisoner transfer is available only to sentenced persons who are “ordinary residents” in the administering State.各国希望把涵盖范围扩大到国民个人之外多远,各国自己决定。例如,《有条件判刑或有条件释放罪犯转移监督示范条约》规定,囚犯移交只有身为管理国“普通居民”的被判刑人员可以利用。
Example实例
The Criminal Procedure Code of the Russian Federation, in its article 469, requires a decision of a court to allow a convict to serve his or her punishment in the State of his or her nationality. The transfer may be refused if there is no dual criminality. The punishment cannot be executed in a foreign State if no guarantees were received about the execution of the conviction, if there was no consent of the convict or if the convict has a place of permanent residence in the Russian Federation.俄罗斯联邦《刑事诉讼法典》第469条要求法院做出裁决,允许被判罪者在其国籍国服刑。如果没有两国共认犯罪,则可以拒绝移交。如果没有收到关于执行定罪的保障,如果没有被判罪者的同意或者被判罪者在俄罗斯联邦有永久住所,则刑罚不能在外国执行。
Example实例
The Transfer of Prisoners Act of the United Republic of Tanzania, 2004, provides the following:2004年《坦桑尼亚联合共和国囚犯移交法》规定如下:
(4) Where an application for transfer of a prisoner to Tanzania has been made by a prisoner or consent for transfer to Tanzania has been given by another person on behalf of a prisoner, then, if that prisoner is habitual resident of Tanzania Zanzibar, the Minister shall before making any decision, consult with the Minister responsible for the custody of offenders in the. Revolutionary Government of Zanzibar regarding the application, and, where there is consensus in the affirmative, the provisions of this Act shall, mutatis mutandis, apply to such transfer.(4) 在把囚犯移交给坦桑尼亚的申请由囚犯提出或者另一个人代表囚犯已经同意移交给坦桑尼亚的情况下,如果该囚犯是坦桑尼亚桑给巴尔长期居民,部长在做出任何决定之前,应就申请事宜与桑给巴尔革命政府负责罪犯监禁的部长协商,并且在达成肯定共识的情况下,本法的规定就比照适用于此类移交。
(5) In determining the request for transfer made under subsection (1), the Minister shall not agree to a transfer where the prisoner has less than six months of the sentence remaining to be served except on exceptional circumstances.(5) 在决定根据第(1)小节提出的移交请求时,如果囚犯待服刑期短于六个月,除特别情况外,部长不得同意移交。
Article 32.第32条.
Notice of the right to apply for transfer申请移交的权利的通知
Prisoners who are eligible for transfer have a right to be informed of their eligibility to apply for transfer, within a [insert reasonable time period] after the judgement and sentence becomes final.有资格被移交的囚犯,有权在判决和刑罚最终做出之后[插入合理时期]内,得知其申请移交的资格。
Commentary评注
It is important that foreign prisoners who may be eligible for transfer are made aware of this process and how they might seek to apply for transfer.重要的是,让可能有资格被移交的外国囚犯得知这个程序及他们如何寻求申请被移交。
Article 33.第33条.
Application for transfer移交申请
1.1.
The prisoner or their [legal] representative or the prisoner’s country of nationality may apply to the [central authority] to initiate the transfer of the prisoner to another State under this chapter.囚犯或其[法律]代表或囚犯的国籍国,可以根据本章向[中央机关]申请,启动把囚犯移交给另一国。
2.2.
The application shall include:申请应包括:
(a) The name of the country to which transfer is requested;(a) 请求移交目的国的名称;
(b) Information regarding nationality or community ties to that State.(b) 关国籍或于与该国的社会联系的信息。
Commentary评注
The transfer of prisoners needs to be supported by an administrative decision-making process. Consideration should be given to developing a uniform application that covers (but not be limited to) seeking information about nationality, the location of family members, residence history, educational background, work history, other community ties and whether the prisoner has dual nationality.囚犯移交必须得到行政决策程序的支持。应当考虑制订统一申请,涵盖(但不限于)寻求关于国籍、家人所在地、居住历史、教育背景、工作经历、其他社区联系及囚犯是否有双重国籍的信息。
Examples实例
The Criminal Code of Procedure of France provides the following with respect to the transfer of convicted persons:法国《刑事诉讼法典》就移交已定罪者规定如下:
Article 728-2第728-2条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I IV Official Journal of 10 March 2004, in force 1 January 2005)(按2004年3月9日第2004-204号法第1条七插入,2004年3月10日《公报》,2005年1月1日生效)
Where, pursuant to an international Convention or agreement, a person detained for the execution of a sentence imposed by a foreign court is transferred to French territory to serve in France the remainder of the sentence, the execution of the penalty is carried out in accordance with the provisions of the present Code, and in particular the present Chapter.如果根据国际公约或协定,为执行外国法院所处刑罚而被拘留的人被移交到法国领土上,在法国服剩余刑期,则处罚执行根据本《法典》规定、特别是本章进行。
Article 728-3第728-3条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I Official Journal of 10 March 2004, in 1 January 2005)(按2004年3月9日第2004-204号法第162条一插入,2004年3月10日《公报》,2005年1月1日生效)
As soon as he arrives on French soil, the detained convicted person is presented to the district prosecutor of the place of arrival, who then interrogates him as to his identity and drafts an official record thereof. However, if the interrogation cannot take place immediately, the convicted person is sent to the remand prison, where he may not be detained for more than twenty-four hours. At the end of this period, the prison governor, acting on his own motion, brings him before the district prosecutor.被拘留的已定罪者一到达法国领土,就被带给到达之地的地方检察官,地方检察官接着就审问他的身份并起草关于他的正式记录。然而,如果不能立即进行审问,就要把已定罪者送进羁押候审监狱,在那里羁押不得超过二十四小时。羁押时期结束时,监狱长自行行事,把他带给地方检察官。
Upon seeing the documents establishing the agreement of the States for the transfer and the consent of the person concerned, as well as the original or a copy of the foreign sentence accompanied, if necessary, by an official translation, the district prosecutor orders the immediate incarceration of the convicted person.看到确定两国移交协定和有关人员同意的文件以后,还有必要时随附官方译文的外国判决的原件或复印件后,地方检察官就命令立即监禁已定罪者。
Article 728-4第728-4条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I Official Journal of 10 March 2004, in force 1 January 2005)(按2004年3月9日第2004-204号法第162条一插入,2004年3月10日《公报》,2005年1月1日生效)
The penalty imposed on the foreigner is directly and immediately enforceable on the French national territory in respect of the part remaining to be served in the foreign State, in consequence of the international Convention or agreement.对外国人所处刑罚,因为国际公约或协定,就要在外国服完的刑期剩余部分来说,可以在法国领土上直接而立即执行。
However, where the penalty imposed is more severe in kind or in length than the penalty provided by French law for the same offence, the correctional court of the place of detention, to which the district prosecutor or the convicted person refers the case, replaces it with the closest-corresponding penalty in French law, or reduces this penalty to the enforceable legal maximum. It determines the type and, within the limit of the period that still remained to be served in the foreign State, the length of the sentence to be executed.然而,如果所处刑罚在性质上或时间上严于法国法律对同一犯罪所规定的刑罚,则接受地方检察官或已定罪者提交案件的拘留地矫正法院,可代之以法国法律中最相近的刑罚,或者把这种刑罚减少到可强制执行法定上最高限度。它决定要执行的刑罚的类型,并且在仍待在外国服完的刑期限度内,决定其时间长短。
Article 728-5第728-5条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I Official Journal of 10 March 2004, in force 1 January 2005)(按2004年3月9日第2004-204号法第162条一插入,2004年3月10日《公报》,2005年1月1日生效)
The court decides in open court, after hearing the public prosecutor, the convicted person and, if applicable, the advocate chosen by him or appointed ex officio upon his request. The judgment is immediately enforceable despite the filing of any appeal.法院在听取检察官、已定罪者,可行的话,并在听取他所选或依他请求当然被任命的律师的意见之后,在公开法庭做出裁决。尽管提出任何上诉,便判决可立即强制执行。
Article 728-6第728-6条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I Official Journal of 10 March 2004, in force 1 January 2005)(按2004年3月9日第2004-204号法第162条一插入,2004年3月10日《公报》,2005年1月1日生效)
The time taken for the transfer is deducted in its entirety from the length of the sentence executed in France.移交所用时间全部从地法国执行的刑期中扣除。
Article 728-7第728-7条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I Official Journal of 10 March 2004, in force 1 January 2005)(按2004年3月9日第2004-204号法第162条一插入,2004年3月10日《公报》,2005年1月1日生效)
Any procedural objections made in respect of the execution of the remainder of the custodial sentence to be served in France are filed before the correctional court of the place of detention.对要在法国服完的监禁刑剩余刑期提出的任何程序性异议,都要在拘留地矫正法院上提出。
The provisions of article 711 of the present Code are applicable.本《法典》第711条的规定适用。
Article 728-8第728-8条
(Inserted by Law no. 2004-204 of 9 March 2004, art.162, I Official Journal of 10 March 2004, in force 1 January 2005)(按2004年3月9日第2004-204号法第162条一插入,2004年3月10日《公报》,2005年1月1日生效)
The enforcement of the sentence is governed by the provisions of the present Code.刑罚的强制执行照本《法典》的规定办。
Article 34.第34条.
Protection of prisoners in the transfer process移交过程中的囚犯保护
The central authority shall ensure that [any planned or actual] transfer of a prisoner is consistent with international law, including human rights, refugee law and humanitarian law, including the principle of non-refoulement, the principle of non-discrimination, the right to life, the prohibition on torture and other forms of cruel, inhuman or degrading treatment or punishment, and where a child is involved.中央机关应确保,[任何计划或实际的]囚犯转交符合国际法,包括人权法、难民法和人道主义法,包括不驱回原则、不歧视原则、生命权、禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚及涉及儿童的情况。
Commentary评注
Source: Convention relating to the Status of Refugees, International Covenant on Civil and Political Rights, Convention on the Rights of the Child, Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment.来源:《关于难民地位的公约》、《公民权利和政治权利国际公约》、《儿童权利公约》和《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约》。
The transfer of prisoners raises potential issues under human rights and refugee law. Accordingly, it is vital that States take account of these obligations when considering the transfer of prisoners.囚犯移交提出了人权和难民法规定的潜在问题。因此,各国考虑移交囚犯时顾及这些义务,至关重要。
Article 35.第35条.
Enforcement or administration of the transferred sentence被移交刑罚的执行和管理
1. Where a prisoner is transferred, the [Attorney General/insert relevant authority who is responsible for administering the transferred sentence] may direct that: (a) The sentence imposed by the foreign jurisdiction be enforced as if it had been imposed by a Court of [insert name of State], provided that the term of the sentence is not longer than the maximum penalty for the same offence in [insert name of State]; or (b) A different sentence of imprisonment be substituted for that imposed by the transferring country, based on the facts found by the court in the transferring State but in accordance with the laws of [insert name of State]. 2. The conviction of, and the sentence imposed upon, the prisoner in the country from which the prisoner is transferred shall not be subject to any appeal or any form of review in [insert name of State]. 3. The full period of deprivation of liberty served in the transferring State shall be deducted from the length of the sentence executed in [insert name of State]. Commentary National laws will also likely be required to ensure that any sentence imposed in another country can be lawfully recognized and enforced in the country receiving the sentenced person. As noted in the UNODC Handbook on the International Transfer of Sentenced Persons, there are two modes of recognition of foreign sentences: continued enforcement and conversion. As explained in the Handbook: “Continued enforcement” refers to a process whereby, through a court or administrative order, the sentence imposed by the sentencing State is enforced by the administering State. The sentence is not normally altered by the administering State. If, however, this sentence is by its nature or duration incompatible with the law of the administering State, or its law so requires, the administering State may adapt the sentence to a punishment prescribed by its own law for a similar offence. The adapted sentence must, as far as possible, correspond with the initial sentence. It must not aggravate, by its nature or duration, the sanction imposed in the sentencing State, nor exceed the maximum prescribed by the law of the administering State. In practice, this means that where the process of continued recognition is followed, the powers of the administering State to change the initial sentence are quite limited. The process of converting a foreign sentence is also explained in the Handbook: “Conversion of the sentence” refers to a process whereby the administering State, through a judicial or administrative procedure, imposes a new sentence based on the facts found by the court in the sentencing State. The administering State is bound by these facts but imposes the new sentence in terms of its national law. Such a sentence may be less severe than that imposed initially by the sentencing State, but it may not be more severe. There are usually further restrictions as well. For example, the European Convention on the Supervision of Conditionally Sentenced or Conditionally Released Offenders provides that the administering State cannot replace a prison sentence with a pecuniary sentence and that it must deduct any time already served in prison from the new sentence. The administering State is not bound, however, by its own minimum sentences for similar offences. The administering State may, however, adapt a sentence for a particular offence by reducing it to the national statutory maximum for that offence. Drafting options for both models are included in this chapter. Example United States Code §4105 (Transfer of offenders serving sentence of imprisonment) of the United States provides as follows: (a) Except as provided elsewhere in this section, an offender serving a sentence of imprisonment in a foreign country transferred to the custody of the Attorney General shall remain in the custody of the Attorney General under the same conditions and for the same period of time as an offender who had been committed to the custody of the Attorney General by a court of the United States for the period of time imposed by the sentencing court. Example The Transfer of Prisoners Act 2001 of Mauritius provides as follows: 6. Effect of transfer (1) Where an offender is transferred to Mauritius, a conviction and sentence recorded by the court in the designated country from which he was transferred shall, subject to subsection (2), be deemed for all purposes to be a conviction recorded and a sentence imposed by a court of competent jurisdiction in Mauritius. (2) Subject to subsection (3), the conviction of, and the sentence imposed upon, a transferred offender shall not be subject to any appeal or to any form of review in Mauritius. (3) Where a sentence imposed upon a transferred offender is by its nature or duration, incompatible with the law of Mauritius, he may apply to the Judge in Chambers for a variation of the sentence to accord with the law of Mauritius, and the Judge shall, after hearing the application, grant such relief as he considers appropriate having regard to all the circumstances. (4) Where the Judge in Chambers decides to vary the sentence imposed –1. 在囚犯被移交的情况下,[检察长/插入负责管理被移交刑罚的有关机构]可以指示:
(a) he shall be bound by the findings of facts as they appear from the judgment imposed in the designated country;(a) 外国管辖区所处刑罚可以执行,仿佛已经是[插入国家名称]法院所处,条件是刑期不长于[插入国家名称]对同罪所处最高刑罚;或者
(b) he shall not convert a sanction involving deprivation of liberty to a pecuniary sanction;(b) 基于移交国法院裁定的事实但要根据[插入国家名称]的法律,用不同的监禁刑罚替代移交国所处的刑罚。
(c) he shall deduct the full period of deprivation of liberty served by the offender;2. 囚犯在移交国的定罪和所处刑罚,在[插入国家名称]不得进行任何上诉或任何形式的复查。 3. 在移交国服完的剥夺自由的全部时期,均应从在[插入国家名称]执行的刑罚时间中扣除。
(d) he shall not be bound by any minimum term of imprisonment which the law of Mauritius provides for the offence or offences committed.评注 国家法律将也可能必需确保,另一国所处的任何刑罚可以在接收被判刑人员的国家中依法得到承认和执行。《毒品和犯罪问题办公室被判刑人员国际移交手册》已经指出,承认外国刑事判决有两方式:继续执行和转换。《手册》解释说:
Example“继续执行”是指通过法院或行政命令,判刑国所处刑罚被管理国执行的过程。刑罚通常不被管理国改变。然而,如果这一刑罚就性质或持续时间来说,不合管理国的法律,或其法律如此规定,则管理国可以把刑罚改为其法律对类似犯罪规定的惩罚。被改变的刑罚必须尽可能与初始刑罚相应。就性质或持续时间而言,它不得加重判刑国施加的制裁,也不得超过管理国法律规定的上限。在实践中,这意味着,在继续承认程序得到遵守的情况下,管理国改变初始刑罚的权力相当有限。
The International Transfer of Offenders Act 2004 of Canada provides as follows:转换外国刑罚的程序在《手册》中也有解释: “转换刑罚”指管理国通过司法或行政程序,根据判刑事国法院裁定的事实施加新刑罚的过程。管理国受这些事实的约束,但根据其本国法律施加新刑罚。此类刑罚可能比判刑国当初所处刑罚轻,但不得更重。通常还有更多限制。例如,《欧洲有条件判刑罪犯或有条件释放罪犯监管公约》规定,管理国不能用罚款代替坐牢,并且必须从新刑罚中扣除已经在狱中服完的时间。然而,管理国不受其本国类似犯罪最轻刑罚的约束。可是,管理国可以改变对特定犯罪的刑罚,把它减到国家对该犯罪的法定上限。
(13) The enforcement of a Canadian offender’s sentence is to be continued in accordance with the laws of Canada as if the offender had been convicted and their sentence imposed by a court in Canada.两种方式的起草备选方案,本章都包括。
(14) Subject to subsection 17(1) and section 18, if, at the time the Minister receives a request for the transfer of a Canadian offender, the sentence imposed by a foreign entity is longer than the maximum sentence provided for in Canadian law for the equivalent offence, the Canadian offender is to serve only the shorter sentence.实例
(15) For the purposes of the application of any Act of Parliament to a Canadian offender, the Minister shall identify the criminal offence that, at the time the Minister receives their request for a transfer, is equivalent to the offence of which the Canadian offender was convicted.美国的《美国法典》第4105节(移交在服刑的罪犯)规定如下:
Available from http://laws-lois.justice.gc.ca/PDF/I-20.6.pdf.(a) 除非本节别处有规定,正在外国服刑而被移交给检察长监管的罪犯应由检察长监管,监管条件和时期与美国法院已交付检察长监管判刑法院所处时期的罪犯相同。
Example实例
The Australian International Transfer of Prisoners Act 1997 (Commonwealth) allows for both direct enforcement and conversion of sentences, based on a direction of the Attorney-General:毛里求斯2001年《囚犯移交法》规定如下:
42 Sentence enforcement in Australia6. 移交效果
The Attorney-General may direct that a sentence of imprisonment imposed on a prisoner by a court or tribunal of a transfer country, or on a Tribunal prisoner by a Tribunal, be enforced on transfer of the prisoner to Australia under this Act:(1) 在罪犯被移交给毛里求斯的情况下,移交他的指定国家的法院所记录的定罪和刑罚,依第(2)小节的规定,为了各种目的,均应被视为是毛里求斯主管管辖区法院所记录的定罪和所处的刑罚。
(a) without any adaptation of the duration of the sentence of imprisonment or its legal nature, or with only such adaptations to the duration of the sentence or its legal nature as the Attorney-General considers are necessary to ensure that enforcement of the sentence is consistent with Australian law (in this Act called the continued enforcement method); or(2) 根据第(3)小节,对被移交罪犯的定罪和所处的刑罚,在毛里求斯不得进行任何上诉或任何形式的复查。
(b) by substituting a different sentence of imprisonment for that imposed by the transfer country or Tribunal (in this Act called the converted enforcement method).(3) 在对被移交罪犯所处的刑罚,就其性质或持续时间而言,不合毛里求斯法律的情况下,他可以向审判庭法官申请根据毛里求斯法律改判,并且法官应在听取申请后,给予他认为合适的救济,顾及各种情节。 (4) 在审判庭法官决定改变所处刑罚的情况下——
Available from www.comlaw.gov.au.(a) 他应受指定国所做判决中出现的事实裁定的约束;
Other references(b) 他不得把涉及剥夺自由的处罚转换成罚款; (c) 他应扣除罪犯已经服完的剥夺自由的全部时间; (d) 他不应受毛里求斯法律对所犯一种或多种犯罪规定的任何最短刑期的约束。 实例 加拿大2004年《罪犯国际移交法》规定如下: (13) 加拿大罪犯刑罚的执行,将根据加拿大的法律继续进行,仿佛罪犯是在加拿大被法院定罪和判处刑罚的。 (14) 依照第17(1)小节和第18节,如果在部长接到移交加拿大罪犯的请求时,外国实体所处刑罚长于加拿大法律对同等犯罪规定的最高刑罚,那么加拿大罪犯只服较短的刑罚。 (15) 为了对加拿大罪犯适用任何议会法,部长应确认在其接到移交请求时与加拿大罪犯被定罪的犯罪相当的刑事犯罪。 可查阅http://laws-lois.justice.gc.ca/PDF/I-20.6.pdf。 实例 澳大利亚1997年《囚犯国际移交法》(英联邦)允许根据检察长的指示直接执行和转换刑罚: 42 澳大利亚的刑罚执行 检察长可以指示,移交国法院或法庭对囚犯所处监禁刑罚,或者法庭对法庭囚犯所处监禁刑罚,在囚犯移交给澳大利亚之后,可根据本法予以执行: (a) 不对监禁刑罚刑期或其法律性质做任何改变,或者只对刑罚刑期或其法律性质做检察长认为为确保使刑罚执行符合澳大利亚法律所必要的改变(在本法中称为继续执行办法);或者 (b) 用不同监禁刑罚替代移交国或法庭所处刑罚(在本法中称为转换执行办法)。 可查阅www.comlaw.gov.au。 其他参考资料
See also the Model Treaty on the Transfer of Supervision of Offenders Conditionally Sentenced or Conditionally Released (General Assembly resolution 45/119, annex).另见《有条件判刑或有条件释放罪犯转移监督示范条约》(大会第45/119号决议,附件)。