反腐败国际公约视野下的我国刑法的现状与完善

【作者】 陈雷；

【导师】 刘宪权；

【作者基本信息】 华东政法学院 ， 国际法， 2006， 博士

【摘要】 在体系结构上,本文共分八章。主要通过比较研究并辅之以历史考察、文义解释、实证分析等研究方法,从刑事实体法的角度对《联合国反腐败公约》确立的贿赂、贪污、挪用、影响力交易、资产非法增加、私营部门内的侵吞财产和洗钱等各类国际腐败犯罪及与我国现行刑法规定的相关犯罪进行比较研究,指出我国现行刑法的不足与缺陷并提出完善我国反腐败刑事立法的意见和建议。第一章,国际腐败犯罪概述。重点阐述了国际腐败犯罪的基本含义、特点、范围、犯罪构成特点及国际反腐败立法的历史发展。首先,从概念上厘清腐败与国内法意义的腐败犯罪的基本含义,进而结合反腐公约从国际犯罪的角度提出了郾示腐败的概念,认为:“国际腐败犯罪,也称之为国际公约规定的腐败犯罪,‘包括国际公约或条约或区域性国际公约或条约所确定的腐败犯罪,具体是指严重危害有关国家的政治、经济秩序和扰乱国际竞争秩序等国际社会共同利益,违反国际反腐败刑事法律公约,依照有关国际法和国内法的规定应当承担刑事责任的行为。国际反腐败公约是缔约国之间就国际性腐败犯罪的确认和追究达成一致意见并共同遵守的国际刑法协议。”;其次,提出并具体论证了“国际腐败犯罪属于国际犯罪的范畴,具有国际犯罪的基本特点”的基本观点,认为:国际腐败犯罪是一种危害国际社会共同利益的行为、是国际刑法规范禁止的行为,主要是国际公约确立的腐败犯罪行为、是应当承担刑事责任的行为,而且反腐公约确认的腐败犯罪的普遍管辖权原则是国际犯罪与国内犯罪和涉外犯罪区别的最基本体现;第三,分析了国际腐败犯罪的犯罪构成特点,提出了并论证了国际腐败犯罪对象范围的广泛性、犯罪行为的多样性、犯罪主体的特定性和犯罪主观故意的可推定性的论点;第四,综合阐述了反腐败国际立法的基本概况,充分肯定了联合国、区域性国际组织和国际社会对最终形成反腐败统一的法律文件所作出的贡献。第二章,贿赂犯罪。先是归纳概括和界定了国际贿赂犯罪的概念,认为国际公约确立的贿赂犯罪“是指故意地直接或间接向国内外公职人员或国际公共组织官员或以任何身份领导私营部门实体或者为该实体工作的任何人许诺给予、提议给予或者实际给予该公职人员本人或者其他人员或实体不正当好处,以使该公职人员在执行公务时作为或者不作为,或私营部门工作人员在经济、金融或者商业活动过程中违背职责作为或者不作为(行贿罪);或者国内外公职人员或国际公共组织官员或以任何身份领导私营部门实体或者为该实体工作的任何人为其本人或者其他人员或实体故意地直接或间接索取或者收受不J下当好处,以作为其在执行公务时作为或者不作为条件的行为(受贿罪)”,进而具体分析和阐述了国际贿赂犯罪的构成特征,特别是对“贿赂犯罪对象是提供或交付影响公职人员行为的不正当好处”涉及到的物质性和非物质性利益和国际贿赂犯罪行为的表现形式“许诺给予、提议给予和实际给予”等不同于国内法的特点进行了分析和阐述。然后分别讨论国际公约确立的贿赂本国公职人员罪、贿赂外国公职人员罪或国际公共组织官员罪和私营部门内的贿赂罪等四种类型的贿赂犯罪,从理论角度在综合各国际反腐败公约的基础上对上述各类贿赂犯罪的形成、基本含义、犯罪构成特征等方面进行分析。最后,将公约确立的贿赂犯罪与我国现行刑法规定贿赂孑畔,从贿赂犯罪对象、犯罪行为、犯罪主体和犯罪主观故意等四个方面进行比较。特别就扩大我国刑法贿赂犯罪对象、取消我国刑法“为他人谋取利益”和“为他人谋取不正当利益”作为受贿罪要件规定、扩大贿赂犯罪的主体范围阐述了作者的理由。通过比较认为,我国现行刑法关于贿赂犯罪的规定与公约的要求有很大的差距,公约对贿赂犯罪的界定采取比较宽泛的态度,我国刑事立法有必要对贿赂犯罪加以完善。第三章,公职人员侵犯财产犯罪。首先,归纳了公职人员侵犯财产犯罪的概念,认为“是指公职人员故意实施为其本人的利益或者其他人员或实体的利益,采取贪污、挪用或者其他类似方式侵犯其因职务而受托管理的任何财产、公共资金、私人资金、公共证券、私人证券或者其他任何贵重物品的行为”,进而阐述了这一犯罪的构成特征,同时也介绍了国际公约和各国相关犯罪的有关规定;然后,对公约所确立的贪污罪、挪用罪和其他公职人员侵犯财产的犯罪分别进行分析;最后,从犯罪对象、犯罪客观方面、犯罪主体和犯罪主观方面等四个方面,分别对上述公约确立的犯罪与我国现行刑法规定的贪污罪、挪用公款罪和私分国有资产罪等公职人员侵犯财产的犯罪进行比较,此外,还专门讨论了我国刑法贪污罪数额规定的不合理性问题。通过比较认为,我国刑法在完善贪污挪用等犯罪中,有必要借鉴公约的规定,修正并扩大贪污挪用犯罪对象;并从立法完善的角度,将犯罪主体“国家工作人员”定义为“公职人员"或“公务员”。同时,在刑事立法中取消数额规定,数额问题可作为犯罪情节因素规定,并在司法解释中具体加以体现。第四章,影响力交易罪。首先,归纳了国际公约所确立的影响力交易罪的概念,认为“影响力交易罪(trading in influence),是指故意地直接或间接向公职人员或者其他任何人员许诺给予、提议给予或者实际给予任何不正当好处,以使其滥用本人的实际影响力或者被认为具有的影响力,为该行为的造意人或者其他任何人从缔约国的行政部门或者公共机关获得不正当好处(行贿);或者公职人员或者其他任何人员为其本人或者他人故意地直接或间接索取或者收受任何不正当好处,以作为该公职人员或者该其他人员滥用本人的实际影响力或者被认为具有的影响力,从缔约国的行政部门或者公共机关获得任何不正当好处的条件(索贿和受贿)”,然后对这一犯罪构成特征进行阐述;其次,将影响力交易罪与贿赂犯罪进行比较。论文认为,“影响力交易罪是从贿赂犯罪中派生出来的一种独立的犯罪形式。两者除犯罪主体不同之外,其他犯罪构成条件基本相同。”第三,从犯罪对象、犯罪客观方面、犯罪主体和犯罪目的要件等方面对影响力交易罪与我国现行刑法规定的斡旋受贿罪和介绍贿赂罪进行比较。通过比较认为,我国刑法有必要在现行整合斡旋受贿罪和介绍贿赂罪的基础上增设影响力交易罪,扩大打击腐败的范围。第五章,资产非法增加罪。先是归纳了公约所确立的资产非法增加罪的概念,认为“资产非法增加罪是指公职人员故意实施的,促使其资产非法并显著地增加,而本人无法以其合法收入作出合理解释的行为”,进而阐述犯罪构成特征;然后,从犯罪对象、犯罪客观方面、犯罪主体和犯罪主观方面对公约确立的资产非法增加罪与我国现行刑法规定的巨额财产来源不明罪、隐瞒境外存款罪进行比较。通过比较认为,我国刑法有必要将巨额财产来源不明罪和隐瞒境外存款罪整合更名为资产非法增加罪。第六章,私营部门内的侵吞财产罪。先是归纳了公约所确立的私营部门内的侵吞财产罪,认为“私营部门内的侵吞财产罪(embezzlement of property in the Drivate sector),是指在经济、金融或者商业活动中,以任何身份领导私营部门实体或者在该实体中工作的人员故意实施侵吞其因职务而受托的任何财产、私人资金、私人证券或者其他任何贵重物品的行为。类似许多国家刑法规定的职务侵占罪或业务侵占罪”,进而阐述犯罪构成特征;然后从犯罪对象、犯罪客观方面、犯罪主体和犯罪主观方面对公约所确立的私营部门内的侵吞财产罪与我国刑法规定的职务侵占罪进行比较。通过比较认为,我国应当借鉴公约关于私营部门内的侵吞财产罪的规定,完善我国刑法职务侵占罪的规定。第七章,洗钱罪。首先归纳国际公约所确立的洗钱犯罪概念,认为“洗钱罪即对犯罪所得的洗钱行为犯罪(1alrodering of proceeds of crime),是指明知财产为犯罪所得,为隐瞒或掩饰该财产的非法来源,或为协助任何参与实施上游犯罪者逃避其行为的法律后果而转换或转让财产;或者明知财产为犯罪所得隐瞒或掩饰该财产的真实性质、来源、所在地、处置、转移、所有权或有关的权利;或者在得到财产时,明知其为犯罪所得而仍获取、占有或使用;或参与、合伙或共谋实施,实施未遂,以及协助、教唆、便利和参谋实施本条所确立的任何犯罪”,避而对国际性洗钱犯罪构成特征进行分析和阐述;然后重点探讨了洗钱罪的上游犯罪问题;最后,从犯罪对象、洗钱行为、犯罪主体、主观故意等方面将公约与我国现行刑法规定的洗钱罪进行全面比较。通过比较认为,我国现行刑法规定的洗钱罪的上游犯罪不包括贪污贿赂等腐败犯罪,不利于我国的反腐败工作的深入开展,应当修订和完善相关的法律规定。第八章,我国反腐败刑事立法的完善。先是从价值评估和缺陷分析两个方面对我国刑法中腐败犯罪的刑事立法作出客观评价,特别是具体分析了我国现行刑法规定缺陷和不足的理由;然后提出了以公约为依据完善我国反腐败刑事法律体系,修订现行刑法有关内容的意见和建议。论文的结论认为,“《联合国反腐败公约》的生效将改善反腐斗争的国际环境,也必将对我国反腐败的立法带来积极和重要的影响,要使反腐斗争取得更大的成果,我国必须立足本国,以本国反腐败的实践与经验为基础,同时,参照我国批准的国际反腐公约的要求,在总结经验的基础上进一步加强国内反腐的立法和执法力度,利用联合国反腐公约所创造的国际环境和合作条件,取得国际社会的配合,才能使我国的反腐斗争取得更大的效果”。然而,“要使我国的反腐败刑事立法符合国际反腐公约的要求,或者说我国的反腐刑事立法与国际接轨,不是简单的法律转化问题,不能不照顾我国反腐败刑事立法的历史和现状。全盘照抄国际公约的规定,是不现实的。因此必须采取分阶段、分步走的完善措施,逐渐与国际接轨。应当采取三个步骤完成这一使命:第一步是观念更新;第二步是消化吸收;第三步是立法完善”。更多还原

【Abstract】 This paper is divided into eight chapters. Comparatively this paper studies the international corruption crimes established by United Nations Convention against Corruption and the related crimes of our country in the view of criminal law , mainly by the means of comparatively studying , history reviewing, meaning interpreting and demonstration analyzing, pointing out the deficiency of the criminal law of our country and advancing the opinion as well as advice of its improvement.Chapter one , introduction of international corruption crimes. Especially it introduces the fundamental conception , significance, scope and character of the constitution of crime of international corruption crimes as well as the development of international legislation against corruption.Chapter two , bribery crimes. Firstly it summarizes and points out the conception and character of the constitution of crime of international bribery crimes, after which it separately discusses the following crimes established by the international convention: bribery of national public officials, bribery of foreign public officials, bribery of officials of public international organizations, bribery in the private sector, and then compares the bribery crimes established by the convention with the bribery crimes of our criminal law at the aspects of their object, conduct, actor and intent. We know our legislation of bribery crimes is far from the requirement of the convention, as its defining about bribery crimes is boarding, so it is necessary to improve our criminal legislation on bribery crimes.Chapter three, diversion of property by a public official. First, it points out the conception of diversion of property by a public official and its character of the constitution of crime; then analyses the crimes of embezzlement, misappropriation and other diversion of property by a public official separately; finally, separately compares the crimes established by the convention with the crimes of embezzlement, crime of defalcation and crime of dividing the state-owned assets secretly in our criminal law at the aspects of their object, conduct, actorand intent. Besides, it specially discusses the illogicality of amount-standard in our crime of embezzlement.Chapter four, trading in influence. First, it points out the fundamental meaning of trading in influence referred in the convention and its character of the constitution of crime; second, compares the trading in influence and bribery. The paper advocates, " Trading in influence is separated from the bribery. They are basically the same except the actor. " Third, it separately compares the trading in influence established by the convention with the crime of bribery-Mediate and the crime of bribery-pander in our criminal law at the aspects of their object, conduct, actor and intent. Then it concludes that it is necessary to add trading in influence on the basis of crime of bribery-Mediate and the crime of bribery-pander in order to enlarge the scope of corruption.Chapter five, illicit enrichment. First, it points out the fundamental meaning of trading in influence referred in the convention and its character of the constitution of crime; After which it separately compares the illicit enrichment established by the convention with the crime of Unidentified source of huge property and the crime of concealing the external deposit in our criminal law at the aspects of their object, conduct, actor and intent. Then it concludes that our criminal law should conform the crime of Unidentified source of huge property and the crime of concealing the external deposit into illicit enrichment.Chapter six, embezzlement of property in the private sector. First, it points out the fundamental meaning of embezzlement of property in the private sector referred in the convention and its character of the constitution of crime; After which it separately compares the embezzlement of property in the private sector established by the convention with the crimes of crime of official occupationin our criminal law at the aspects of their object, conduct actor and intent. Then conclude that our criminal law should use the convention’ s provisions for reference to improve our provisions on the crime of official occupationChapter seven, laundering of proceeds of crime. First, it points out the fundamental meaning of laundering of proceeds of crime referred in the conventionand its character of the constitution of crime; After which it especially discusses the previous crimes of laundering of proceeds of crime ;then it fully compares the laundering of proceeds of crime established by the convention with the laundering of proceeds of crime in our criminal law at the aspects of their object, conduct, actor and intent. Then conclude that our provisions on laundering of proceeds of crime is not good to fighting against corruption as it excludes corruption, bribery and so on out of previous crimes.Chapter eight, the improvement of our criminal legislation against corruption. First, it impersonally appraises our country’ s criminal legislation against corruption at the aspects of value and deficiency, and especially analyses the reasons of deficiency of our criminal legislation. Then it suggests to improve our system of criminal legislation against corruption and emend the criminal law, and further it advances the thought and strategy of making the criminal legislation against corruption of our country meet the international requirements.更多还原