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二十国集团反腐败追逃追赃高级原则和2017-2018年反腐败行动计划

2016-09-30  庸庸学馆

二十国集团反腐败追逃追赃高级原则和2017—2018年反腐败行动计划

来源:中央纪委监察部网站 发布时间:2016-09-30 10:50
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  9月5日,二十国集团领导人杭州峰会一致通过《二十国集团反腐败追逃追赃高级原则》、《二十国集团2017-2018年反腐败行动计划》等重要反腐败成果,受到国内外广泛关注,引起很大反响。现全文发布上述两项成果文件(中英文)。

二十国集团反腐败追逃追赃高级原则

  腐败破坏政府公信力和法治,阻碍经济增长和发展。二十国集团(G20)认为,对这种行为进行预防和打击,才能实现G20建设创新、活力、互通互联和包容的全球经济的目标,加强合作是达成以上目标的重要一步。

  依据《联合国反腐败公约》精神,沿袭《G20拒绝避风港原则》,《G20刑事司法协助高级原则》,G20资产返还相关原则,以及其他G20领导人峰会成果文件所提出的加强反腐败国际执法合作的倡议,G20成员国承诺率先垂范,通过以下核心原则。

  执行以下原则时,G20成员国必须认识到打击腐败必须遵守国际法律,尊重人权和法治,尊重各国主权、国际承诺和法律体系。G20成员国不能依此在其他国家的领土内进行活动。

  一、零容忍:态度

  原则1. 注意到外逃腐败人员和资产造成的危害,各国应视情采取措施拒绝成为腐败人员与腐败资产的避风港。

  原则2. 认识到加强国际执法合作和刑事司法协助的重要性,认为加强合作能够促进反腐败追逃追赃合作的效率和效力。

  二、零漏洞:制度

  原则3. 承诺采取有效举措,拒绝成为腐败人员避风港,前提是这些腐败人员的行为在企图逃往或已经逃往的国家是犯罪行为。鼓励所有国家在遵守有关国际承诺的同时,加大对移民程序和政策的审核力度,避免被滥用而成为腐败人员和资金的避风港。

  原则4. 鼓励负责侦查、调查和起诉腐败犯罪、追回腐败资产和国际合作的相关部门建立国内反腐败协调机制。

  原则5. 认识到《联合国反腐败公约》框架下的国际合作必须遵守各国法律,并在适当情况下遵守民事和行政程序。鼓励不同法律体系的国家有效支持国际反腐败合作。我们将在适当情况下努力有效实施《联合国反腐败公约》和其他国际公约有关引渡和刑事司法协助的规定。为达到上述目标,G20号召尚未批准或加入的联合国成员国批准或加入《联合国反腐败公约》。我们支持在适当情况下使用《联合国打击跨国有组织犯罪》和《经合组织国际商务交易活动反对行贿外国公职人员公约》和其他法律文书中有关国际合作的规定。

  三、零障碍:执行

  原则6. 认识到相关部门依法及时有效地沟通合作能够控制腐败人员和资金的流动。鼓励各国遵守现有协定,在已有国际合作机制框架下,促进主管部门间的信息交流,比如利用G20拒绝腐败分子入境执法合作网络。

  原则7. 鼓励促进多边和双边反腐败个案合作,必要时,指定专人负责协调。

  原则8. 鼓励执法机构在遵守国际和国内法律前提下加强协调,与外逃腐败人员建立联系。我们将严格遵守现有双边协定和G20成员国的承诺,建立有关工作机制。

  原则9. 我们重申,资产返还是《联合国反腐败公约》的重要原则,我们将继续实施公约第五章。

  原则10. 提高反腐败国际合作的效力,鼓励提高能力建设、制度建设和道德建设,分享经验,并加大与现有相关国际和区域组织、倡议和网络的合作。

G20 High-Level Principles on Cooperation on Persons Sought for Corruption and Asset Recovery

  Corruption damages citizens’ trust in government, undermines the rule of law, and hinders economic growth and development. For the G20, preventing and combating corruption contributes to the shared objective of building an innovative, invigorated, interconnected and inclusive global economy, and fostering international cooperation constitutes a critical step to this end.

  In accordance with the United Nations Convention against Corruption (UNCAC), and building upon the G20 Common Principles for Action: Denial of Safe Haven, the G20 High-Level Principles on Mutual Legal Assistance and the G20 key asset recovery principles as well as proposals endorsed at previous G20 leaders’ summits on strengthening international law enforcement cooperation against corruption, the G20 commits to leading by example and endorses the following set of principles.

  While implementing these principles, G20 members recognize that fighting corruption requires a strong foundation, which includes respect for international law, a commitment to respecting human rights and the rule of law as well as a commitment to respect the sovereignty of each country and their international commitments and domestic legal systems. Nothing in these principles should be interpreted as enabling a G20 member to undertake activities in the territory of another state.

  I. Our Stance: Zero Tolerance

  1. Aware of the detrimental effects of persons sought for corruption fleeing and transferring the proceeds of corruption abroad, we should, where appropriate, work towards denying safe haven to these persons and the proceeds of their crimes.

  2. We recognize the value of international law enforcement cooperation and mutual legal assistance and acknowledge that working together can foster effective and efficient international anti-corruption cooperation.

  II. Our Institutions: Zero Loopholes

  3. Relevant public authorities should have effective procedures in place for denying safe haven to persons sought for corruption should their actions be unlawful in the country that they are seeking to enter or have already entered. We encourage all countries to review, consistent with their international obligations, relevant immigration programmes or policies, to prevent them from being abused by persons seeking safe haven for themselves and their proceeds of crime.

  4. We recognize the utility in domestic coordination mechanisms through which relevant authorities in charge of detection, investigation and prosecution of corruption offences as well as the recovery of the proceeds of such offences, and international cooperation can effectively collaborate with each other.

  5. We recognize the important baseline for international legal cooperation established by UNCAC, including for civil and administrative proceedings where appropriate and consistent with domestic legal system. We are encouraged to support effective international cooperation in anti-corruption matters based on a variety of legal frameworks. We will endeavour, where appropriate, to apply effectively the extradition and MLA provisions of UNCAC and other applicable international conventions. In support of this objective, the G20 calls upon UN member states to ratify or accede to UNCAC if they have not already done so. We also support the use, where appropriate, of international co-operation provisions of other legal instruments such as the United Nations Convention against Transnational Organized Crime and the OECD Convention against Bribery of Foreign Public Officials in International Business Transactions.

  III. Our Objective: Zero Barriers

  6. We acknowledge that effective and timely communication and cooperation between competent authorities, in accordance with applicable laws, can curb the movement of persons sought for corruption, as well as assets generated by corruption offences. To this end, we are encouraged to use appropriate points of contact to facilitate information exchange between each other, as set out in existing agreements or international fora and networks, such as the G20 Denial of Entry Experts’ Network.

  7. We encourage each other to facilitate case-specific multilateral and bilateral cooperation against corruption, including, as needs arise, the designation of competent authorities for case coordination.

  8. We encourage close coordination between/among law enforcement authorities to establish contact with persons sought for corruption, subject to applicable international and domestic law. We will consult, where appropriate and in strict compliance with existing bilateral agreements and G20 members’ commitments, to establish proper working procedures in this regard, where such procedures do not already exist.

  9. We reaffirm that asset recovery is a fundamental principle of UNCAC and are committed to the implementation of Chapter V of the Convention.

  10. To enhance the effectiveness of international cooperation in anti-corruption matters, we are encouraged to enhance capacity building, institutional values and ethics, and experience-sharing in this area, in close coordination with existing relevant international and regional organizations, initiatives and networks.


《二十国集团2017—2018年反腐败行动计划》

  减少腐败一直是二十国集团(G20)的一项首要任务。腐败是当今世界面临的诸多挑战的根源。腐败破坏良政,损害人们对公共机构的信任,影响决策过程,妨碍经济发展,助长有组织犯罪。任何国家都无法免受腐败困扰,任何政府都无法单独对抗腐败,我们需要来自商界和公民社会的支持,共同预防和揭露腐败。

  我们呼吁尚未加入《联合国反腐败公约》的国家批准并实施该公约。我们重申对《联合国反腐败公约》履约审议机制的支持。为进一步提升透明度和包容性,我们将继续在自愿基础上使用该公约职权范围所提供的选项,包括:私营领域和公民社会的参与、实地考察、公开完整的审议报告。我们重申承诺实施和遵循《联合国反腐败公约》的相关规定以及我们业已加入的其他国际性、区域性和双边反腐败机制的相关规定。我们重申共同承诺实现《2030年可持续发展议程》的第16项目标,即“大幅减少任何形式的腐败和贿赂”及“加强腐败资产追缴和返还”。我们欢迎2016年5月伦敦国际反腐败峰会带来的反腐动力,支持峰会成果的实施。

  2010年,我们成立反腐败工作组,每两年制定一次行动计划作为工作纲领。2017年至2018年,我们将继续兑现现有承诺,在以下领域采取行动:

  ●务实合作:在全球化时代,对于成功预防、调查和起诉腐败,成功返还腐败资产,国际合作至关重要。我们将加强务实行动,实现更为有效的反腐败执法。我们将采取措施,加强国内及各国间执法机构和其他相关机构之间的合作。我们将继续加强拒绝为腐败官员及相关行贿人提供避风港。G20将支持根据《联合国反腐败公约》开展的资产返还工作。我们将继续加强反洗钱工作,继续支持金融行动特别工作组(FATF)针对犯罪资产开展的重要工作,加强反腐败工作组与FATF之间的对话。

  ●实际受益人透明度:实际受益人透明度对预防和揭露腐败及非法融资至关重要。我们将全面实施《FATF关于法人实际受益人透明度的建议》,实施历年G20反腐败行动计划,以落实《G20实际受益人透明度高级原则》。对于一切公司和法律安排、包括信托,G20将进一步加强合作,确认其实际受益人和控制人。我们将鼓励并支持其他国家实施实际受益人标准和最佳实践。我们将增强对实际受益人信息在反腐败和反洗钱工作中的应用。

  ●私营领域廉洁性与透明度:我们将继续与商界和公民社会密切合作共同反腐败。G20将探索营造廉洁文化的方式,支持私营领域的反腐败倡议,包括中小企业和非金融专业性服务行业。我们鼓励在遵循各国法律的基础上,政府、反腐败机构、监管机构、执法机构、金融情报机构、商界和公民社会之间加强合作。

  ●贿赂:贿赂给商业和社会带来沉重的代价。G20将率先垂范打击贿赂,包括:将贿赂本国和外国公职人员定为刑事犯罪;建立并视情加强腐败犯罪的法人责任。我们将积极参与经合组织(OECD)反贿赂工作组,并探索所有G20国家遵守《OECD反贿赂公约》的可能性。

  ●公共部门廉洁性与透明度:政府支出对经济至关重要,且易受腐败影响。透明是震慑和揭露腐败的关键。G20将提高包括公共合同、预算程序和海关等公共部门的透明度。在《G20信息公开原则》的基础上,通过公民参与、加强反腐败机构建设、加强公私部门合作、信息公开等方式,实现这一目标。我们将促进机构建立廉洁文化和问责制,包括预防和解决影响公职人员的利益冲突。G20重点将包括组织打击腐败(如对公共行政进行合适架构,以发现和降低腐败风险),鼓励公共机构落实反腐败倡议,建立国际廉洁伙伴关系和网络,解决豁免权问题。鼓励举报疑似腐败行为对发现和震慑腐败至关重要。我们将继续推进这一目标,例如,回顾对举报人保护相关法律和机制的落实情况。

  ●腐败易发领域:我们认识到一些领域尤其容易受腐败影响或凸显特定的腐败风险。反腐败工作组将继续推进已确立的高风险领域的有关工作。在符合各国规定的前提下,我们将解决这些领域的特定腐败风险,例如,确定和制定国际最佳做法,推进共同行动倡议,建立有效管理和问责机制,解决透明方面的漏洞。

  ●国际组织反腐败:G20将鼓励和支持国际组织对打击腐败的关注,增强与国际组织之间的协调,确保国际组织遵守最高的廉洁标准。

  ●能力建设:我们将支持能力建设并提供高效、有力的技术援助以支持各国解决腐败问题,例如,支持全球有效实施《联合国反腐败公约》有关规定。

  为支持以上重点领域工作,G20将探索创新途径和新兴科技,分享最佳做法,相互学习,与国际组织合作,并在适当情况下提供技术援助。我们将加强反腐败工作组的工作,包括加强与现有合作伙伴的合作与对话,加强与开放政府合作伙伴、世界海关组织及税收透明与信息交换全球论坛等新合作伙伴的对话。反腐败工作组也将加强与工商界、公民社会和主要金融中心的合作。

  为详述上述重点领域并跟进进程,我们要求反腐败工作组制定更详细的施行计划。我们要求反腐败工作组在2017年报告落实以上承诺的进展情况。

G20 Anti-Corruption Action Plan 2017-2018

  Reducing corruption remains a top priority for the G20. Corruption is at the heart of so many of the challenges the world faces. It undermines good governance, erodes the trust that people place in public institutions, corrodes decision-making, impedes economic development and facilitates organised crime. No country is immune and governments cannot tackle it alone: we need the support of business and civil society to help prevent and uncover corruption.

  We call on those countries which have not yet done so to ratify and implement the United Nations Convention against Corruption (UNCAC). We reaffirm our support for UNCAC’s Implementation Review Mechanism. To enhance transparency and inclusivity we will continue to make use, on a voluntary basis, of the options in its terms of reference, including: involving the private sector and civil society, inviting site visits, and publishing the full reports of reviews. We also reaffirm our commitment to implement and build on UNCAC’s provisions and those of other international, regional and bilateral anti-corruption instruments to which our countries may be party. We further reaffirm our shared commitments under Goal 16 of the 2030 Agenda for Sustainable Development to “substantially reduce corruption and bribery in all their forms” and “strengthen the recovery and return of stolen assets.” We welcome the momentum created by the London Anti-Corruption Summit in May 2016 and will support implementation of its outcomes.

  Since 2010, when we established the Anti-Corruption Working Group (ACWG), its work has been guided by two-year action plans. In 2017 and 2018, we pledge to continue to implement our existing commitments, and to take action in the following areas:

  ●Practical co-operation: In a globalised world, international cooperation is essential to the successful prevention, investigation and prosecution of corruption, and the return of stolen assets. We will promote concrete and practical action to achieve active enforcement of anti-corruption laws. We will take steps to improve co-operation between law enforcement and other relevant authorities within and between our countries. We will continue to promote the denial of safe haven to corrupt officials and those who corrupt them. The G20 will support efforts to ensure that stolen assets are returned, in line with UNCAC. We will further strengthen our efforts to combat money laundering. We will continue our support of FATF’s important work on proceeds of crime and the dialogue between the ACWG and FATF.

  ●Beneficial ownership: Transparency over beneficial ownership is critical to preventing and exposing corruption and illicit finance. We will fully implement the FATF Recommendations on Transparency and Beneficial Ownership of Legal Persons and our Action Plans to implement the G20 High Level Principles on Beneficial Ownership Transparency. The G20 will further promote the identification of the true beneficial ownership and control of companies and legal arrangements, including trusts, wherever they are located. We will encourage and support other countries to implement beneficial ownership standards and best practice. We will promote the utilisation of beneficial ownership information to tackle corruption and related money laundering.

  ●Private sector integrity and transparency: We will continue to work closely with business and civil society in tackling corruption. The G20 will explore means of promoting a culture of integrity and supporting private sector anti-corruption initiatives, including for small and medium sized enterprises (SMEs) and in the non-financial professional services sector. We will encourage stronger partnerships, consistent with national law, between governments, anti-corruption authorities, regulators, law enforcement, financial intelligence units (FIUs), business and civil society.

  ●Bribery: Bribery imposes a heavy price on business and on society as a whole. G20 countries will lead by example in combating bribery, including: criminalising the bribery of domestic and foreign public officials and enforcing those laws; and establishing and, where appropriate, strengthening the liability of legal persons for corruption offences. We will participate actively with the OECD Working Group on Bribery to explore the possible adherence of all G20 countries to the OECD Anti-Bribery Convention.

  ●Public sector integrity and transparency: Government spending is vitally important to our economies and can be vulnerable to corruption. Transparency is key to deterring and uncovering corruption. The G20 will promote greater transparency in the public sector, including in public contracting, budget processes and customs. This may be achieved through citizen engagement, strengthening anti-corruption authorities, public-private partnerships and the use of open data, building on the G20 Open Data Principles. We will promote a culture of integrity and accountability in our institutions, including by preventing and resolving conflicts of interest affecting public officials. G20 priorities will include organising against corruption (i.e. structuring the public administration to detect and minimise corruption risks), encouraging public institutions to implement anti-corruption initiatives, building international integrity partnerships and networks, and addressing immunities. Encouraging the reporting of suspected actions of corruption is critical to deterring and detecting it. We will promote this goal, including reviewing our progress in implementing legislative and institutional protections for whistle-blowers.

  ●Vulnerable sectors: We recognise that certain sectors are particularly vulnerable to corruption or highlight specific corruption risks. The ACWG will pursue its work to address the risks of corruption in all identified high-risk sectors. Consistent with national circumstances, we will address specific corruption risks in these sectors, including identifying and developing international best practice, promoting collective action initiatives, promoting effective governance and accountability mechanisms and addressing transparency gaps.

  ●International organisations: G20 countries will encourage and support international organisations to increase their focus on fighting corruption, to improve coordination and to ensure they operate to the highest standards of integrity.

  ●Capacity building: We will support capacity building and the provision of effective and efficient technical assistance to assist countries in tackling corruption, including the effective global implementation of the provisions of UNCAC.

  In support of these priorities, G20 countries will explore innovative solutions and new technologies, share best practice, study and learn from each other, collaborate with international organisations, and provide technical assistance as appropriate. We will strengthen the work of the ACWG, including improving our co-operation and dialogue with current partner organisations and new dialogue partners such as the Open Government Partnership, the World Customs Organisation and the Global Forum on Transparency and Exchange of Information for Tax Purposes. The ACWG will also strengthen its engagement with business and civil society and with key financial centres.

  We ask the ACWG to develop a more detailed implementation plan that will elaborate these priorities and allow us to track progress. We ask the ACWG to report in 2017 on its progress in implementing commitments.

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