【作者】 裴兆斌；

【导师】 郝银钟；

【作者基本信息】 大连海事大学 ， 国际法学， 2011， 博士

【摘要】 腐败犯罪是人类社会政治和经济发展的毒瘤。随着经济全球化和科学技术的进步,腐败犯罪逐渐呈现犯罪嫌疑人外逃、腐败犯罪所得跨境转移的特点,而腐败犯罪跨境转移又表现出技术手段复杂、过程隐蔽等特点。上述特点导致依靠单一国家自身力量打击腐败、追缴腐败犯罪所得的成效越来越弱。在此背景下,各主权国家加强了追缴腐败犯罪所得方面的国际合作,积累了较为丰富的经验。中国作为发展中国家,基本上属于腐败犯罪所得的流出国,因此,打击腐败犯罪、追缴腐败犯罪所得的任务就更加繁重。虽然近年来中国在追缴腐败犯罪所得方面取得了一定成绩,但由于理念和制度滞后,导致中国未能确立对追缴腐败犯罪所得来说至关重要的相关制度。本文首先采用了文献研究方法,搜集了追缴腐败犯罪所得国际司法协助方面的中外文献,力求对国内法在此方面的历史和司法实践形成充分、完整的印象；继而采用概念分析方法,对本文涉及到的关键性概念进行了语义和内涵方面的分析；还采用比较研究的方法,将国际社会在追缴腐败犯罪所得方面的机制,特别是《联合国反腐败公约》中规定的腐败犯罪界定、腐败犯罪所得追回方式及相关制度与中国的国际司法合作相比较,在此基础上得出了中国应该借鉴国际社会的成功经验,确立和完善相关制度。本文第一章主要论述了腐败犯罪、犯罪所得、追缴的定义,阐释了追缴腐败犯罪所得国际司法协助的性质和特点,介绍了其现实意义,并分析了开展追缴腐败犯罪所得的基本原则。在此基础上,第二章论述了《联合国反腐败公约》(以下简称“公约”)中规定的与追缴腐败犯罪所得直接相关的制度,包括资产追回的两种方式,即直接和间接方式。在介绍这两种方式的同时,还介绍了追回过程中的相关制度,包括资产来源合法性的举证责任倒置、没收资产返还的方式、合理费用的补偿以及收益分享制度,从而为第六章奠定基础。第三章主要介绍了追缴腐败犯罪所得的基本程序。这些基本程序包括请求的提出,请求的受理和审查,请求的接受、退回、推迟或者拒绝以及请求的执行；还具体介绍了请求的主体、方式、条件。鉴于警察机构作为侦查机关在追缴腐败犯罪所得中的重要作用,第四章介绍了追缴腐败犯罪所得的国际警察合作机制,包括腐败犯罪的数据和情报交换机制、证据收集的国际合作机制、扣押和移交赃款赃物和追缴腐败犯罪所得合作机制。由于承认和执行外国生效刑事判决在追缴腐败犯罪所得国际司法协助中发挥着重要作用,是国际协助的重要制度,因此第五章单独论述了外国生效刑事判决的承认和执行问题。第六章在前五章的基础上,指出中国在开展追缴腐败犯罪所得国际司法协助方面所取得的成绩和不足,同时指出中国在追缴腐败犯罪所得国际司法协助方面仍然存在理念滞后、相关关键制度缺失等问题,并在此基础上提出了中国完善国际协助应坚持从实际出发的原则,并将国际关系中的国家利益原则导入到本章,也作为指导我国制度完善的一项基本原则。最后,本章利用较大篇幅对我国如何完善追缴腐败犯罪所得国际司法协助提出了建议,这些建议包括从实体上与《国际反腐败公约》接轨,按照公约的规定和我国反腐败的实际情况对我国相关实体法进行修订。同时提出,在修订实体法的同时,还要在程序上确立相关制度,如缺席审判制度或独立的民事没收制度、举证责任倒置机制、建立专门的基金等等。更多还原

【Abstract】 The crime of corruption is a tumor in the process of human socio-political and economic development. With the economic globalization and scientific and technological progress, it has developed the characteristics that the suspects always flee overseas and the illegal proceeds of corruption crime are transferred overseas. Moreover, the transference of illegal proceeds has shown characteristics such as the complexity of techniques and means, imperceptibility of transferring progress. The above characteristics result in that effectiveness to combat corruption, and recover proceeds of corruption by a single country on their own effort become weaker and weaker. In this context, sovereign countries have strengthened international cooperation on the recovery of illegal proceeds of corruption crime and have accumulated abundant experiences. China, as a developing country, is essentially a country from which a crime of corruption illegal income flows abroad. The mission to combat corruption crime and to recover illegal proceeds is very heavy. Although in recent years, China’s recovery of proceeds of corruption and crime law has made some achievements, due to the lag of the concept and the system, China has not established the relevant systems which are critical to the recovery of the crime of corruption.This dissertation adopts the literature method to collect domestic and foreign literatures on international judicial assistance of the recovery of proceeds of corruption, then illustrates the general ideas of the history and judicial practice on the subject of the paper. And then, the paper uses the conceptual analysis to conduct semantic and content analysis to key concepts of this article. Meanwhile, this paper also uses comparative study method to compare recovery mechanisms of corruption proceeds in the international community, especially the definition of corruption, mechanisms of corruption proceeds and associated systems stipulated in the "United Nations Convention against Corruption" with China’s international judicial cooperation. On this basis, the dissertation believes that China should learn successful experience from international community to establish and improving related systems.This first chapter introduces the definition of the crime of corruption, illegal income and recovery, illustrates the characteristics, the nature and Practical significance of law and international judicial assistance on the recovery of proceeds of corruption, and analyzes the basic principles of to carry out the international judicial assistance on recovery of proceeds of corruption. On this basis, the second chapter describes the systems stipulated in the "United Nations Convention against Corruption" which are directly related to the recovery of illegal proceeds, such as seizure, freezing system, return system, and the cost of compensation and benefit-sharing system. The third chapter introduces the basic programs on the recovery of illegal gains of the crime of corruption. ChapterⅣdescribes the international police cooperation mechanisms on recovery of proceeds of crime of corruption, including data and information exchange mechanism, international cooperation mechanisms to collect evidence, seizure and transfer cooperation mechanism and cooperation mechanism on the recovery of proceeds of corruption crime. ChapterⅤdescribes the recognition and implementation of foreign criminal judgments. On the basis of the previous chapters, ChapterⅥpoints out achievements and shortcomings that China carries out international judicial assistance on the recovery of proceeds of crime law, and on these basis points out that China should establish judicial review on a foreign criminal confiscation and contumacies.更多还原