关于打击国际商业交易中

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1、 关于打击国际商业交易中关于打击国际商业交易中 行贿外国公职人员行为的行贿外国公职人员行为的 公约公约 及相关文件 目录 关于打击国际商业交易中行贿外国公职人员行为的公约 . 5 对关于打击国际商业交易中行贿外国公职人员行为的公约的注释 . 19 理事会关于进一步打击国际商业交易中贿赂外国公职人员行为的建议 . 31 理事会关于进一步打击国际商业交易中贿赂外国公职人员行为的税收措施建议. 43 理事会关于贿赂和官方支持的出口信贷问题的建议 . 45 发展援助委员会关于双边援助采购反腐败计划的建议 . 48 经济合作与发展组织跨国企业指导原则第六部分 . 49 中文：非官方翻译 CHINESE

2、: UNOFFICIAL TRANSLATION 5 关于打击国际商业交易中行贿外国公 职人员行为的公约 Convention on Combating Bribery of Foreign Public Officials in International Business Transactions 谈判会议于 1997 年 11月 21日通过 ADOPTED BY THE NEGOTIATING CONFERENCE ON 21 NOVEMBER 1997 序序 言言 Preamble 各各缔约方：缔约方： THE PARTIES, 考虑到行贿行为是国际商业交易中，包 括贸易和投资活动中的

3、普遍现象，引起了道 德和政治方面的严重关注，破坏了善治和经 济发展，扭曲了国际竞争条件； CONSIDERING THAT BRIBERY IS A WIDESPREAD PHENOMENON IN INTERNATIONAL BUSINESS TRANSACTIONS, INCLUDING TRADE AND INVESTMENT, WHICH RAISES SERIOUS MORAL AND POLITICAL CONCERNS, UNDERMINES GOOD GOVERNANCE AND ECONOMIC DEVELOPMENT, AND DISTORTS INTERNATIONAL

4、COMPETITIVE CONDITIONS; 考虑到考虑到所有国家共同负有打击国际商业 交易中的行贿行为的责任； CONSIDERING THAT ALL COUNTRIES SHARE A RESPONSIBILITY TO COMBAT BRIBERY IN INTERNATIONAL BUSINESS TRANSACTIONS; 考虑到考虑到经济合作与发展组织理事会于 1997 年 5月 23 日通过的第关于打击国际 商业交易中行贿行为的修改建议（ C(97)123/FINAL号文件），该建议特别呼吁 采取有效措施以制止、防止和打击与国际商 业交易有关的行贿外国公职人员的行为，特 别呼

5、吁依照该建议所列议定共同要素和每一 国家司法及其他基本法律准则，立即以有效 和协调的方式认定此种行贿行为属非法行为 ； HAVING REGARD TO THE REVISED RECOMMENDATION ON COMBATING BRIBERY IN INTERNATIONAL BUSINESS TRANSACTIONS, ADOPTED BY THE COUNCIL OF THE ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT (OECD) ON 23 MAY 1997, C(97)123/FINAL, WHICH, INTE

6、R ALIA, CALLED FOR EFFECTIVE MEASURES TO DETER, PREVENT AND COMBAT THE BRIBERY OF FOREIGN PUBLIC OFFICIALS IN CONNECTION WITH INTERNATIONAL BUSINESS TRANSACTIONS, IN PARTICULAR THE PROMPT CRIMINALISATION OF SUCH BRIBERY IN AN EFFECTIVE AND CO- ORDINATED MANNER AND IN CONFORMITY WITH THE AGREED COMMO

7、N ELEMENTS SET OUT IN THAT RECOMMENDATION AND WITH THE JURISDICTIONAL AND OTHER BASIC LEGAL PRINCIPLES OF EACH COUNTRY; 中文：非官方翻译 CHINESE : UNOFFICIAL TRANSLATION 6 欢迎最近在欢迎最近在促进打击行贿公职人员行为 领域的进一步国际间的理解与合作方面取得 的其他进展，包括联合国、世界银行、国际 货币基金组织、世界贸易组织、美洲国家组 织、欧洲理事会和欧洲联盟等组织的行动； WELCOMING OTHER RECENT DEVELOPMEN

8、TS WHICH FURTHER ADVANCE INTERNATIONAL UNDERSTANDING AND CO- OPERATION IN COMBATING BRIBERY OF PUBLIC OFFICIALS, INCLUDING ACTIONS OF THE UNITED NATIONS, THE WORLD BANK, THE INTERNATIONAL MONETARY FUND, THE WORLD TRADE ORGANISATION, THE ORGANISATION OF AMERICAN STATES, THE COUNCIL OF EUROPE AND THE

9、EUROPEAN UNION; 欢迎欢迎公司、商业组织、工会以及其他非 政府组织打击行贿行为的努力； WELCOMING THE EFFORTS OF COMPANIES, BUSINESS ORGANISATIONS AND TRADE UNIONS AS WELL AS OTHER NON-GOVERNMENTAL ORGANISATIONS TO COMBAT BRIBERY; 认识到认识到各国政府在国际商业交易中防止 向个人和企业索取贿赂方面所发挥的作用； Recognising the role of governments in the prevention of solicita

10、tion of bribes from individuals and enterprises in international business transactions; 认识到认识到在这一领域取得成果不仅需要国 家一级的努力，而且需要多边合作、监督及 后续行动； RECOGNISING THAT ACHIEVING PROGRESS IN THIS FIELD REQUIRES NOT ONLY EFFORTS ON A NATIONAL LEVEL BUT ALSO MULTILATERAL CO-OPERATION, MONITORING AND FOLLOW-UP; 认识到认识到使

11、各缔约方采取的措施实现等效 性是本公约的基本目标和宗旨，为此需要核 准本公约，而不得存在影响这一等效性的背 离条款。 RECOGNISING THAT ACHIEVING EQUIVALENCE AMONG THE MEASURES TO BE TAKEN BY THE PARTIES IS AN ESSENTIAL OBJECT AND PURPOSE OF THE CONVENTION, WHICH REQUIRES THAT THE CONVENTION BE RATIFIED WITHOUT DEROGATIONS AFFECTING THIS EQUIVALENCE; 议定如下：议定

12、如下： HAVE AGREED AS FOLLOWS: 第第 1 条条 : 行贿外国公职人行贿外国公职人 员罪员罪 Article 1: The Offence of Bribery of Foreign Public Officials 1. 每一缔约方应采取必要措施以确定根据 其法律下列行为属犯罪行为：任何人，无论 直接还是通过中间方，故意向一外国公职人 员，为该官员或为一第三方提供、承诺或给 予金钱或其他利益，以使该官员在履行公务 方面作为或不作为，从而在从事国际商业过 程中获得或保留商业或其他不当利益。 1. Each Party shall take such measures as

13、 may be necessary to establish that it is a criminal offence under its law for any person intentionally to offer, promise or give any undue pecuniary or other advantage, whether directly or through intermediaries, to a foreign public official, for that official or for a third party, in order that th

14、e official act or refrain from acting in relation to the performance of official duties, in order to obtain or retain business or other improper advantage in the conduct of 中文：非官方翻译 CHINESE : UNOFFICIAL TRANSLATION 7 international business. 2. 每一缔约方应采取任何必要措施以确定 共同参与，包括鼓动、协助和教唆，或授意 行贿外国公职人员的行为属犯罪行为。 企图 和共谋行贿外国公职人员应与企图和共谋行 贿本国公职人员同属犯罪行为。 2. Each Party shall take any measures necessary to establish that complicity in, including incitement, aiding and abetting, or authorisation of an act of bribery of a foreign public official shall be a criminal offence. Attempt