【案情】
2005年7月,被告人屈某接受陈某、官某的请托,违规将罪犯赖某从广东某监狱调到湖南省某监狱服刑。赖某在岳阳监狱服刑期间,被告人屈某伙同刘某及周某、向某(均另案处理)除对赖某在劳动改造方面给予关照外,在屈某的默许下,周某又安排向某违规为赖某办理保外就医,向某通过送红包、给好处后,要求该监狱的医生龚某出具假病情检验报告,伪造了罪犯赖某患了尿毒症的危重病情,导致赖某被违规办理保外就医。期间,被告人屈某、刘某和周某、向某共从赖某之妻马某处接受好处费一百多万元。
【分歧】
第一种意见认为,被告人屈某只构成受贿罪,屈某没有实施徇私舞弊暂予监外执行的行为,不构成徇私舞弊暂予监外执行罪。
第二种意见认为,被告人屈某触犯数罪,是牵连犯,应择一重罪处罚,以受贿罪定罪量刑。
第三种意见认为,被告人屈某触犯数罪,应以受贿罪和徇私舞弊暂予监外执行罪并罚。
【评析】
徇私动机的渎职犯罪,经常与受贿行为交织在一起。即行为人收受他人贿赂甚至索取贿赂,以此作为交换条件,利用职务便利为他人谋取违背自己职责要求的利益。在具体的犯罪过程中虽然有多人受贿,有共同的犯罪动机和具体的犯罪意思联络,但在渎职犯罪行为中却往往由少数人具体操作。对该行为定罪时,均应当以受贿罪和徇私型渎职罪并罚。笔者同意第三种意见,理由如下。
(一)、被告人刘斌收入他人贿赂,对徇私舞弊暂予监外执行的犯罪事实知晓,并与其他共犯达成共识,形成默契,虽未具体实施徇私舞弊暂予监外执行的犯罪行为,仍然构成徇私舞弊暂予监外执行罪的共犯。
共同犯罪是指二人以上共同故意犯罪。对于在共同犯罪中只参与共谋而没有具体实施犯罪行为是否构成共犯,在我国刑法界争议,但主流观点明确认为:仅参与共谋而未参与实行行为的,仍旧构成共同犯罪。所谓共谋是指二人以上为了实施特定的犯罪而进行的谋议,可能是策划实施犯罪,也可能是商讨如何实施犯罪,或者二者兼而有之,可见共谋本身就是共同犯罪行为,所以参与犯罪谋议而未参与犯罪实行,应当认为构成共同犯罪。依据分工的不同,我国刑法理论将共同犯罪人划分为组织犯、实行犯、帮助犯和教唆犯。而对于帮助犯的共谋行为往往是对已经具备犯罪意图的组织犯或实行犯承诺参与犯罪并对实行犯进行物理上加功或精神上的鼓励。其共谋的内容是对组织犯或实行犯承诺帮助实行犯提供物质便利或精神鼓励,当然,这种承诺的表现形式可以是明示的,也可以是默许或默认。
本案中被告人屈某明知其他同伙的犯罪意图,亦明知其他同伙将会为行贿人的不当利益徇私舞弊,违反国家法律,将不符合暂予监外执行条件的罪犯暂予监外执行。仍然积极收受贿赂,对其他同伙人的行为表示默许,并提供公共权力上的便利和精神上的支持,对本案中徇私舞弊渎职行为的发生产生重大的推动作用。因此被告人曲某的行为是典型的共犯行为。应以徇私舞弊暂予监外执行的共犯论处。
(二)、被告人屈某应以受贿罪和徇私舞弊暂予监外执行罪两罪并罚。
徇私作为渎职犯罪的一种常见动机,往往是与受贿紧密相连的,对于国家工作人员在犯渎职罪的同时又收受他人财物构成受贿罪,是否应当按牵连犯处罚?在司法实践中争议颇多。
刑法第三百九十九条第三款规定,对犯徇私枉法罪或枉法裁判罪同时又构成受贿罪的,应依据刑法处罚较重的规定定罪处罚,对刑法这一规定,在理论界和司法实践部门存在两种不同观点:
一种观点认为,刑法第三百九十九条第三款属于提示性规定,即在徇私枉法或枉法裁判与受贿之间出现牵连时,应按从一重罪处断原则处理。立法者是为了防止司法机关在实践操作中出现疏忽而作出这一规定,是对刑法理论关于牵连犯处理原则的一种重申,这并不排斥对其他渎职行为与受贿行为存在牵连时,同样也可以适用从一重罪处罚的原则。
另一种观点认为,该条款的规定是刑法对枉法行为与受贿行为存在牵连时在处罚方式上所作的特别规定,不具有普适性,对其他渎职行为和受贿行为发生牵连的情形,不能按从一重罪处罚的原则处理。
笔者认为,对渎职受贿行为除刑法第三百九十九条的特别规定以外,应当实行数罪并罚。理由如下:
1、是我国刑法罪刑法定原则的客观要求。依据该原则,对渎职受贿行为的处罚应当有明确的法律依据。而我国刑法对牵连犯及其处罚原则并未在法律上予以明确,因此对牵连犯从一重罪处断原则不能作为渎职受贿行为的处罚的法律依据,而数罪并罚才是我国刑法处理一人犯数罪的刑法依据。至于我国刑法第三百九十九条关于徇私枉法、枉法裁判罪与受贿罪存在牵连关系时从一重罪处断的规定,属于刑法的例外规定,无普遍适用的效力。有人认为该条属提示性规定,笔者认为,这是有失偏颇的,因为牵连犯不仅会出现在渎职罪中,在刑法分则其他章节的具体罪名中同样会涉及,那么刑法为何要单单在渎职罪的这一条中予以特别提示呢?况且如果对牵连犯适用从一重罪处断原则是普遍适用的原则,那么刑法何不如在总则中对此予以明确。在单个罪名中提示,不仅起不到提示作用,反而会引起诸多疑问,给执法者造成误导。
其实关于渎职受贿行为的处罚原则,在全国人大常委会《关于惩治贪污罪贿赂罪的补充规定》中已有规定,即:“因受贿进行违法活动构成其他罪的,依照数罪并罚的规定处罚。”虽然这一单行刑法因刑法的修订而失效,但从中反映出我国立法机关对渎职受贿行为如何处理的立法意图是明确的。最高人民法院刑一庭在《关于被告人受贿后徇私舞弊为服刑罪犯减刑、假释的行为应定一罪还是数罪的研究意见》中亦有类似的指导意见:受贿兼有徇私舞弊减刑、假释的,同时符合两个罪的构成,应当认定为两罪,实行数罪并罚。
2、是司法实践的必然选择。笔者认为对渎职受贿行为适用从一重罪处断原则客观上会导致以下弊端:
其一,反面引导侦查。渎职和受贿是两个独立的犯罪行为,检察机关依法应当查清全部犯罪事实,但如果对渎职受贿行为,在处理时只追究一罪,那么对检察机关而言,查清在法律上不追究刑事责任的另一罪就没有实质上的法律意义,这必然导致办案经费不足的侦查部门在办案时只择一罪查处,而放弃对另一罪的侦查。
其二,逆向诱导罪犯。从犯罪人心态看,既然受贿后再触犯渎职罪无需承担法律责任,那么行为人在渎职的同时就可以肆意受贿。
综上所述,本案中被告人屈某在收受他人贿赂后,徇私舞弊,为不具备暂予监外执行条件的罪犯办理暂予监外执行手续,无视国家法律。不仅违反国家工作人员职务活动的廉洁性这一客体,同时也影响国家机关的正常活动与公众对国家机关工作人员职务活动客观公正性的信赖。应以受贿罪和徇私舞弊暂予监外执行两罪并罚。
关于严格禁止在旅游业务中私自收授回扣和收取小费的规定(附英文)
国家旅游局
关于严格禁止在旅游业务中私自收授回扣和收取小费的规定(附英文)
(1987年8月2日国务院批准1987年8月17日国家旅游局发布)
第一条 为了加强旅游系统职工队伍的精神文明建设,反对在旅游业务中私自收授回扣和收取小费的不正当行为,维护我国旅游声誉,更好地发展旅游事业,特制定本规定。
第二条 旅游系统职工在工作中,不得私自索要、收受回扣(包括券证、实物和其他报酬)。
违反前款规定,有下列行为之一的,由旅游行政管理部门根据情节予以处罚:
(一)私自索要、收受回扣金额在五百元以下的,没收非法所得,并可处以相当于其非法所得等值或者以下的罚款,同时给予行政警告或者记过处分。
(二)私自索要、收受回扣金额在五百元以上、一千元以下的,没收非法所得,并可处以相当于其非法所得等值两倍以下的罚款,同时给予留用察看处分。
(三)私自索要、收受回扣,金额在一千元以上的,没收其非法所得,同时给予开除公职处分。
第三条 接待旅游者的商店、餐馆、汽车公司等经营单位,在经营中不得向私人付给回扣。
违反前款规定,有下列行为之一的,由旅游行政管理部门会同有关主管部门根据情节予以处罚:
(一)主动付给私人回扣金额在一千元以下的,处以相当于其所付回扣等值两倍以下的罚款;主管部门应当对直接责任人和经营单位负责人给予行政处分。
(二)主动付给私人回扣金额在一千元以上、二千元以下的,处以相当于其所付回扣等值三倍以下的罚款;主管部门应当对直接责任人和经营单位负责人给予行政处分。
(三)主动付给私人回扣金额在二千元以上的,除按照本款第(二)项的规定给予处罚外,并可责令该经营单位停业整顿,或者由工商行政管理部门依法吊销其营业执照。
第四条 旅游系统职工在工作中,不得向旅游者索要、收受小费;也不得收受旅游者主动付给的小费。
旅游者主动赠送礼品,应当谢绝;确实谢绝不了的,应当按照国家有关礼品的规定处理。
第五条 违反第四条规定,有下列行为之一的,由旅游行政管理部门予以处罚:
(一)本人未主动索要,但收受小费的,给予批评教育,没收其所收小费。
(二)主动索要小费,或者暗示、刁难旅游者,造成不良影响的,给予行政处分,并可同时处以相当于其所收小费三倍以下的罚款;情节恶劣,后果严重的,可给予留用察看直至开除公职处分。
第六条 违反本规定第二条、第三条、第四条的行为,情节严重,触犯刑律的,交司法机关依法追究刑事责任。
第七条 因私自索要、收受回扣或者小费被开除公职的,不得再录用为旅游系统职工。
第八条 对于坚持原则,拒绝收受回扣、小费,热情为旅游者提供服务,得到旅游者好评的工作人员,应当给予精神和物质奖励。
第九条 罚没的款项和实物,应当按照国家有关规定处理。
第十条 旅游行政管理部门负责监督检查本规定的贯彻实施。工商、财政、审计等部门,应当在各自职责范围内加强配合。
第十一条 本规定适用于旅游系统的所有单位,以及其他涉及旅游业务的商店、餐馆、汽车公司等经营单位。
第十二条 本规定所称的“以上”,包括本数。
第十三条 本规定自发布之日起施行。
PROVISIONS CONCERNING STRICT FORBIDDANCE ON ACCEPTANCE OF REBATESAND TIPS IN HANDLING TOURIST BUSINESS
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
PROVISIONS CONCERNING STRICT FORBIDDANCE ON ACCEPTANCE OF REBATES
AND TIPS IN HANDLING TOURIST BUSINESS
(Approved by the State Council on August 2, 1987 and promulgated
by the National Tourism Administration on August 17, 1987)
Article 1
These Provisions are formulated in order to promote cultural and
ideological progress of the contingent of workers and staff members in the
tourist industry, to fight against the improper acts of accepting, without
permission, rebates and tips in handling tourist business, to defend the
reputation of our tourist industry so as to ensure its further
development.
Article 2
Workers and staff members in the tourist industry shall not ask for, or
accept, without permission, rebates (including various negotiable
securities, material objects and other remuneration).
With respect to those who have committed one of the following acts in
violation of the provisions in the preceding paragraph, the tourism
administration department shall impose punishments depending on the
seriousness of the cases:
(1) In case that the amount of rebates the violator has privately asked
for or accepted is 500 yuan or less, the illegal gain shall be
confiscated, and a fine equal to the illegal gain, or less, may
concurrently be imposed; and, at the same time, an administrative warning
shall be given, or a demerit be recorded.
(2) In case that the amount of rebates the violator has privately asked
for or accepted is above 500 and below 1,000 yuan, the illegal gain shall
be confiscated, and a fine equal to two times as much, or less, as the
illegal gain may concurrently be imposed, and, at the same time, the
punishment of probation on job shall be imposed.
(3) In case that the amount of rebates the violator has privately asked
for or accepted is above 1,000 yuan, the illegal gain shall be
confiscated, and, at the same time, the punishment of dismissal from
office shall be imposed.
Article 3
Business operating units that receive tourists, such as stores,
restaurants and automobile companies, shall not pay rebates to individuals
in business operations. With respect to those who have committed one of
the following acts in violation of the provisions in the preceding
paragraph, the tourism administration department, shall, in consultation
with the competent authorities, impose punishments depending on the
seriousness of the cases:
(1) In case that the amount of rebates a violator has paid on his/her own
initiative to an individual is 1,000 yuan or less, a fine equal to two
times as much, or less, as the amount of rebates shall be imposed on the
violator; and the competent authorities shall impose disciplinary sanction
on the violator, and also on the person who is in charge of the business
operating unit.
(2) In case that the amount of rebates a violator has paid on his/her own
initiative to an individual is above 1,000 and below 2,000, a fine equal
to three times as much, or less, as the amount of rebates shall be
imposed; and the competent authorities shall impose disciplinary sanction
on the violator, and also on the person who is in charge of the business
operating unit.
(3) In case that the amount of rebates a violator has paid on his/her own
initiative to an individual is above 2,000 yuan, the tourism
administration department may, in addition to imposing punishment in
accordance with the provisions in item (2) of this Article, order the
business operating unit to cease business operations for rectification,
or, the administrative department for industry and commerce shall revoke
the violator's business licence in accordance with the law.
Article 4
Workers and staff members in the tourist industry shall not ask for, or
accept, tips from tourists; and they shall not accept any tips given by
tourists on latter's own initiative, either.
In case that tourists present gifts on their own initiative, the gifts
should be declined; gifts that are difficult to be declined shall be
handled in accordance with the provisions of the State concerning gifts.
Article 5
With respect to those who have committed one of the following acts in
violation of the provisions of Article 4 of these Provisions, the tourism
administration department shall impose punishment:
(1) In case that the violator has accepted tips without asking for them on
his/her own initiative, he/she shall be criticized, and the tips he/she
has accepted shall be confiscated.
(2) In case that the violator has asked for tips on his/her own
initiative, or has so hinted by deliberately making things difficult for
tourists and has thus produced very bad effect, the tourism administration
department shall impose disciplinary sanction on the violator, and, at the
same time, impose a fine equal to three times as much, or less, as the
tips that the violator has accepted; if the case is extremely abominable
and has caused grave consequences, the punishment of probation on job or
even dismissal from office may be imposed on the violator, depending on
the seriousness of the case.
Article 6
With respect to those who have violated the provisions in Articles 2, 3
and 4, if the case is so serious as to constitute a crime, the violator's
criminal responsibility shall be investigated by judicial organs in
accordance with the law.
Article 7
Those who have been discharged from office on account of having privately
asked for or accepted rebates or tips, shall not be re-employed as staff
members or workers in the entire tourist industry.
Article 8
Those who have observed the disciplines, declined rebates and tips, and
served tourists warm-heartedly and have thus been praised by tourists,
shall be given moral encouragement and material rewards.
Article 9
Fines, and illegal gains and objects confiscated, shall be handled in
accordance with the pertinent provisions of the State.
Article 10
The tourism administration department shall be responsible for supervising
the implementation of these Provisions. The administrative department for
industry and commerce, the department of finance and the auditing
department shall, within their respective scope of functions, strengthen
their coordination.
Article 11
These Provisions shall apply to all units in the tourist industry, and
also to other business operating units with relevance to tourist business,
such as stores, restaurants, and automobile companies.
Article 12
The expression "above..." referred to in these Provisions includes the
figure itself.
Article 13
These Provisions shall go into effect as of the date of promulgation.