河北省建设工程招投标管理规定

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河北省建设工程招投标管理规定

河北省人民政府


河北省人民政府令
 
第129号



  《河北省建设工程招标投标管理规定》已经1995年3月21日省政府第37次常务会议通过,现予发布施行。

                           
省长 叶连松
                        
一九九五年三月二十八日


           河北省建设工程招标投标管理规定

第一章 总则





  第一条 为培育和发展本省的建筑市场,依法管理建设工程的招标投标活动,提高建筑产品质量和投资效益,维护招标投标当事人的合法权益,根据国家有关规定和《河北省建筑市场管理条例》,制定本规定。


  第二条 凡在本省行政区域内进行的土木建筑(包括地基处理和建筑装饰装修)、设备安装和管线敷设等建设工程(以下简称建设工程),除本条第二款、第三款和本规定第三条规定的外,都必须实行招标投标。
  国家直接管理的建设工程,国家对招标投标另有规定的,按其规定执行。
  实行国际招标投标的建设工程,可以按照国际惯例办理。


  第三条 下列建设工程或者建设工程的勘察、设计、施工、设备采购和建设监理,是否实行招标投标,由投资者自行决定:
  (一)全部建设资金由国内私人或者外商投资的建设工程。
  (二)建筑面积不足三千平方米或者投资额不足二百万元的建设工程的勘察、设计。
  (三)建筑面积不足五百平方米或者投资额不足二十万元的建设工程的施工。
  (四)价款总额不足五十万元的设备采购。
  (五)县级以上人民政府确认的防洪、抢险、抗灾和省人民政府确认的科学实验、保密以及其他具有特殊情况的建设工程。
  (六)法律、法规另有规定的建设工程。


  第四条 建设工程的招标投标包括:
  (一)总承包招标投标,指对建设工程自勘察、设计、设备材料采购、施工直至交付使用全过程承包的招标投标。
  (二)分包招标投标,指对承包的建设工程依照招标文件和合同的规定分包的招标投标。
  (三)勘察招标投标,指对建设工程的工程测量和工程、水文地质勘察的招标投标。
  (四)设计招标投标,指对建设工程的总体设计、方案设计以及施工图设计的招标投标。
  (五)施工招标投标,指对建设工程的土木建筑、设备安装和管线敷设施工的招标投标。
  (六)设备采购招标投标,指对建设工程所需的成套设备、配套设备、专用设备和非标准设备采购的招标投标。
  (七)建设监理招标投标,指对建设工程建设全过程或者分阶段进行建设监理的招标投标。


  第五条 进行建设工程招标投标活动,应当遵循公开、公正、公平竞争和择优定标的原则,不受地区、部门和行业的限制。


  第六条 在建设工程招标投标活动中禁止下列行为:
  (一)招标的建设单位或者其代理人与参加投标的单位相互勾结,排挤竞争对手的公平竞争。
  (二)参加投标的单位串通投标、哄抬标价。
  (三)在投标活动中采用行贿和回扣等不正当手段,竞争或者在招标活动中接受贿赂、回扣。
  (四)以征地、拆迁、垫资、介绍建设用地为条件或者利用职权非法干预正当的招标投标活动。

第二章 管理机构





  第七条 省人民政府建设行政主管部门主管全省建设工程招标投标的监督管理工作。
  省辖市(地区)和县(市)人民政府建设行政主管部门主管本行政区域内建设工程招标投标的监督管理工作。


  第八条 各级人民政府建设行政主管部门按照分级管理的权限,在建设工程招标投标的监督管理工作中履行下列职责:
  (一)组织贯彻实施有关招标投标监督管理的法律、法规和规章。
  (二)参与制定或者制定招标投标监督管理的法规、规章和规范性文件。
  (三)负责对从事招标投标及其有关活动的单位和个人进行资质审查或者复查。
  (四)监督管理招标投标活动。
  (五)否决违反有关法律、法规、规章和本规定的定标结果。
  (六)调解招标投标纠纷。
  (七)监督检查建设工程的承包合同和有关合同的签订、履行情况。
  (八)查处违反有关法律、法规、规章和本规定的行为。


  第九条 省、省辖市(地区)和县(市)人民政府建设行政主管部门设置的建设工程招标投标管理机构,按照省人民政府建设行政主管部门规定的分级管理权限,负责本行政区域内建设工程招标投标的具体监督管理工作。 


  第十条 各级行业主管部门负责指导本行业的建设单位建立建设项目管理机构,选择投标单位,编制招标文件和标底,拟定评标办法。并组织或者参加评标组织以及该组织的开标、评标和定标活动。

第三章 招标





  第十一条 进行建设工程招标,可以采用全过程招标、分阶段招标、单位工程招标和特殊专业工程招标等形式。
  建设单位或者其代理人不得将一个单位工程肢解后招标。


  第十二条 进行招标的建设单位应当具有法人资格,其建设项目管理机构应当具有与招标的建设工程相适应的建设项目管理资质。不具有相应的建设项目管理资质的,其招标工作必须委托具有相应资质并在本省依法登记注册的招标业务代理机构承办。


  第十三条 进行建设工程招标必须具备下列条件:
  (一)建设工程已经批准立项。
  (二)建设用地的征用工作已经完成并取得建设工程规划许可证。
  (三)已经向建设行政主管部门办理报建手续。
  (四)建设资金的来源已经落实。
  (五)国家和本省规定的其他条件。


  第十四条 进行建设工程招标,必须接受招标投标管理机构的监督管理,并采用下列方式:
  (一)公开招标。通过报刊、广播、电视等新闻媒介向社会发布招标公告。具备相应资质和条件的单位都可以投标。
  (二)邀请招标。发送招标邀请书,邀请三个以上具备相应资质和条件的单位投标。
  (三)议标。选择三个以上具备相应资质和条件和单位依照国家和本省有关规定协商议定中标者。


  第十五条 进行建设工程招标,应当以公开招标为主。少数确需采用邀请招标或者议标方式的,必须经有管辖权的招标投标管理机构批准。


  第十六条 必须进行招标的建设工程有下列情形之一的,方可申请采用议标的方式招标:
  (一)公开招标或者邀请招标未成功的。
  (二)因专利保护的原因,只能由规定的单位投标的。
  (三)因地处偏僻地区或者保密等特殊原因,不能实行公开招标和邀请招标的。


  第十七条 建设单位或者其代理人应当按照下列程序进行建设工程招标:
  (一)填写招标申请书,编制招标文件和标底。
  (二)发布招标公告或者发出招标邀请书。
  (三)对申请投标的单位进行资格初审。
  (四)向合格的投标单位发送招标文件。
  (五)组织投标单位踏勘现场,并对招标文件答疑。
  (六)建立评标组织,拟订评标和定标办法。
  (七)召开开标会议,组织评标工作,确定中标单位。
  (八)签发中标通知书。
  (九)与中标单位签订建设工程的承包合同和有关合同。


  第十八条 建设单位或者其代理人应当依照国家和本省的有关规定编制招标文件,报招标投标管理机构核准。


  第十九条 建设工程的标底,由建设单位或者其代理人编制,报招标投标管理机构统一组织审定。
  编制标底的单位和个人必须具备省建设行政主管部门规定的条件。


  第二十条 建设工程的标底,参照国家和省建设行政主管部门统一制定的工程概算、预算、费用和工期定额以及计价办法编制;专业建设工程的标底,可以参照国务院有关部门制定的专业工程概算、预算、费用定额以及计价办法编制。
  一个建设工程只能编制一个标底。


  第二十一条 建设工程的标底在开标前必须保密,任何单位和个人不得泄露。
第四章 投标





  第二十二条 凡在本省依法登记注册并持有相应资质证书的工程总承包、勘察、设计、施工、设备采购和建设监理单位,都可以申请参加建设工程投标。
  二个以上单位联合投标的,应当签订合作承包合同,明确主承包方,并由主承包方代表合作各方投标。


  第二十三条 投标单位应当向建设单位或者其代理人提交资质证书、单位简介和近三年承建的主要建设工程质量情况,以及拟投入本工程的技术力量和设备等有关资料,经建设单位或者其代理人初审后,报招标投标管理机构核准。


  第二十四条 投标单位应当依照招标文件的规定编制投标书,并根据自己的经营状况和市场价格自主确定投标报价。


  第二十五条 投标单位编制的投标书,必须由单位和单位法定代表人签章,并按规定密封送达建设单位或者其代理人。

第五章 开标 评标 定标





  第二十六条 建设工程的开标、评标定标活动,应当由建设单位或者其代理人组织,并在招标投标管理的机构的监督下公开进行。


  第二十七条 建设单位或者其代理人应当依照本省的有关规定邀请有关经济、技术人员组成评标组织,具体负责建设工程的评标和定标工作。
  评标、定标的标准,由省建设行政主管部门制定。


  第二十八条 建设单位或者其代理人应当依照招标文件规定的时间和地点,召集投标单位和评标组织成员举行开标会议,公布评标、定标办法和标底。


  第二十九条 投标书有下列情形之一的无效:
  (一)单位和单位法定代表人未签章的。
  (二)未按规定的格式和要求填写的。
  (三)未密封或者逾期送达的。
  (四)投标单位的法定代表人或者其代理人未参加开标会议的。
  (五)招标文件规定的其他情形。


  第三十条 投标单位投标后,因建设单位的原因中止招标或者招标失败的,由建设单位赔偿投标各方的经济损失。


  第三十一条 进行建设工程的评标、定标,应当采用评分、评议或者评分与评议相结合的方法。
  评标组织评定的中标单位,由建设单位发给加盖招标投标管理机构印章的中标通知书。


  第三十二条 建设工程定标后,招标的建设单位或者其代理人不得擅自改变中标单位。


  第三十三条 建设工程的承包合同和有关合同应当在招标文件规定的期限内签订。因逾期或者拒绝签订合同造成损失的,由责任方依法承担责任。


  第三十四条 建设工程定标后,中标单位对承包的建设工程必须自行组织完成。但具有分包资格的中标单位,可以依照招标文件和合同的规定分包建设工程。分包建设工程的单位必须具有相应资质。
  中标单位不得转包建设工程。


  第三十五条 建设工程定标后,建设单位或者其代理人和中标单位应当向招标投标管理机构缴纳招标投标管理费。招标投标管理费的缴纳标准,依照省人民政府建设行政主管部门和财政、物价部门制定的有关规定执行。

第六章 法律责任





  第三十六条 违反本规定将一个单位工程肢解后招标,或者未经批准擅自采用邀请招标或者议标方式招标的,予以警告、通报批评,责令停止招标投标,已中标的中标无效,没收违法所得,并处以一万元以上五万元以下的罚款。


  第三十七条 违反本规定泄露标底或者转包建设工程的,予以警告、通报批评,责令停止招标投标,已中标的中标无效,停止勘察、设计、施工,没收违法所得,并处以一万元以上十万元以下的罚款。


  第三十八条 有下列行为之一的,予以警告、通报批评,责令停止招标投标,已中标的中标无效,停止勘察、设计、施工,没收违法所得,并处以一万元以上二十万元以下的罚款:
  (一)对必须实行招标的建设工程拒不招标的。
  (二)招标的建设单位或者其代理人与参加投标的单位相互勾结,排挤竞争对手的公平竞争的。
  (三)参加投标的单位串通投标、哄抬标价的。
  (四)在招标投标活动中采用行贿和回扣等不正当手段竞争的。
  (五)建设工程定标后,招标的建设单位或者代理人擅自改变中标单位的。


  第三十九条 在招标活动中接受贿赂、回扣,以及以征地、拆迁、垫资、介绍建设用地为条件或者利用职权非法干预正当的招标投标活动的,由县(市)以上人民政府建设行政主管部门招标投标管理机构或者有关部门责令限期改正,并视情节轻重,由责任者所在单位或者上级主管机关、行政监察机关予以行政处分;构成犯罪的,由司法机关依法追究刑事责任。


  第四十条 本规定第三十六条、第三十七条和第三十八条规定的行政处罚,由县(市)以上人民政府建设行政主管部门招标投标管理机构或者有关部门按照职责分工决定。
  没收违法所得和收缴罚款,应当出具财政部门统一印制的罚没票据。罚没收入全额上缴同级财政部门,任何单位和个人不得截留、分成。


  第四十一条 当事人对行政处罚决定不服的,可以在接到处罚决定通知书之日起十五日内,向作出处罚决定机关的同级人民政府或者上一级机关申请复议;对复议决定不服的,可以在接到复议决定之日起十五日内,向人民法院起诉。当事人也可以在接到处罚决定通知书之日起十五日内,直接向人民法院起诉。
  当事人逾期不申请复议、也不向人民法院起诉、又不履行处罚决定的,由作出处罚决定的机关申请人民法院强制执行。


  第四十二条 拒绝、阻碍招标投标管理机构工作人员依法执行职务,侮辱、殴打投标投标管理机构工作人员的,由公安机关依照《中华人民共和国治安管理处罚条例》的规定予以处罚;构成犯罪的,由司法机关依法追究刑事责任。


  第四十三条 招标投标管理机构的工作人员必须依法行使职权。对玩忽职守、滥用职权、徇私舞弊的,由其所在单位或者上级主管机关、行政监察机关予以行政处分;构成犯罪的,由司法机关依法追究刑事责任。

第七章 附则




  第四十四条 本规定由河北省建设委员会负责解释。


  第四十五条 本规定自发布之日起施行。

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JOINT DECLARATION OF THE GOVERNMENT OF THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND AND THE GOVERNMENT OF THE PEOPLE'S REPUBLIC OF CHINA ON THE QUESTION OF HONG KONG ——附加英文版

the Government of the People's Republic of China,Government of the United Kingdom of Great Britain and Northern


JOINT DECLARATION OF THE GOVERNMENT OF THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND AND THE GOVERNMENT OF THE PEOPLE'S REPUBLIC OF CHINA ON THE QUESTION OF HONG KONG


WHOLE DOCUMENT
  
  Government of the United Kingdom of Great Britain and Northern
Ireland
  the Government of the People's Republic of China have reviewed 
with
  sfaction the friendly relations existing between the two 
Governments
  peoples in recent years and agreed that a proper negotiated
settlement
  he question of Hong Kong, which is left over from the past, is 
con-
  ve to the maintenance of the prosperity and stability of Hong Kong
and
  he further strengthening and development of the relations between 
the
  countries on a new basis. To this end, they have, after talks 
between
  delegations of the two Governments, agreed to declare as follows:
  
  he Government of the People's Republic of China declares 
that to
  ver the Hong Kong area (including Hong Kong Island, Kowloon and 
the
  Territories, hereinafter referred to as Hong Kong) is the 
common
  ration of the entire Chinese people, and that it has decided to
resume
  exercise of sovereignty over Hong Kong with effect from 1 July
1997.
  
  he Government of the United Kingdom declares that it will restore
Hong
  to the People's Republic of China with effect from 1 July 1997.
  
  he Government of the People's Republic of China declares 
that the
  c policies of the People's Republic of China regarding Hong Kong 
are
  ollows:
  Upholding national unity and territorial integrity and taking 
account
  he history of Hong Kong and its realities, the People's 
Republic of
  a has decided to establish, in accordance with the 
provisions of
  cle 31 of the Constitution of the People's Republic of China, a 
Hong
  Special Administrative Region upon resuming the 
exercise  of
  reignty over Hong Kong.
  The Hong Kong Special Administrative Region will be directly
under the
  ority of the Central People's Government of the People's 
Republic of
  a. The Hong Kong Special Administrative Region will enjoy 
a high
  ee of autonomy, except in foreign and defence affairs which are 
the
  onsibilities of the Central People's Government.
  The Hong Kong Special Administrative Region will be 
vested with
  utive, legislative and independent judicial power, including 
that of
  l adjudication. The laws currently in force in Hong Kong will 
remain
  cally unchanged.
  The Government of the Hong Kong Special Administrative Region
will be
  osed of local inhabitants. The chief executive will be 
appointed by
  Central People's Government on the basis of the results of 
elections
  onsultations to be held locally. Principal officials will be
nominated
  he chief executive of the Hong Kong Special Administrative Region 
for
  intment by the Central People's Government. Chinese and 
foreign
  onals previously working in the public and police services 
in the
  rnment departments of Hong Kong may remain in employment. British 
and
  r foreign nationals may also be employed to serve as advisers or 
hold
  ain public posts in government departments of the Hong Kong 
Special
  nistrative Region.
  The current social and economic systems in Hong Kong will 
remain
  anged, and so will the life-style. Rights and freedoms, 
including
  e of the person, of speech, of the press, of assembly, of
association,
  ravel, of movement, of correspondence, of strike, of 
choice of
  pation, of academic research and of religious belief will be 
ensured
  aw in the Hong Kong Special Administrative Region. Private 
property,
  rship of enterprises, legitimate right of inheritance and 
foreign
  stment will be protected by law.
  The Hong Kong Special Administrative Region will retain the
status of
  ee port and a separate customs territory.
  The Hong Kong Special Administrative Region will retain the
status of
  nternational financial centre, and its markets for foreign 
exchange,
  , securities and futures will continue. There will be free 
flow of
  tal. The Hong Kong dollar will continue to circulate and remain
freely
  ertible.
  The Hong Kong Special Administrative Region will have 
independent
  nces. The Central People's Government will not levy taxes on the 
Hong
  Special Administrative Region.
  
  The Hong Kong Special Administrative Region may establish 
mutually
  ficial economic relations with the United Kingdom and other
countries,
  e economic interests in Hong Kong will be given due regard.
  Using the name of "Hong Kong, China", the Hong Kong 
Special
  nistrative Region may on its own maintain and develop 
economic and
  ural relations and conclude relevant agreements with states, 
regions
  relevant international organizations. The Government of the
Hong Kong
  ial Administrative Region may on its own issue travel 
documents for
  y into and exit from Hong Kong.
  The maintenance of public order in the  Hong  Kong 
Special
  nistrative Region will be the responsibility of the Government
of the
  Kong Special Administrative Region.
  The above-stated basic policies of the People's Republic of 
China
  rding Hong Kong and the elaboration of them in Annex I to this 
Joint
  aration will be stipulated, in a Basic Law of the Hong Kong 
Special
  nistrative Region of the People's Republic of China, by the 
National
  le's Congress of the People's Republic of China, and they will 
remain
  anged for 50 years.
  
  he Government of the United Kingdom and the Government of the
People's
  blic of China declare that, during the transitional period
between the
  of the entry into force of this Joint Declaration and 30 June 
1997,
  Government of the United Kingdom will be responsible 
for the
  nistration of Hong Kong with the object of maintaining and 
preserving
  economic prosperity and social stability; and that the 
Government of
  People's Republic of China will give its cooperation 
in this
  ection.
  
  he Government of the United Kingdom and the Government of the
People's
  blic of China declare that, in order to ensure a smooth 
transfer of
  rnment in 1997, and with a view to the effective 
implementation of
  Joint Declaration, a Sino-British Joint Liaison Group will be set 
up
  this Joint Declaration enters into force; and that it 
will be
  blished and will function in accordance with the provisions of 
Annex
  o this Joint Declaration.
  
  he Government of the United Kingdom and the Government of the
People's
  blic of China declare that land leases in Hong Kong and other 
related
  ers will be dealt with in accordance with the provisions of Annex 
III
  his Joint Declaration.
  
  he Government of the United Kingdom and the Government of the
People's
  blic of China agree to implement the preceding declarations 
and the
  xes to this Joint Declaration.
  
  his Joint Declaration is subject to ratification and shall enter 
into
  e on the date of the exchange of instruments of ratification, 
which
  l take place in Beijing before 30 June 1985. This Joint 
Declaration
  its Annexes shall be equally binding. Done in duplicate at
Beijing on
  ecember 1984 in the English and Chinese languages, both texts 
being
  lly authentic.
  the                  For the
  rnment of the United Kingdom     Government of the
  reat Britain and Northern Ireland   People's Republic of China
  rate Thatcher             Zhao Ziyang
 ANNEX I: ELABORATION BY THE GOVERNMENT OF THE PEOPLE'S REPUBLIC OF 
CHINA OF ITS BASIC POLICIES REGARDING HONG KONG
  
  Government of the People's Republic of China elaborates the 
basic
  cies of the People's Republic of China regarding Hong Kong as set 
out
  aragraph 3 of the Joint Declaration of the Government of the 
United
  dom of Great Britain and Northern Ireland and the Government of 
the
  le's Republic of China on the Question of Hong Kong as follows:
  
  
  Constitution of the People's Republic of China stipulates in 
Article
  hat "the state may establish special administrative 
regions when
  ssary. The systems to be instituted in special administrative 
regions
  l be prescribed by laws enacted by the National People's 
Congress in
  light of the specific conditions." In accordance with this 
Article,
  People's Republic of China shall, upon the resumption of the 
exercise
  overeignty over Hong Kong on 1 July 1997, establish the Hong 
Kong
  ial Administrative Region of the People's Republic of China.  
The
  onal People's Congress of the People's Republic of China shall 
enact
  promulgate a Basic Law of the Hong Kong Special Administrative 
Region
  he People's Republic of China (hereinafter referred to as the 
Basic
  in accordance with the Constitution of the People's 
Republic of
  a, stipulating that after the establishment of the Hong Kong 
Special
  nistrative Region the socialist system and socialist policies 
shall
  be practised in the Hong Kong Special Administrative Region and 
that
  Kong's previous capitalist system and life-style shall 
remain
  anged for 50 years.
  Hong Kong Special Administrative Region shall be directly 
under the
  ority of the Central People's Government of the People's 
Republic of
  a and shall enjoy a high degree of autonomy. Except for foreign 
and
  nce affairs which are the responsibilities of the Central 
People's
  rnment, the Hong Kong Special Administrative Region shall be 
vested
  executive, legislative and independent judicial power, including
that
  inal adjudication. The Central People's Government shall
authorise the
  Kong Special Administrative Region to conduct on its own 
those
  rnal affairs specified in Section XI of this Annex.
  government and legislature of the Hong Kong Special 
Administrative
  on shall be composed of local inhabitants. The chief executive
of the
  Kong Special Administrative Region shall be selected by 
election or
  ugh consultations held locally and be appointed by the 
Central
  le's Government. Principal officials (equivalent to Secretaries)
shall
  nominated by the chief executive of  the  Hong  Kong 
Special
  nistrative Region and appointed by the Central People's 
Government.
  legislature of the Hong Kong Special Administrative Region 
shall be
  tituted by elections. The executive authorities shall abide by
the law
  shall be accountable to the legislature.
  ddition to Chinese, English may also be used in organs of 
government
  in the courts in the Hong Kong Special Administrative Region.
  t from displaying the national flag and national emblem 
of the
  le's Republic of China, the Hong Kong Special Administrative 
Region
  use a regional flag and emblem of its own.
  
  
  r the establishment of the Hong Kong Special Administrative 
Region,
  laws previously in force in Hong Kong (i. e. the common law, rules 
of
  ty, ordinances, subordinate legislation and customary law) 
shall be
  tained, save for any that contravene the Basic Law and subject
to any
  dment by the Hong Kong Special Administrative Region legislature. 
The
  slative power of the Hong Kong Special Administrative Region
shall be
  ed in the Legislature of the Hong Kong Special Administrative 
Region.
  legislature may on its own authority enact laws in accordance with
the
  isions of the Basic Law and legal procedures, and report them to 
the
  ding Committee of the National People's Congress for the record. 
Laws
  ted by the legislature which are in accordance with the Basic Law 
and
  l procedures shall be regarded as valid.
  laws of the Hong Kong Special Administrative Region shall be the
Basic
  and the laws previously in force in Hong Kong and laws enacted
by the
  Kong Special Administrative Region legislature as above.
  
  
  r the establishment of the Hong Kong Special Administrative 
Region,
  judicial system previously practised in Hong Kong shall be 
maintained
  pt for those changes consequent upon the vesting in the courts
of the
  Kong Special Administrative Region of  the  power  of 
final
  dication.
  cial power in the Hong Kong Special Administrative Region 
shall be
  ed in the courts of the Hong Kong Special Administrative Region. 
The
  ts shall exercise judicial power independently and free 
from any
  rference. Members of the judiciary shall be immune from legal 
action
  espect of their judicial functions. The courts shall decide 
cases in
  rdance with the laws of the Hong Kong Special Administrative 
Region
  may refer to precedents in other common law jurisdictions. 
Judges of
  Hong Kong Special Administrative Region courts shall be 
appointed by
  chief executive of the Hong Kong Special Administrative Region 
acting
  accordance with the recommendation of an independent 
commission
  osed of local judges, persons from the legal profession and 
other
  ent persons. Judges shall be chosen by reference to their 
judicial
  ities and may be recruited from other common law 
jurisdictions. A
  e may only be removed for inability to discharge the functions
of his
  ce, or for misbehaviour, by the chief executive of the 
Hong Kong
  ial Administrative Region acting in accordance with the
recommendation
  tribunal appointed by the chief judge of the court of final 
appeal,
  isting of not fewer than three local judges. 
Additionally, the
  intment or removal of principal judges (i. e. those of the 
highest
  ) shall be made by the chief executive with the endorsement of 
the
  Kong Special Administrative Region legislature and reported 
to the
  ding Committee of the National People's Congress for the record. 
The
  em of appointment and removal of judicial officers other than 
judges
  l be maintained.
  power of final judgment of the Hong Kong Special Administrative
Region
  l be vested in the court of final appeal in the Hong Kong 
Special
  nistrative Region, which may as required invite judges from 
other
  on law jurisdictions to sit on the court of final appeal.
  osecuting authority of the Hong Kong Special Administrative 
Region
  l control criminal prosecutions free from any interference.
  he basis of the system previously operating in Hong Kong, the 
Hong
  Special Administrative Region Government shall on its 
own make
  ision for local lawyers and lawyers from outside the Hong Kong
Special
  nistrative Region to work and practise in the Hong Kong 
Special
  nistrative Region.
  Central People's Government shall assist or authorise the Hong 
Kong
  ial Administrative Region Government to make appropriate 
arrangements
  reciprocal juridical assistance with foreign states.
  
  
  r the establishment of the Hong Kong Special Administrative 
Region,
  ic servants previously serving in Hong Kong in all 
government
  rtment, including the police department, and members of the 
judiciary
  all remain in employment and continue their service 
with pay,
  wances, benefits and conditions of service no less 
favourable than
  re. The Hong Kong Special Administrative Region government 
shall pay
  uch persons who retire or complete their contracts, as well 
as to
  e who have retired before 1 July 1997, or to their dependants, 
all
  ions, gratuities, allowances and benefits due to them on terms
no less
  urable than before, and irrespective of their nationality or
place of
  dence.
  Hong Kong Special Administrative Region Government may employ 
British
  other foreign nationals previously serving in the public 
service in
  Kong, and may recruit British and other foreign nationals 
holding
  anent identity cards of the Hong Kong Special Administrative
Region to
  e as public servants at all levels, except as heads 
of major
  rnment departments (corresponding to branches or 
departments at
  etary level) including the police department, and as deputy 
heads of
  of those departments. The Hong Kong Special Administrative 
Region
  rnment may also employ British and other foreign nationals as
advisers
  overnment departments and, when there is a need, may recruit
qualified
  idates from outside the Hong Kong Special Administrative 
Region to
  essional and technical posts in government departments, 
The above
  l be employed only in their individual capacities and, like 
other
  ic servants, shall be responsible to the  Hong  Kong 
Special
  nistrative Region Government.
  appointment and promotion of public servants shall be on the basis 
of
  ifications, experience and ability. Hong Kong's previous 
system of
  uitment, employment, assessment, discipline, training and 
management
  the public service (including special bodies for appointment, pay 
and
  itions of service) shall, save for any provisions providing
privileged
  tment for foreign nationals, be maintained.
  
  
  Hong Kong Special Administrative Region shall deal on its own 
with
  ncial matters, including disposing of its financial 
resources and
  ing up its budgets and its final accounts. The Hong Kong 
Special
  nistrative Region shall report its budgets and final accounts to 
the
  ral People's Government for the record.  The Central 
People's
  rnment shall not levy taxes on the Hong Kong Special 
Administrative
  on. The Hong Kong Special Administrative Region shall 
use its
  ncial revenues exclusively for its own purposes and they shall
not be

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对伪证罪的分析与认定

郭辉


  如何确定伪证罪,是司法实践中一大难题。根据1997年新刑法实施以来的经验总结和实际情况,笔者以为在兼顾公正与效率情况下,应从立法上进一步对伪证罪予以明确、细化和完善。
  犯罪嫌疑人甲是一个国有公司的经理,他利用职权将9000元公款据为已有。在检察机关讯问过程中,甲辩称其将9000元作1997年年终奖金,在副经理、司机及其本人三人中分了。副经理及司机表示在1997年年终并没有收取过年终奖金。根据副经理、司机的证词和其他相关证据,检察机关以贪污罪将甲移送起诉。在起诉过程中,副经理和司机在律师和起诉部门取证中表示:甲将该9000元公款作1997年年终奖金在三人中分配,副经理和司机从中分得3500元和1700元。检察机关再次取证中,副经理承认自己在侦查过程中所说的是实话,不过考虑到甲可怜,就为其作了伪证。而司机则外逃。基于这份证词和其他相关证据,法院一审以贪污罪对甲作了有罪判决。甲不服上诉,在二审过程中,副经理再次向律师、法院作证称:其知道甲将9000元公款在三人中分配一事,并称自己分得3000元。检察机关又向副经理取证,副经理再次表示自己作了伪证,而作伪证的原因是因为自己同情甲。
  针对这个案例,我们提出以下三个亟待解决的问题:一是如果副经理坚持其伪证行为,司法机关能否以伪证罪追究其刑事责任?二是如果副经理知道司机的下落,但在司法机关取证时谎称不知道,那么这种行为会构成伪证罪吗?三是如果副经理在司法机关取证中保持沉默,我们应当如何认定其行为?
  一、副经理伪证行为不会构成犯罪
  (一)副经理伪证行为在司法实践中的认定。针对第一个问题,司法实践所能给出的答复是:如果副经理坚持其伪证行为,那么司法机关将无法追究其刑事责任。
  刑法第三百零五条规定:在刑事诉讼中,证人、鉴定人、翻译人,对与案件有重要关系的情节,故意作虚假证明、鉴定、记录、翻译,意图陷害他人或者隐匿罪证的,处三年以下有期徒刑或者拘役;情节严重的,处三年以上七年以下有期徒刑。从伪证罪的规定可以看出,证人构成伪证罪有两种情况:一是主观上意图陷害他人,客观上故意作虚假证明;二是主观上意图隐匿罪证,客观上故意作虚假证明。那么,我们从本案的两个阶段来分析副经理的行为是否会构成犯罪。
  在副经理第一次作伪证时,甲正处于起诉阶段。假设副经理隐匿甲罪证的行为得逞,甲将极有可能因无罪而免诉。在这种情况下,甲既然“无罪”,副经理当然不会存在“隐匿罪证”的行为,从而司法机关不可能以伪证罪第二种情况来对副经理立案侦查;对伪证罪第一种情况而言,副经理会有许多理由来说明其在侦查阶段的证词不会是“意图陷害”甲,甲也会证明副经理不会“意图陷害”他。这样,司法机关将不可能以伪证罪第一种情况来追究副经理的法律责任。所以,在副经理第一次作伪证时,如果检察机关不能对其形成突破,那么,在没有其他证据的情况下,甲会“无罪”,而副经理不会受到法律的追究。在副经理第二次作伪证时,甲已经一审宣判有罪并判刑,该案正处于二审期间。假设副经理的伪证行为得逞且其一直坚持其伪证证词,那么,在没有其他证据情况下,甲同样极有可能因“事实不?[,证据不足”而最终被判“无罪”。司法机关仍不能以伪证罪第二种情况来对副经理立案侦查;当然,基于甲因副经理的证词被一审宣判有罪,可以考虑按照伪证罪的第一种情况来追究其法律责任,然而,这在实践中是难以做到的。因甲被判无罪,检察机关将处于相当的压力之下,如果再追究副经理的伪证行为,会使检察机关面对更大的压力。所以,在副经理第二次作伪证时,如果检察机关不能对其形成突破,那么,甲将会“无罪”,副经理也不会受到法律追究。
  因此,就本案而言,副经理的伪证行为可以认为没有任何风险,伪证罪的规定在本案中,将无法适用。尤其值得注意的是,当副经理承认了自己的伪证行为之后,他反而有可能因伪证罪被追究法律责任。
(二)、伪证罪内在的不完善。为什么会出现上述情况呢?这是因为新刑法在伪证罪的规定上还有不尽完善的地方。从根本而言,作伪证的目的不过是致人以罪和使犯罪人脱罪这两种。企图致人以罪就是前述的伪证罪的第一种情况“意图陷害他人”,使犯罪人脱罪就是前述的伪证罪的第二种情况“隐匿罪证”。虽然这是伪证者的主观目的,不过,如果将其作为伪证罪的主观方面在刑法中界定出来,就会在司法认定中引起问题。例如:就伪证罪的第二种情况而言,当刑法将“隐匿罪证”作为伪证罪的主观方面的构成来规定时,就将伪证罪与伪证人企图证明的犯罪联系了起来。也就是说,只有当伪证所针对的犯罪被法院认定之后,伪证罪才成立。所以,这种联系本身在理论上是正确的,不过在某些情况中它使伪证罪难以认定。
就本案而言,副经理的证词在没有其他证据情况下,将是对证明甲贪污行为的最有力证据,即:副经理如实作证,就将认定甲将9000元据为已有,甲构成贪污罪;副经理作伪证,就将否认甲将9000元据为已有,甲“无罪”。所以,当副经理作伪证后,就将面对这样两种情况:一是在检察机关询问时,承认自己的伪证行为,从而甲构成贪污罪,自己构成伪证罪;二是在检察机关询问时,否认自己有伪证行为,坚持伪证证词,则甲“无罪”,自己亦“无罪”。基于目前伪证罪规定造成的这种选择,不仅使伪证人在实际上无可选择,也使检察机关在取证上难度加大。
  (三)、思考与借鉴。伪证罪在客体上是妨碍司法秩序的犯罪行为,从这个意义上说,伪证行为人的行为只与其是否故意作伪证有关,至于这种故意的目的是什么,并不会使这种行为的性质发生变化。因此,如果将伪证罪的客观方面以“对司法机关不实陈述”为要件,主观方面只以行为人“故意”实施伪证行为为要件,应更符合伪证罪的实际。
  国外的一些立法提供了借鉴。《法国刑法典》第434-13条规定:“向任何法院或者向任何执行另一法院之委托办案的司法警察官员宣誓作伪证的,处5年监禁并科50万法郎罚金。但如作伪证的人在预审法院或判决法院作出终结审判程序的裁定之前,自动撤销其证明者,不罚”i。《加拿大刑事法典》第131条规定:“(1)、在适用第(3)款之前提下,任何人明知其陈述不实,仍意图误导,以誓言或庄严声明,宣誓书,庄严声明或证词或口头形式,面对经合法授权可听取证据者作不实陈述,为伪证罪。(2)、无论是否于司法程序中作出第(1)款述及之陈述,第(1)款均适用。(3)、对未经法律特别许可,授权或要求的作证者作出第(1)款述及之陈述,第(1)款不适用”。上述国家关于伪证罪的规定,都以伪证者“宣誓伪证”或“不实陈述”作为伪证罪的客观方面,以伪证者故意作伪证为其主观方面,从而不将其与伪证所针对的犯罪相联系。法国刑法还规定伪证人自动撤销伪证的,不罚,以鼓励伪证者自动承认其伪证行为,免除了伪证人在作伪证之后的两难处境。
  从法理而言,伪证是妨碍司法活动的行为,在界定伪证罪时将其与伪证针对的犯罪区分开,这是有一定理论依据的。就笔者前述案例而言,如果刑法中规定以“证人不实陈述”为构成伪证罪的客观要件,以行为人的“故意”为主观要件,那么,无论该副经理在起诉和二审中如何作伪证,是否坚持其伪证都不会影响到司法机关对其以伪证罪立案侦查;如果刑法中进一步规定“在法院判决前,伪证者自动承认其伪证行为的,不罚”,那么,这将促使该副经理尽快改正其伪证行为。
  二、“不实陈述”的含义
  前述第二个问题是:如果副经理知道司机的下落,但在司法机关取证时谎称不知道,那么这种行为会构成伪证罪吗?这个问题的涉及到伪证罪中“不实陈述”iii的含义是什么?
  我们知道,刑事诉讼包括司法机关侦查、起诉和法院判决活动。这些活动必然要通过询问知道案件事实或知道与案件有关事实的证人来达到查明案情的目的。所以,证人作证的义务,既包括对案件事实作证,也包括对一切与案件有关的事实作证。而证人无论对上述任何一点作伪证,都是没有尽到其法定义务,必将妨害司法机关的活动,从而构成违法行为。这种违法行为,如果针对的是与案件有重要关系的情节或与侦查、起诉活动有重要关系的事实,则构成犯罪行为。法国刑法典第434-12条专门规定:“公开承认自己认识重罪或轻罪之罪犯,但拒绝回答法官就此向其提出的问题的,处1年监禁并科10万法郎罚金。”iv从这一条文可以看出,法国刑法不仅认可证人必须就与侦查、起诉活动有重要关系的事实如实作证,而且还专门就犯罪嫌疑人问题做出专门的规定,将其从伪证罪中分离出来。因此,我们可以得出结论:“不实陈述”是行为人针对与案件有重要关系的情节或与侦查、起诉活动有重要关系的事实,故意做出的违反客观事实的陈述。
  三、证人、沉默权、拒绝作证权
  前述第三个问题,就是司法实践中常见的证人拒绝作证的问题。在刑事诉讼过程中,证人作证可能出现的情况,除如实作证、作伪证外,还有拒绝作证。拒绝作证体现为在司法机关取证过程中,证人以保持沉默、公然拒绝作证等方式不履行其作证的义务。证人拒绝作证,当然不是作伪证,不过,这同样也是妨碍司法活动的行为。由于我国的刑事诉讼法中对它没有相应的规定,所以在此作一探讨。
  沉默权是西方国家无罪推定体系中的一部分,其目的是尊重犯罪嫌疑人在作出陈述方面的自由意志和自由选择权,要求司法机关不得强迫犯罪嫌疑人作出不利于自己的供述,不因犯罪嫌疑人保持沉默或者故意作出虚假陈述而使其承受任何不利的法律后果。因此,沉默权是犯罪嫌疑人所特有的。而证人,则无论我国还是西方国家都要求其必须如实作证。我国刑法中,证人必须如实作证是基于刑事诉讼法第三十七条:“凡是知道案件情况的人都有作证的义务。”也就是说,证人必须把所知道的案件事实全部如实告诉司法机关,可见作伪证、拒绝作证都是违法行为。
  西方国家除规定了证人必须如实作证及伪证罪外,对证人拒绝作证还作了具体的规定。如《德国刑事诉讼法典》第七十条规定:“(一)证人无法定理由却拒绝作证、宣誓的,要承担因拒绝造成的费用。对他同时还要科处秩序罚款和不能交纳罚款时易处秩序羁押。(二)为了强制作证,也可以命令羁押,但羁押时间不得超过本诉讼审级程序的终结时间,也不得超过六个月。”《意大利刑事诉讼法典》第207条也有着相类似的规定。
  当然,西方国家在规定证人必须如实作证的同时,还赋予了证人拒绝作证权,其基本内容为犯罪嫌疑人的配偶、订婚人或其他近亲属可拒绝作证,神职人员可拒绝提供忏悔者的秘密,辩护人、医生可拒绝提供因职业获知的秘密等等。这些规定是西方国家基于对家庭、职业的利益、价值的考虑而设立的,与沉默权相区别的,与证人作证义务相配套的,建立于“排除合理怀疑”这一证明标准之上的法律规定。因此,它并不适合于我国现有的刑事诉讼法律体系。
  我们可以得出结论,证人在刑事诉讼过程中,是不能以沉默等方式拒绝作证的。当然,为了使因此证人不能拒绝作证。当然,为了使我国司法机关在取证过程中能够更有效率,应当把证人拒绝作证的刑事责任以及对证人的保护措施和经济措施予以配套,并规定在我国的刑事诉讼法中。
  四、立法建议
  综上所述,建议我国刑法对伪证罪的构成要件作相应的修改,以“对司法机关不实陈述”为伪证罪的客观方面要件,以“故意”实施该行为为主观要件,并且规定“在法院判决前,伪证者自动承认其伪证行为的,不罚”。此外,增加证人拒绝作证的刑事责任的规定、对证人的保护措施、经济措施的规定。相信,这可以使伪证罪的立法更为完善。


北安市人民法院 郭辉