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People's Procuratorate of Hengshui Prefecture, Hebei Province v. Zhao Jinrong, Xu Zhiguo, Zhao Yongqiang and Liu Shuhong (Case on Dereliction of Duties, Divulging State Secrets, and Illegally Providing State Secrets to Overseas Individuals)
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赵金荣、徐志国、赵永强、刘淑红玩忽职守、泄露国家秘密、为境外人员非法提供国家秘密案
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People’s Procuratorate of Hengshui Prefecture, Hebei Province v. Zhao Jinrong, Xu Zhiguo, Zhao Yongqiang and Liu Shuhong (Case on Dereliction of Duties, Divulging State Secrets, and Illegally Providing State Secrets to Overseas Individuals)
(Case on Dereliction of Duties, Divulging State Secrets, and Illegally Providing State Secrets to Overseas Individuals)
赵金荣、徐志国、赵永强、刘淑红玩忽职守、泄露国家秘密、为境外人员非法提供国家秘密案
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People's Procuratorate of Hengshui Prefecture, Hebei Province v. Zhao Jinrong, Xu Zhiguo, Zhao Yongqiang and Liu Shuhong
(Case on Dereliction of Duties, Divulging State Secrets, and Illegally Providing State Secrets to Overseas Individuals) | | 赵金荣、徐志国、赵永强、刘淑红玩忽职守、 |
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泄露国家秘密、为境外人员非法提供国家秘密案 |
BASIC FACTS | |
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Defendant: Zhao Jinrong, male, 53, former president of Agricultural Bank of China, Hengshui Central Sub-branch in Hebei Province. He was arrested on June 13, 1993. | |
被告人赵金荣，男，５３岁，原系中国农业银行河北省衡水中心支行行长，１９９３年６月１３日被逮捕。 |
Defendant: Xu Zhiguo, male, 47, former vice president of Agricultural Bank of China, Hengshui Central Sub-branch in Hebei Province. He was arrested on June 13, 1993. | |
被告人徐志国，男，４７岁，原系中国农业银行河北省衡水中心支行副行长，１９９３年６月１３日被逮捕。 |
Defendant: Zhao Yongqiang, male, 30, former English teacher of Hengshui Teachers College, Hebei Province. He was arrested on July 27, 1993. | |
被告人赵永强，男，３０岁，原系河北省衡水师范专科学校英语教员，１９９３年７月２７日被逮捕。 |
Defendant: Liu Shuhong, female, 34, former deputy chief of Agricultural Bank of China, Hengshui Central Sub-branch, Foreign Exchange Section. He was arrested on April 1, 1994. | |
被告人刘淑红，女３４岁，原系中国农业银行河北省衡水中心支行外汇业务科副科长，１９９４年４月１日被逮捕。 |
PROCEDURAL POSTURE | |
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The People's Procuratorate of Hebei Province, Hengshui Prefecture Branch, lodged a prosecution with the Intermediate People's Court of Hengshui Prefecture (hereinafter referred to as Hengshui Intermediate Court) against Zhao Jinrong for the crime of dereliction of duties and the crime of divulging state secrets, against Xu Zhiguo (Xu hereafter) for the crime of dereliction of duties and the crime of illegally providing state secrets to overseas individuals, against Zhao Yongqiang for the crime of illegally providing state secrets to overseas individuals, and against Liu Shuhong (Liu hereafter) for the crime of dereliction of duties. | |
河北省人民检察院衡水地区分院以被告人赵金荣犯玩忽职守罪、泄露国家秘密罪，被告人徐志国犯玩忽职守罪、为境外人员非法提供国家秘密罪，被告人赵永强犯为境外人员非法提供国家秘密罪，被告人刘淑红犯玩忽职守罪，向衡水地区中级人民法院提起公诉。 |
It was found out by Hengshui Intermediate Court after trial: | |
衡水地区中级人民法院经审理，查明： |
In the end of March 1993, Zhao Jinrong and Xu negotiated with Francisco Hung Moy and Raymond C. Lee, two Americans (punished in a separate case), in Hengshui, Hebei Province on attracting foreign funds through cooperation from abroad. Zhao Jinrong and Xu readily believed the lies of Moy and Lee that they could bring in a huge amount of funds for Agricultural Bank of China, Hengshui Central Sub-branch (hereinafter referred to as Hengshui ABOC) in the international financial market only if Hengshui ABOC issued standby letters of credit, that Hengshui ABOC did not need to repay the principal or interest for the funds brought in or to bear any liability for the letters of credit issued. On the condition of having little knowledge about the L/C business and the credibility of Moy and Lee, Zhao Jinrong and Xu concluded an agreement with Moy and Lee on bringing in USD 10 billion of foreign funds on behalf of Hengshui ABOC on April 1 and 2, without submitting the matter to the leaders of the bank for collective deliberation and decision, or truthfully reporting it to the local government or the superior bank. On April 4, Zhao Jinrong sent Xu to the Agricultural Bank of China (hereinafter referred to as Headquarters of ABOC) to inquire about the feasibility of bringing in funds. Without inquiring the International Business Department of Headquarters of ABOC, which was in charge of foreign exchange business, Xu went back to Hengshui and told Zhao Jinrong that the Headquarters of ABOC thought it good idea to bring in foreign funds and urged Zhao Jinrong to proceed with the matter. On April 5, Zhao Jinrong and Xu went beyond the bank's scope of business, and issued 200 standby letters of credit, with the amount totaling USD 10 billion, even though Moy and Lee did not provide any counter-guarantee pursuant to the prior commitment. After signing their respective names on the letters of credit upon their duties, Zhao Jinrong and Liu handed over the letters of credit to Moy and Lee, who sent them abroad. On April 7, Hengshui ABOC received a foreign enterprise's inquiry about the standby letters of credit issued. Zhao Jinrong and Liu signed the letter drafted by Moy and Lee for unconditional confirmation of the standby letters of credit, and made a reply to the inquiry. On April 15, Zhao Jinrong and Liu issued a reply letter to another foreign enterprise as per Moy's request. On April 17, Hebei ABOC required Zhao Jinrong and Xu to report their issuance of standby letters of credit. Zhao Jinrong and Xu asked Moy and Lee for the previously promised letter of counter-guarantee in order to cover up their dereliction of duties. Moy and Lee fabricated a standby letter of credit of “United National Republic Bank” at the amount of USD 10 billion. Zhao Jinrong clearly knew that the letter of credit was null and void, but still submitted it to the superior bank. On April 21, a Hong Kong enterprise sent an inquiry letter. Zhao Jinrong and Liu were criticized by the person-in-charge of the superior bank due to their issuance of a reply letter on unconditionally confirming the issued standby letters of credit despite they were not empowered to issue such letters. The standby letters of credit of Hengshui ABOC were mailed abroad and were then sold off directly. Headquarters of ABOC suffered from huge economic losses in order to recourse against these letters of credit, and its financial prestige was also heavily damaged. | |
１９９３年３月底，被告人赵金荣、徐志国在河北省衡水市与美国人梅直方、李卓明（另案处理）洽谈合作引进国外资金事宜。赵金荣、徐志国轻信梅直方、李卓明编造的只需中国农业银行衡水中心支行（以下简称衡水农行）出具备用信用证作为手续，他们便可从国际金融市场为衡水农行引入巨额资金，衡水农行对引入的资金无需还本付息，也不用对所开信用证承担任何责任的谎言，在对信用证业务和梅直方、李卓明的资信程度均不了解的情况下，既不经本行领导集体讨论决定，也不向地方政府和上级银行如实报告，就于同年４月１日至２日，代表衡水农行与梅直方、李卓明签定了引入外资１００亿美元的协议。４月４日，赵金荣派徐志国到中国农业银行（以下简称农业总行）咨询引进外资的可行性。徐志国在农业总行未找主管外汇业务的国际业务部咨询，即返回衡水向赵金荣说：农业总行认为引进外资是件好事，促使赵金荣决定将此事进行下去。４月５日，赵金荣、徐志国在梅直方、李卓明未按事先的承诺提供反担保的情况下，即超越本银行业务范围，开具了２００份备用信用证，总金额达１００亿美元。赵金荣和被告人刘淑红依职务在信用证上签署了各自的姓名后，交给梅直方、李卓明寄往国外。４月７日，衡水农行收到国外一家企业对所开备用信用证的查询。赵金荣、刘淑红签署了由梅直方、李卓明拟定的对备用信用证无条件确认的电函，对查询作了答复。４月１５日，赵金荣又根据梅直方的要求，与刘淑红签发了对国外另一家企业查询的复函。４月１７日，河北省农业银行要求赵金荣、徐志国汇报开具备用信用证的情况，赵金荣、徐志国为掩饰渎职行为，向梅直方、李卓明索要其事先承诺的反担保函。梅直方、李卓明即虚构了一份“联合国家共和银行”１００亿美元的备用信用证。赵金荣明知这份信用证是无效的，仍向上级银行报送。４月２１日，香港一家企业来函查询，赵金荣、刘淑红此时已因无权签发信用证受到上级银行负责人的批评，但仍然签发了无条件确认所开备用信用证的复函。衡水农行的备用信用证寄到国外以后被直接变卖。农业总行为追索这些信用证遭受了巨大的经济损失，其金融信誉亦受到严重损害。 |
On May 26, 1993, Zhao Jinrong attended a meeting at which Headquarters of ABOC decided to request the public security organ to examine Moy's and Lee's swindles (hereinafter referred to as the “May 26” Meeting). Zhao Jinrong clearly knew that the contents of the meeting were a secret matter connected with the major interests of the state, and he was ad hoc instructed by the relevant leader to keep it a secret, but still divulged the contents of the meeting to Xu. In order to help Moy and Lee flee away and conceal their dereliction of duties, Xu wrote down the above said secret matters on a slip and handed it over to Zhao Yongqiang, translator of Hengshui ABOC, and told Zhao to inform Moy of the matter. Meanwhile, Zhao also informed Moy that Hengshui ABOC prepared to entrust him to send a letter to the relevant overseas enterprise to deny the standby letters of credit to as to reduce the losses. Zhao Yongqiang sent the letter to another address provided by Moy, and disrupted Hengshui ABOC's measure of eliminating risks of standby letter of credit. | |
１９９３年５月２６日，被告人赵金荣参加了农业总行决定报请公安机关审查梅直方、李卓明诈骗行为的会议（以下简称“５．２６”会议），赵金荣明知会议内容是事关国家重大利益的秘密事项，并受到有关领导要其保密的特别指示，仍将会议内容泄露给被告人徐志国。徐志国为了使梅直方、李卓明逃走，有利于掩饰其渎职行为，将上述秘密事项写在纸条上交给受衡水农行聘请翻译的被告人赵永强，让其通知给梅直方。同时赵永强还将衡水农行为挽回损失，准备委托其向境外有关企业发送否定备用信用证的电函一事也告知梅直方。赵永强按梅直方提供的另一地址将这一电函发出，破坏了衡水农行这一消除备用信用证风险的措施。 |
Hengshui Intermediate Court held: the “Measures for the Administration of Foreign Exchange Guarantees Provided by Domestic Institutions to Foreign Parties” promulgated by the State Administration of Foreign Exchange prescribe that, the provision of foreign exchange guarantee provided to an overseas institution shall be subject to the approval of the State Administration of Foreign Exchange. Among the specimens of the authorized signatures promulgated by Headquarters of ABOC, there were no specimens of Zhao Jinrong's and Liu's signatures. Moreover, the scope of business on the business license of the International Business Agency of Hengshui ABOC did not cover international settlement and foreign exchange guarantee. Zhao Jinrong was president of Hengshui ABOC, but he failed to perform the president's duties, readily believed the lies of Moy and Lee. He violated the industrial administrative rules by issuing USD 10 billion of standby letters of credit ultra vires, which seriously damaged the property interests and financial prestige of Agricultural Bank of China, and thus caused heavy losses to the interests of the state. His acts constituted the crime of dereliction of duties as prescribed in Article 187 of the Criminal Law of the People's Republic of China, and he should be severely punished according to law. The attendants to the “May 26” Meeting deliberated the matters of reporting the case to the public security organ and of investigating Moy and Lee for the crime of swindle, etc. According to Article 8 (vi) of the “Law of the People's Republic of China on Maintaining State Secrets”, the secret matters are state secrets, and the attendants should be obligated to keep secrets. Zhao Jinrong violated the confidentiality regulations, and divulged secrets discussed at the “May 26” Meeting, with the circumstance being serious. His acts constituted the crime of divulging state secret as prescribed in Article 186 of the Criminal Law of the People's Republic of China, and should be punished according to law. Zhao Jinrong committed more than one crime, and should be subject to combined punishment according to Article 64 (1) of the Criminal Law of the People's Republic of China.
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衡水地区中级人民法院认为：国家外汇管理局发布的《境内机构对外提供外汇担保管理办法》中规定，为境外机构提供外汇担保，应由国家外汇管理局审批。农业总行发布的有权签字样本中，没有被告人赵金荣、刘淑红的签样。况且衡水农行国际业务代理处的营业执照上，也没有国际结算和外汇担保的业务范围。赵金荣身为衡水农行行长，不履行行长的职责，轻信梅直方、李卓明的谎言，违反行业管理规章，越权开出１００亿美元的备用信用证，严重损害了中国农业银行的财产权益和金融信誉，使国家利益遭受重大损失，其行为已构成《中华人民共和国刑法》第一百八十七条规定的玩忽职守罪，应当依法严惩。“５．２６”会议研究了向公安机关报案，追查梅直方、李卓明诈骗犯罪等事项，依照《中华人民共和国保守国家秘密法》第八条第（六）项的规定，属于国家秘密，与会人员有保守秘密的义务。赵金荣违反保密法规，泄露“５．２６”会议秘密事项，情节严重，其行为构成《中华人民共和国刑法》第一百八十六条规定的泄露国家秘密罪，应当依法惩处。赵金荣一人犯数罪，应当依照《中华人民共和国刑法》第六十四条第一款的规定，实行数罪并罚。
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