【作者】 罗高鹏；

【导师】 张旭；

【作者基本信息】 吉林大学 ， 刑法学， 2011， 博士

【摘要】 本文对中国东北三省黑社会性质组织犯罪展开了实证研究,共分四个部分。第一部分为展开此次实证研究的研究思路,主要包括了研究动因和具体研究路径两方面的内容。首先,笔者阐述了此次研究的研究动因。即:拓展黑社会性质组织犯罪研究之视角,探求黑社会性质组织犯罪研究之方法。在研究视角上,由于传统规范学研究存在对于当前中国黑社会性质组织犯罪的现象总结不够、原因分析不深、提出的防治策略针对性不强的弱点,因此,我们有必要暂时将目光从理论转向实践,运用实证分析的方法来研究黑社会性质组织犯罪这一课题。在分析的方法上,笔者对东北三省黑社会性质组织犯罪展开量化描述、进行个案测量,对黑社会性质组织犯罪原因的分析了进行拓展,注重定量分析与定性分析相结合,在认知犯罪规律过程中注重了系统论的运用,力求做好此次实证研究。其次,笔者对此次实证研究路径作出介绍。在样本选择上,选择“中国东北三省黑社会性质组织犯罪”,即黑龙江省、吉林省和辽宁省司法机关已经判决的黑社会性质组织犯罪,在具体样本选取时注重样本的代表性、权威性、标志性以及时效性,并依据研究需求设定了各项调查指标。研究步骤为:提取数据、软件分析,以实证数据为基础、总结出东北三省黑社会性质组织犯罪的现状及特点,探求东北三省黑社会性质组织犯罪产生和发展的原因,进而提出防控策略,最终完成此次实证研究。第二部分,文章从组织特征、行为特征、经济特征以及“保护伞”特征四个方面对东北三省黑社会性质组织犯罪现状展开分析。(一)东北三省黑社会性质的组织特征如下:第一,在组织结构上,(1)东北三省黑社会性质组织具有紧密型结构、半紧密型结构和松散型结构三种表现形态,且以半紧密型结构为主。其划分的主要依据是组织的组织者、骨干成员和一般成员的关系是否稳定、紧密。(2)东北三省黑社会性质组织多为自发形成,而非从境外组织发展延伸至境内。(3)东北地区黑社会性质组织成立时间大部分集中在二十世纪末本世纪初,且在2000年之后的黑社会性质组织数量较多,说明近年来东北三省的黑社会性质组织不断发展,较前几年更为严重。第二,在组织成员的特点上,(1)犯罪成员以男性为主。(2)年龄结构轻。(3)文化程度普遍偏低。(4)犯罪人身份以城市无业人员为主。(5)少数民族所占比率不大。(6)黑社会性质组织的成员具有复杂性,“两劳”释放人员占有很大比重。(7)组织成员间往往具有同乡关系、同事关系或者亲缘关系。(8)大多数组织成员参加组织时间较长。(二)东北三省黑社会性质组织犯罪行为具有如下特点:第一,犯罪手段以“软暴力”为主,且经历了一个由以“纯暴力”为主到“软暴力”为主的转变过程。第二,犯罪方式较为传统,不仅犯罪工具较为传统,而且犯罪活动由有组织暴力犯罪和日常的小型犯罪相结合,触犯的罪名也集中于传统罪名。第三,犯罪目的牟利性较强,暴力行为与侵财、获取非法利益紧密相关。第四,犯罪活动范围区域化特征明显,虽然流动性不大,但一些犯罪活动已经扩大到境外。(三)东北三省黑社会性质组织的经济特征具有以下特点:第一,通过暴力垄断来攫取经济利益,这种垄断表现为自然区域的垄断和行业范围内的垄断。第二,“以合法化经营为掩护”日渐普遍化。第三,东北三省黑社会性质组织对资本的经营能力不强,主要表现在,资金来源主要是犯罪所得而非经营所得、攫取到的资金主要用来挥霍而非再投资这两个方面。(四)东北三省黑社会性质组织犯罪的“保护伞”具有以下特点:第一,“保护伞”存在范围广,为黑社会性质组织提供保护的“保护伞”分布在公安、法院等司法机构以及行政机构内部,且此次调查结果显示,以分布于公安系统居多。第二,东北三省黑社会性质有组织犯罪保护伞级别较低,多为县处级以下级别官员。第三,“保护伞”与黑社会性质组织之间的关系较为复杂,通过定性归纳,可以将东三省黑社会性质组织与“保护伞”的关系归纳为控制关系、同一关系以及亲情关系三种。第三部分中,笔者对东北三省黑社会性质组织犯罪的原因展开分析。通过对犯罪原因各种理论的梳理,可以看到,引起犯罪发生的原因,既是多方面的,又是多层次的,是由诸因素排列出的一个多维系统,在分析东北三省黑社会性质组织犯罪的原因时,我们需要将这个原因网络放置于东北三省这一地域环境下去思考,不仅要分析外部环境因素对黑社会性质组织犯罪的产生、发展的作用,同时也要看到在东北三省黑社会性质组织中的犯罪人自身原因的重要性。在这个原因系统中,一些因素不仅导致东北三省黑社会性质组织出现,同样也导致了我国乃至世界其他国家黑社会组织出现,笔者称它为“共同因素”,而另一部分因素是东北三省在社会发展中所独有的,比如经济发展状况、文化传统、群体个性、地理环境等等方面,正是这些因素导致了东北三省黑社会性质组织犯罪不同于国内其他地区黑社会性质组织的特征出现,笔者称它为“特殊因素”。基于此,笔者从“共同因素”和“特殊因素”两方面来分析东北三省黑社会性质组织犯罪的成因。共同因素主要包括以下几个方面:(一)经济体制转轨中出现的负效应:“商品交换法则”带来不良影响,市场经济发展过程中出现了社会分层。(二)政治现代化过程中的公共权力功能性障碍:公共权力对社会组织及人员的控制力减弱,公共权力存在管理真空地带,公共权力对法治依赖程度不够。(三)文化多元化发展中的负效应:文化传播中的失控,犯罪亚文化的形成。特殊因素主要包括以下几个方面:(一)“东北现象”与东北三省经济发展。由于东北三省在破除“东北现象”过程中的产业结构调整问题层出,导致国有企业改制过程中大量工人下岗且无法安置;第一产业相对发达,第二产业尤其是第三产业相对落后的经济现状和经济意识在一定程度上影响了黑社会性质组织的经济特点;经济体制转轨过程中的“管理真空地带”为黑社会性质组织犯罪的滋生和发展提供了土壤。(二)多元文化与东北三省传统文化的继承,东北地区传统游民文化中的“流民意识”与当代以暴力和色情为核心的犯罪亚文化不期而遇,两者相互辅助和循环,为东北地区黑社会性质组织犯罪的滋生与发展提供了丰厚的精神土壤。(三)“闯关东”与东北人群体性格的形成。从总体上看,东北人群体性格的形成是在关内人数次“闯关东”的过程中逐渐发展与固定的,豪爽、彪悍的秉性,行帮意识、血亲集团意识浓重,乡村文化本位等意识特点决定了东北地区黑社会性质组织的一些特征。(四)东北三省特殊的地理环境及气候等自然条件:地广人稀的地理状态使社会管理容易出现漏洞;东北地区与日本、俄罗斯等国家毗邻,这些国家的黑社会犯罪已经发展到较高形式,较为“高级”的黑社会组织信息更加方便地流入,同时容易滋生跨国犯罪;寒冷的气候条件与东北地区黑社会性质组织一些特点的形成具有关联性。通过对犯罪原因系统中各个因素的分析,我们发现东北地区黑社会性质组织犯罪及其特点产生和发展的原因并不是单方面的,多个因素中的诸要素与黑社会组织及其行为特征也不是一对一的直接对应关系,在这个犯罪原因系统中,涉及政治要素、经济要素、文化要素甚至地理环境等自然要素等各个方面,我们要在尽量把握影响黑社会性质组织犯罪形成和发展的各种要素的同时,进一步从系统的角度把握诸要素以及诸要素之间的关系,在把握东北三省黑社会性质组织犯罪原因系统时,要注重把握其整合性、动态性和复杂性。只有如此,才能依据犯罪规律对黑社会性质组织犯罪发生的各种原因进行排序,抓住主要的、深层次的原因,并利用犯罪规律、依据有层次的犯罪原因进一步研究防止黑社会性质组织犯罪发生的治理对策,这也是本文研究的落脚点所在。文章第四部分探讨了对东北三省黑社会性质组织犯罪的控制和预防,共分为三节。在第一节,笔者对构建防控体系的路径作出探讨。首先,厘清了几对概念间的基本关系,即“预防”和“控制”的关系、“防控措施”和“防控体系”的关系、以及“特殊”和“一般”的关系。其次,确立了防控体系构建的基本路径,确立社会治安综合治理为防控体系的指导思想和战略方针,防控体系的基本架构应当包括一般性措施和特殊性措施两大部分。所谓一般性措施,是指需要从全国视角构建的经济发展措施、政治发展措施等宏观措施,这些措施不仅在控制和预防东北三省犯罪上发挥作用,在控制和预防全国视野内的犯罪均能够发挥作用。所谓特殊性措施,是指从东北三省黑社会性质组织犯罪特点入手,结合东北三省发展实际制定的措施,这些措施应当具有针对性、时效性和政策性,可以从特殊性措施中抽出其制定规律,同样适用于全国其他地区构建黑社会性质组织犯罪的防控体系。在第二节,笔者对完善防控体系的一般性措施作出探讨。对一般性措施的完善主要包括以下几个方面:第一,完善社会治理措施。(1)要降低经济发展中的负效应,采取有效措施进一步缩小贫富差距,采取措施进一步增加就业机会,加强经济运行监管,主要是加强公司成立资质审查以及加强金融监管等措施。(2)加强教育建设及文化建设。要注重家庭中对子女的品德教育,注重学校中对学生的德育教育。同时政府要加强主流文化宣传,消除黑社会性质组织亚文化的不良影响。(3)加强社区建设,增强对流动人口的控制。(4)严厉打击政治腐败。(5)加强枪支弹药等危险物品管理。(6)进一步完善各项社会保障措施。(7)做好对有组织犯罪人的教育和矫治工作。第二,完善刑事配套措施。首先,笔者对国外黑社会组织犯罪的刑事法控制措施作出考察。其次,对当前我国对黑社会性质组织犯罪的刑事立法概况作出阐释并分析不足之处。主要是对当前《刑法》第二百九十四条以及《刑法修正案(八)》的规定及相关刑事立法状况进行了反思。再次,笔者对黑社会性质组织的刑事立法控制措施提出了建议。即:完善刑法典对黑社会性质组织犯罪的立法规定,完善控制和预防黑社会性质组织犯罪的刑事诉讼程序。第三,完善国际合作措施。主要是:加强预防犯罪和刑事司法人员的交流,建立情报交换制度,加强刑事司法协助措施。在第三节,笔者对完善防控体系的特殊性措施作出探讨。首先,笔者对社会治安综合治理指导下东北三省控制和预防黑社会性质组织犯罪的各项具体措施做出了具体介绍:在打击策略上,坚持“打早打小,打防结合”;打击队伍上,初步实现了专业化;在办理涉黑案件模式上,以属地管辖为主,重大案件异地管辖或上级管辖;建立和完善各部门间的配合协调机制;在战术上实行打黑与反腐并进的模式;建立涉黑犯罪情报信息库,进一步完善黑社会性质组织犯罪的发现机制;建立责任追究制。其次,对当前这些措施进行了反思。笔者认为:东北三省控制和预防黑社会性质组织犯罪的队伍需要进一步专业化,控制和预防黑社会性质组织犯罪的各部门需要进一步加强信息共享和信息交换,侦查人员特殊权利以及证人保护方面的措施尚为空白,要扭转“重打击、轻预防”的倾向,各项措施需要进一步系统化,尤其要加强预防措施体系的构建。最后,笔者提出了完善东北三省特殊措施的完善建议。即:进一步实现“打黑”队伍专业化,尤其是基层队伍专业化,进一步加强各部门间沟通协调,进一步做好信息情报工作,加强东北三省的被害预防,针对东北三省黑社会性质组织犯罪时空特点,有针对性开展专项打击。更多还原

【Abstract】 This paper is divided into four parts ,which launches empirical research on organised crime in the three northeast provinces in China.The first part is the research ideas of how to launch this empirical research.First, the author expounds the research drivers. That is,to evelop the research methods of organised crime, and to explore the perspective of research on organised crime. In the perspective of research, traditional research’s analysis is not deep, the control strategy is not targeted, therefore, we have the necessary for their eyes from theory to practice, an to use empirical analysis method to study the organised crime . In the analysis, the author through the case of measurement, pays attention to the quantitative analysis and qualitative analysis, combining the cognitive process of criminal law theory attention, strive to do the use of the empirical research.Secondly, the author introduces the empirical research path. In the sample selection, the author selects organised crime in " the three provinces in northeast China ", which is , Heilongjiang, Jilin and Liaoning judicial organs have sentenced, and pays attention to samples of authority and symbolic and timeliness, and sets index. Research steps are: to extract data, to analysis by software, and based on empirical data to summarizes the characteristics and reasons of the three northeast provinces organised crime, and then put forward the prevention and control strategy, and finally complete the empirical research.The second part, this article states the characterristics of organised crime in the three northeast provinces from four aspects , which are, the organization characteristics, behavioral characteristics, economic characteristics and "umbrella" features.(a) The organization characteristics are as follows:Firstly, in the organization structure, (1) The organised crime in the three Northeast provinces has three forms: close structure, half of close structure and relax-model structure, and the half of close structure is primarily. The main basis of division is the relationship of organizers, the backbone of organizational members and the general members. (2) The organised crime in the three Northeast provinces mostly spontaneously formed, rather than from overseas. (3) The organised crime in the three Northeast provinces mostly established at the time of the twentieth century and the beginning of this century, which means, the three northeast provinces that in recent years are more severe than a few years ago.Secondly, the characteristics of the organization members, (1) Crime member predominantly are male. (2) Crime members predominantly are young. (3) Crime member always havs low degree. (4) Offenders predominantly are unemployed. (5) Minority nation is of ratio. (6) The members of organised crime is complex, "LiangLao" release personnel occupies a large proportion. (7) Relationship between members tend to have a coworker compatriot relations, or paternity. (8) Most organization members attend organization over a long period of time.(b) The organization behavioral characteristics has the following features:First, the criminal means mainly are "soft violence", and experienced a process of transformation from "pure violence" to "soft violence". Second, the way to crime are traditional,not only the tool, but also the charges. Third, the main purposes is to non-profit-making , and violent behaviors are closely related to obtain illegal benefits. Fourth, criminal activity has strong regional features ,the scope of liquidity is not big, but some crime has expanded to overseas.(c) The organization economic characteristics has the following features:First, the organization establish monopoly to grabs economic benefits by violence, and the monopoly exists in natural areas or industry areas. Second, " to cover the legalization of generalized to business " is common. Third, the underworld organization’s ability of capital management is not strong, mainly displays in, financing source is mainly crime income rather than business income, the funds is mainly used to spending rather than investment again .(d) The organization "umbrella" characteristics has the following features:First, the "umbrella" exists in a wide range, not only in public security, courts, but also in other judicial organs and administrative agencies ,and mainly in public security system. Second, the "umbrella" always have a low officials level. Third, the relationship between "umbrella" and the organization is relatively complex, can be summarized to three kinds, which are, control relation, the same inductive relationship and family relations . The third part, the author analysis the reason of organised crime in the three northeast provinces.Through various theories of crime causes , we can say that the reason which causes crimes is various and multi-level, when analyzing the cause of three northeast provinces underworld organization, we need to put this reason network to the regional environment, not only to analysis the external environment factors , but also the importance of their own reason.In this reason system, some factors in the system not only results in northeast three provinces underworld organization appear, also led to our country and even the other countries underworld organization appear, the author called the factors as "common factors", and the other part of the three northeast provinces factors is unique in the development of the society, such as economic development and cultural traditions, group personality, geographical environment, etc., these factors contributing to the northeast three provinces in organised crime’s different characteristics, the author calls these factors as "special factors". Based on this, the author from the "common factors" and "special factors" to analyze the cause of the underworld organization in the three northeastern provinces.Common factors include the following aspects: (1) the negative effects appeared in economic system transition: "Commodity Exchange rules" brings side effects in the process of the development of market economy, and brings out social stratification. (2) functional disorder in the process of political modernization of public power: the public power on social organization and personnel of control is abate, and the public power’s dependence of rule of law is not enough. (3) the negative effects in the development of cultural diversity: culture spread out and the formation of criminal subculture.Special factors include the following aspects: (1) "northeast phenomenon" and the development of the three northeast provinces economic. Due to the process of "breaking" the northeast phenomenon, industrial structure adjustment problems emerge, which lead to thousands of state-owned enterprise workers laid off and can’t find work again; The first industry is relatively developed, but the secondary industry, especially the third industry is relatively backward,and this state has affected the underworld organization economic characteristics; The process of economic system transition and the "management for vacuum zone" provide the soil for organised crime growth and development. (2) Multicultural and inheritance of traditional culture in the three provinces in northeast China, the“knave consciousness”in the knave culture and the subculture with the core of violence and pornography provide generous spirit soil for the growth and development of organised crime in Northeast. (3)“Brave the journey to Northeast”and the formation of character of the group of Northeast person. Generally speaking, the character of Northeast person formed in the process of“Brave the journey to Northeast”,which is roundly, tough and unity, and that decides the characteristics of the underworld organization in Northease. (4) Special geographical environment and climate and other natural conditions in northeast three provinces: the geographical and population condition leads to social management easy floodgates; Northeast China adjacents to Japan, Russia whoes underworld crime has developed to higher form, and tend to produce transnational crimes; The cold weather conditions is associated with some characteristics of the underworld organization in the Northeast .Through the analysis of the causes system of crime, we find that the reason of the emergence and development of organised crime in the northeast region is not unilaterally, wich involves political elements, economic factors, cultural elements and even geographical environment and other natural elements, we must grasp the the relationship between various elements while grasp the elements,especially the integrity,danamic nature and devolopment of the elements. Only in this way , we can seize the main and deep reasons of organized crime, and find the countermeasures, which is the foothold of this study.The fourth part discusses the control and prevention mesures of the three provinces in northeast China organised crime,and is divided into three quarters.In the first quarter, the author explored the path to construct the prevention and control system of organized crime. Firstly, the author clarified basic relations between three concepts, which are "prevention" and "control", "prevention measures and control measures ",and "special" and "general". Secondly, the author established the basic approach to construct the prevention and control system, which includes general measures and particularity measures. The general measures not only paly roles in the three northeast provinces, but also in the national view. The special measures, combining the characteristics of the three provinces in northeast China, and these measures shall have the characters of pertinence, timeliness and policy, and the rules drawn from particularity measures can be applied to the other regions to prevent and control organized crimes.In the second quarter, the author discussed the pefect for general measures, which includes the following aspects:First, to perfect social management measures. (1) To reduce the negative effects of economic development, to take effective measures to narrow the gap between rich and poor, to take measures to increase employment opportunities,and to strengthen economic operation regulation, which is mainly to strengthen financial regulatory scrutiny and strengthening qualification etc. (2)To Strengthen education and cultural construction. Not only pay attention to family education, but also moral education for students in schools. Meanwhile the government should strengthen the propaganda of mainstream culture, and eliminate the adverse effects of underworld organization subculture. (3) To strengthen the construction of community, and to enhance the control of floating population. (4)To crack down on political corruption. (5)To strengthen the management of guns and other dangerous articles. (6) To perfect social security measures. (7)To work well of correction and education of offenders.Second, to perfect the supporting criminal measures. First, the author state the crime control measures in foreign countries. Secondly, author discussed the defects of current legislation. Thirdly, the author proposed on the underworld organization criminal legislation,which are to perfect legislative regulations,and to perfect criminal proceedings.Third, to perfect international cooperation measures. And that is: to strengthen communication between judicial personnel’s, to establish the system of exchanging information, and to strengthen criminal judicial assistance measures.In the third quarter,the author discussed the particularity measures of how to perfect the prevention and control system.First, the author introduced the specific measures under the guidance of social security comprehensive treatment,which inclued the strategies to blow, the team to strike, the different jurisdiction patterns, the cooperation between the different departments , and responsibility mechanism.Secondly, the auther reflect the current measures. The author said that the group to control organised crime needs further specialization, the department to control organised crime needs further sharing and information exchange, investigators special rights and witness protection measures are still blank, and must strengthen the construction of preventive measures system.Finally, the author puts forward several suggestions on improving the special measures. That is,to achieve the specialization of the group to control organised crime, especially basic-level groups, to strengthen communication between departments, to construct information work system, to strenthen prevention of victims, and to make targeted special blow according to the space-time characteristics of the three northeast provinces in China.更多还原