【作者】 吴锋；

【导师】 黄文艺；

【作者基本信息】 吉林大学 ， 法学理论， 2011， 博士

【摘要】 自1996年刑事诉讼法修改后,刑事立案监督权作为一项重要的法律监督权由法律授予检察机关行使。刑事立案监督进一步延伸了检察机关的监督范围,使检察机关对刑事立案的监督工作正式纳入法制轨道,这也在一定程度上减少了侦查机关“有案不立、有罪不究、以罚代刑”的危险。同时,刑事立案监督权也为被害人提供了一种新的程序性救济权利,扩大了其权利保护空间。虽然如此,基于我国检察权自身的复杂特点,刑事立案监督权的性质、权力定位与正当性论证等问题一直缺乏深入探讨。检察机关虽然初步形成了以刑事立案监督权、侦查监督权、初查权、审查起诉权等为主要内容的权力监督体系,但它们是如何彼此交融又如何独立行使并未完全理清。从当前立法看,刑事立案监督权的规定属于“原则性”权力,欠缺程序保障,使之在实践中经常被“架空”。由于刑事立案监督直接指向公安机关存在不适当的立案行为或者有“违法”嫌疑,很容易造成公安机关和检察机关“相互分工、相互配合、相互制约”的关系更加紧张,致使公安机关存在规避刑事立案监督的情况。在我国宪法中,检察机关被界定为专门的法律监督机关,本文以此为立论背景,针对上述存在的现实问题,结合理论与实践,试图对刑事立案监督权进行系统的研究,分析立法中刑事立案监督的规定与司法实践之间的冲突,以解决刑事立案监督“应该是什么”这样一个基础性的命题。本文试图回答,作为检察权衍生出的新兴权力,刑事立案监督与相关权力是如何区别、冲突,又是如何水乳交融一体的,并关注域外检察制度所能为我们改进刑事立案监督带来的借鉴。本文还认真分析了刑事立案监督权的理论来源、法律价值和实践依据,对刑事立案监督权的正当性进行了论述,并结合当前的运行状况进行了实证研究。最后,本文的落脚点,对如何完善现有的刑事立案监督制度,科学配置刑事立案监督机构,增进与行政执法机关的有效衔接,加强对侦查机关刑事立案的重点监督等问题进行论述。总体上,本文力图呈现出刑事立案监督“现在是什么、应该是什么、应该如何运行”的真实图景,以期为刑法正确用于“打击犯罪、保障人权”贡献自己的力量。具体而言,本文由“引言”、“刑事立案监督权的权力定位”、“国外检警关系与刑事立案监督研究”、“刑事立案监督权的正当性论证”、“刑事立案监督权的运行现状考察”、“刑事立案监督权制度的完善构想”以及“结语”七个部分构成。在导言里,对刑事立案监督中的理论背景和实践状况进行了简短的交代,使我们对刑事立案监督的理论和实践有一种比较直观的认识。第一章介绍了刑事立案监督权的权力定位。从刑事立案监督应该是什么的角度出发,重新界定了刑事立案监督的概念,介绍了刑事立案监督法律关系以及这种法律关系的主要特点,并续接围绕刑事立案监督与相关司法权的关系展开研究。首先介绍了刑事立案与刑事立案监督的关系,由此问题也引申出刑事立案监督范围的界定问题;其次,研究了刑事立案监督与侦查监督相互关系的理论,区分了两种程序的异同与混合;再其次,介绍了刑事立案监督与审查起诉的关系;最后,对刑事立案监督与立案前初查权的关系进行了比较分析。第二章以国外检警关系与刑事立案监督研究为背景,从比较法的角度对刑事立案监督进行了研究。主要围绕大陆法系、英美法系以及俄罗斯检察制度中检察机关和警察的关系,介绍了不同国家中“检警关系”的主要特点,并结合理论上“检警一体化”、“检警分离式”和“检警混合式”的检警关系模式,提出了这些检警关系对完善我国刑事立案监督权制度的一些启示。第三章对刑事立案监督权的正当性进行了论证。创设任何一种国家权力,都必须对这种权力提供正当性论证。对于刑事立案监督权这样一种很多国家都未创设的权力,尤其需要进行正当性论证。本章包含三部分内容。首先,从理论上分析了刑事立案监督权的权力来源,也即刑事立案监督的理论依据;其次,介绍了刑事立案监督的实体价值和程序价值;最后,介绍了刑事立案监督的社会实践基础。第四章从实证的角度对刑事立案监督权的运行现状进行研究。结合统计资料,介绍了检察机关办理刑事立案监督案件的总体情况,不同地域检察机关开展刑事立案监督的各自特点。同时,指出了刑事立案监督的困难与问题,并对造成这些困难和问题的原因进行理论上的分析。第五章主要从制度建设出发对现行的刑事立案监督制度提出对策。首先,从法治的角度讨论了刑事立案监督必须法定化的几个核心问题;其次,从认识论的角度研究了现行刑事立案监督制度设置的不合理性,以保障知情权入手,解决了刑事立案监督权的内部构造;再其次,从“行刑衔接”的角度研究了行政执法和刑事司法如何衔接,以及检察机关如何通过监督来促进“行刑衔接”中的刑事立案监督问题;最后,从证据的角度出发研究了如何提高刑事立案监督质量,促进公正司法的问题。结语部分对本文中刑事立案监督的内容进行了简短的总结,指出了论文研究的不足和存在的问题,并提出了可以进一步拓展研究的领域。更多还原

【Abstract】 The power to exercise supervision over filing of criminal cases, as an important legal supervision power, was granted to the procurator organs in 1997 when the Criminal Procedure Law was revised. This gives further extension to the scope of supervision by the procurator organs, formally puts it into the track of legality the work of supervision over filing of criminal cases by the procurator organs and, to a certain extent, reduce the danger of failing to place criminal cases on file and investigate the criminal responsibility and substituting criminal punishments with fines by investigatory organs. Meanwhile, the power of supervision of criminal cases filing provides victims a new procedural right to relief and expands the protection space of their rights. Nevertheless, due to the complicated characteristics of the procurator powers of our country, deep study about the nature of the power of supervision of criminal cases filing, the power boundary and legitimacy discussing is still lacking. Although the procurator organs have initially established the supervision system of powers, the main content of which includes the power to exercise supervision over filing of criminal cases, the power of investigation supervision, the power of preliminary investigation and the power of examining criminal cases before prosecution, the relation between and independent exercise of each powers have not been fully clarified. According to current laws, the power to exercise supervision over filing of criminal cases is some kind of "in principle" power and lacks procedural safeguards, making it impracticable in practice, and the lack of procedural safeguard mechanism of power is a common problem prevalent in our nation’s legislation. As the power to exercise supervision over filing of criminal cases is exercised over inappropriate behavior in filing of criminal cases or illegalities of the public security organs, it is likely to strain the relation between the procurator organs and the public security organs, which means to divide their functions, each taking responsibility for its own work, and coordinate their efforts and check each other, leading to the elusion of supervision over filing of criminal cases by the public security organs.Based on Constitution of our country, the procurator organs are defined as the professional organs for legal supervision. This article, taking the preceding provisions as the theoretical basis, as for the actual problems above reference, taking relevant theories and practice into consideration, conducts a systematic study on the power of supervision of criminal cases filing and tries to analyze the conflicts between the provisions in law on supervision over filing of criminal cases and judicial practice, aiming at solving the fundamental question that what supervision over filing of criminal cases‘should be’. The article tries to answer the question that how the power to exercise supervision over filing of criminal cases, as a new power drives from the procurator power, differs from, conflicts and also blend with relevant powers, and concerns that the foreign procurator systems brings the reference for the improvement of supervision of criminal cases filing in our country. Besides, the article takes seriously to analyze the theories origin, legal value and practice basis of the power of supervision of criminal cases filing, gives a discussion about its legitimacy, and makes an empirical study according to current operating situation. In the end, the article’s main underlying objective is to discuss, how to consummate the current systems of supervision over criminal cases filing, assign the organs scientifically, promote the effective connection with administrative law-enforcement agencies, and strengthen the major supervision about criminal case filing from investigatory organs and so on. Overall, the paper seeks to explain“Now what is, what should be, how to run”about supervision over filing of criminal cases and then make its own contribution to the correct application of criminal law in“punishing crimes, and safeguarding human rights”.Specifically, this article contains 7 parts, namely "introduction",“the relation of foreign police and procurator, and research on supervision of criminal cases filing”,“legitimacy demonstration of the power of supervision over filing of criminal cases”, “research on the current situation of supervision over filing of criminal cases”,“construction of the system in order to strengthen supervision over filing of criminal cases”and“conclusion”.In Introduction, a brief explanation is given about the theoretical backgrounds and practical situation of supervision over filing of criminal cases, giving us intuitionist cognition about the theory and practice of supervision over filing of criminal cases.ChapterⅠintroduces the power boundary of the power of supervision over filing of criminal cases. It clarifies the concept of supervision over filing of criminal cases, and proceeding from the perspective of what supervision over filing of criminal cases should be, redefines the concept of supervision over filing of criminal cases, introduces the legal relations of supervision over filing of criminal cases and the main characteristics of this legal relations, then continue to research on the relation between supervision over filing of criminal cases and relevant judicial power. First, it introduces the relation between filing of criminal cases and supervision of it, thus giving rise to the issue of defining the boundary of supervision over filing of criminal cases; second, it studies on the theory of interrelation between supervision over filing of criminal cases and investigation supervision and distinguishes the differences and similarities and mixtures of the two procedures; third, it introduces the relation between supervision over filing of criminal cases and examination of criminal cases before prosecution; finally, it conducts comparative analysis on the relation between supervision over filing of criminal cases and the power of preliminary investigation before placing a case on file.ChapterⅡcomparatively studies the supervision over filing of criminal cases in the background of the study on the foreign prosecutor- police relationship and supervision over filing of criminal cases. By analyzing the relations between the procurator organs and the police in the civil law and common law legal system and in Russia’s procurator system, it introduces the main characteristics of“the Prosecutor- Police relationship”in different countries and, by analyzing the theories of“integration”,“un-correlation”and“hybrid”models of the“the Prosecutor- Police relationship”, points out the revelations acquired from the different models in improving the supervision over filing of criminal cases of our countries.ChapterⅢmainly discusses the jurisprudential basis of supervision over filing of criminal cases. No matter what kind of power is set up, it needs to supply the jurisprudential basis. As for the power of supervision over filing of criminal cases that most countries have not set up, we must especially demonstrate its legitimacy. This chapter consists of 3 parts. The first part analyzes, in theory, the resource of power of supervision over filing of criminal cases, namely the theoretical basis; the second part introduces respectively the substantial value and procedural value of supervision over filing of criminal cases. And the last part introduces the practical basis of supervision over filing of criminal cases by analyzing cases.ChapterⅣconducts an empirical study on the current situation of supervision over filing of criminal cases. By analyzing the statistic materials, it introduces the overall situation of handling the cases of supervision over filing of criminal cases by the procurator organs and the respective characteristics of exercising supervision over filing of criminal cases by the procurator organs in various regions. Meanwhile, it points out the difficulties and problems in exercising supervision over filing of criminal cases and conducts a theoretical analysis about the cause of this difficulties and problems.ChapterⅤ, proceeding from the construction of the system, proposes countermeasures of improving the current system of supervision over filing of criminal cases. First, it from the perspective of the rule of law, discusses some core issues of the view that supervision over filing of criminal cases must be legally prescribed; second, it studies, from the epistemological point of view, the unreason ability of the setting of the current system of supervision over filing of criminal cases and, for the purpose of safeguarding the right to know, resolve the internal structure of supervision power over filing of criminal cases; third, from the perspective of“administrative-criminal link”, studies how to link the administrative enforcement of law with criminal justice and how can the procurator organs, through supervision, propel the supervision over filing of criminal cases in“administrative-criminal link”cases; finally, proceeding from the perspective of evidence, studies the issue of how to improve the quality of supervision over filing of criminal cases and promote impartial justice.The conclusion gives a brief summary of the content in this paper of supervision over filing of criminal cases and points out the defects and problems in this paper, as well as fields worthy of further study.更多还原