职务犯罪侦查问题研究

【作者】 左德起；

【导师】 卞建林；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2004， 博士

【摘要】 职务犯罪是负有国家具体管理职能的工作人员在从事公务的过程中滥用权力、以权谋私、亵渎职守而发生的各种犯罪行为，它是破坏国家政权结构和统治秩序、侵犯人民当家作主权利的极端行为。上个世纪70年代以来，世界范围内以贪污贿赂、渎职等为表现形式的职务犯罪日益严重。由于贪污腐败，发展中国家的债务增加了30％；纵观这两年的全球政治经济风云，职务犯罪案件层出不穷，涉及国家高层领导人的腐败丑闻也越来越多。这种腐败现象的大暴露，在许多国家加大了对职务犯罪的预防和打击力度。而无论对哪个国家来说，在打击职务犯罪的过程中，需要突破的首要的难点就是如何对各类职务犯罪进行及时有力的侦查。 与其他犯罪类型相比，职务犯罪是特殊主体即国家工作人员在特定身份的国家权力运行的过程中产生、进行的特殊犯罪，职务犯罪现象是国家公权力运行中产生的异化腐败现象，在客观上具有隐蔽性高、取证困难、犯罪主体职务较高、涉及的权力和利益多样化等特点。正是这些特点增加了对该种犯罪侦查的难度和障碍，也在本质上赋予职务犯罪侦查工作以国家权力司法监督的性质；同时使得职务犯罪侦查中对国家各种权力的制衡具有了相对于其他犯罪侦查而言的更为紧迫的必要性和特殊性。当前，我国的国家权力分配态势缺乏有效的权力制约，而这种权力分配所产生的消极影响在职务犯罪的侦查过程中表现得尤为明显，造成了侦查中新的腐败的产生，往往使职务犯罪侦查工作举步惟艰，给刑事司法理论及实践带来了极大的困惑，进而导致了职务犯罪侦查中司法诚信的丧失或减弱。目前，国内对职务犯罪进行研究的论文和专著已不少见，但对职务犯罪侦查进行研究的人还不多，因此，对该问题进行整体性的探讨不仅具有理论上的紧迫性，而且对立法和司法实践都具有重要的意义。 本文的写作除了引言之外，分为六章进行。其中引言部分对职务犯罪的特点、特征和目的进行了论述，同时对国际上应对职务犯罪的趋势进行了概览。职务犯罪具有主体特定、行为与职务相关、犯罪危害严重、犯罪手段隐蔽专业、发展趋势行业化、国际化等特点。这些特点就决定职务犯罪侦查模式由人到事的特定性以及侦查中主客体双方矛盾对抗的激烈性。目前，国际上对待职务犯罪侦查的趋势是：对职务犯罪的侦查机关日益受到社会重视、传媒对侦查的介入加强、有关职务犯罪的法制日益健全、反职务犯罪教育的舆论不断加强以及国际协作的加强。所有这些对为我们职务犯罪立法和司法实践的完善与进步提供了一个有利的契机。中国政法大学博士学位论文职务犯罪侦查问题研究 文章在引言之后的第一章中首先对职务犯罪侦查权的现状与问题进行了分析，指出目前我国的职务犯罪侦查权缺乏应有的独立性和统一性，职务犯罪侦查机关缺乏相关的权威性、职务犯罪侦查权缺乏真正的监督。针对这些问题，笔者在本章中提出了若干完善职务犯罪侦查权的原则和途径。提出在完善的过程中必须首先树立包括独立、统一、权威、司法审查、国家诚信在内的原则。其中，国家诚信原则在职务犯罪侦查中的提出具有一定的开拓性。在论述了职务犯罪侦查的原则体系的建构之后，笔者进一步提出了具体的完善方案:包括建立特别调查权、紧急控制权、秘密侦查权等。 第二章对职务犯罪侦查体制进行了论述。本部分首先探讨了职务犯罪侦查权配置的理由和特点，指出了职务犯罪侦查权之独立目前在我国的有限性及使其具有独立性的必要性以及独立性的保障。接下来，本部分分析了我国职务犯罪侦查机构的设置及职权划分，其中又从纵向划分及横向划分两个方面进行了论述。与机构设置紧密相关的另一个问题是职务侦查人员的选任与培养，人员选任的程序与侦查的质量具有直接的关系。因此本部分也对此进行了讨论并提出了自己的建议。在此基础上，笔者认为，要完善职务犯罪侦查体制，必须首先完善人民检察院侦查强制措施，使其在履行侦查职责时遵守职务犯罪侦查的特殊原则，同时强调将职务犯罪侦查权作必要的延伸、强化检察机关之间的侦查协作。 第三章是关于职务犯罪侦查模式的介绍。与第二章侧重于机构、人员及侦查权分配等问题的职务犯罪侦查体制相比，侦查模式更多关注的是宏观层面上职务犯罪侦查的构造和走向。本部分更多地采用的是比较研究方法，首先考察了国外几种职务犯罪侦查模式—职权主义侦查模式、当事人主义侦查模式以及混和侦查模式，接着对这几种不同的模式进行了比较，最后回归到我国，在对我国职务犯罪侦查模式定位的基础上，对该模式进行了评析，进而构建了我国职务犯罪侦查模式比较理想的走向。 第一至第三章应当说是本论文的静态部分，而第四章则开始转向以职务犯罪侦查行为为主要内容的动态考察。同一般犯罪侦查行为一样，职务犯罪侦查行为也是关于有关职务犯罪侦查机关在办理职务犯罪案件的过程中，依照法律实施专「〕的调查工作和采取有关强制措施的行为。但由于职务犯罪侦查本身的特点和特殊性，所以职务犯罪侦查行为也与普通犯罪侦查有不同之处。本部分首先将职务犯罪侦查进行?更多还原

【Abstract】 Crimes of taking advantage of duty are all kinds of criminal acts that staff members in charge of management functions of the state made for the reasons of abusing their authorities, or abusing their power for personal gain or dereliction of duty in the process of their work. They are very harmful not only to the government’s management and structure, but also to the human rights. Since 70’s of last century, this kind of crimes worldwide taking the forms of bribery and corruption and dereliction are more and more serious. Because of corruption, the debts of developing countries increased 30% at the same time the corruption among senior officials is also increasing. Facing the’ situation, many countries strengthened the force against the crimes taking advantage of duty. To all the countries, the biggest problem they have to handle is how to investigate all kinds of taking advantages of duty crimes in time and effectively.Compared with other crimes, taking advantages of duty crimes is much more secret and of which the evidence is more difficult to be attained since the subject of this kind of crime is state staff members (often senior officials) and the crimes is taking place in the process of handling their functions. Moreover, the involved powers and interests are complicated. It is these characters that increased the difficulties and obstacles in the investigation as well as empowers the investigation of the nature of judicial supervision. Therefore, balancing and checking different powers in this kind of investigations are more urgent and necessary compared with other crimes’ investigations. In the current situation, the allocation of powers in China lacks effective checking, which makes a lot of negative effects in investigations of crimes of taking advantage of duty at the same time resulting in new corruptions and confusions in criminal practice and theories. Furthermore, the good faith in the investigation is decreasing or even losing. In the recent years, there have been a lot of articles and books paying attention to the crimes of taking advantage of duty, but scholars making the research of investigation of this kind of crime are still rare. From this point, to discuss the problem on the whole is not only urgent from the aspect of theory, but also meaningful to judicial practice and legislation.Besides the introduction, there still are six chapters in the dissertation. The introduction part discussed the characters, nature and purposes as well as the international trend as tothis crime investigation. The crimes of taking advantage of duty have the characters that subjects are special, acts are involving duties, the crime results are serious, the crime means is secret, the developing trend is specializing and internationalizing. These characters determined that the investigation modes to this crime should be from individual to fact and the conflicts between investigation object and subject are acute. The current international trend to the investigation of this crime is as the followings: the society is paying more and more attention to the investigation organs of crimes of taking advantage of duty, the media is strengthening it interference to the investigation, the legal system about the crime of taking advantage of duty is perfecting, the international assistance is strengthening. These have provided us with a good opportunity of perfecting and developing our legislation and judicial practice of crime of taking advantage of duty.The first chapter, which analyzed the current situation and problems of investigation power of the crime of taking advantage of duty, followed the introduction. In this chapter, the issue that the investigative power of this kind of crime in China lacks independence, unity, the authority and the real supervision has been stated. As to the issue, I stated the principles and ways that can be used to perfect the investigative powers. The principles that must be established during the course of perfection include the principle of independence, unity, authority, judic更多还原