【作者】 徐文新；

【导师】 朱维究；

【作者基本信息】 中国政法大学 ， 宪法学与行政法学， 2007， 博士

【摘要】 警察裁量权是警察行政之核心,其不仅对“个案正义”的实现有着相当助益,而且,对警察任务的顺利完成以及“良好生活秩序”的维护都有着积极的作用。在社区警政方兴未艾的背景下,警察裁量权更是警察从“消极行政”转为“积极行政”之重要媒介。但是,从目前的理论研究来看,其积极性、重要性和复杂性尚未被充分意识到。这不仅体现在警察裁量权之“积极定位”尚未引起大家的重视,更体现为警察裁量权概念、内容、性质、形成原因、规范方案、警政革新与警察裁量权关系等等都没有被充分认识。本研究在对西方法治发达国家警察裁量权理论进行分析、研究的基础上,尝试将其归为两种理想类型:传统警察裁量权理论与新警察裁量权理论。通过参照理想类型,对我国警察裁量权进行全方位的深度研究。具体而言:第一章为绪论。该部分对研究的缘起、研究的意义、国内外之研究现状、研究的途径与研究方法、重要术语等进行了简明扼要的介绍。第二章“专业警政与警察裁量权”。论文首先对专业警政、警察裁量权以及法治之间的相互关系进行了简单的分析和梳理;在此基础上,对传统警察裁量权理论的公法理论基础进行了研究,指出“规范主义”是其理论基础;论文接着对传统警察裁量权理论具体的制度安排进行了介绍,指出司法审查是其规范警察裁量权的主要制度支撑;最后,论文对传统警察裁量权理论取得的成就以及存在的问题作出进一步的分析。第三章“社区警政与警察裁量权”。论文首先分析了社区警政、警察裁量权与法治三者间的相互关系,特别指出,警察裁量权是贯彻社区警政策略和完成社区秩序维护任务之重要工具;接着,对新警察裁量权理论的公法学基础进行了探析;在此基础上,论文比较详细的介绍了新警察裁量权理论的主要内容,指出在社区警政背景下,无论是警察任务之确定、警察裁量权之总体定位、警察裁量权之控制模式等都有重新思考之必要;接着,对新警察裁量权可能的学术贡献以及存在的缺陷进行了分析;最后,论文对警察裁量权的正当性模式进行了研究,指出“传送带模型”仅仅是警察裁量权正当性的一种模式,除此之外,更有“专业官僚模型”和“参与模型”。第四章“我国警察裁量权的再认识”。在此章中,论文首先分析了我国警察裁量权运行的外围背景;接着,对我国当前所进行的警务改革作出了具体的分析,指出两种性质不同的转型直接关涉到我国警察裁量权的总体定位与规范方案的提出;论文还从理论研究层面、法律规范层面与实践层面对我国警察裁量权作了概括性的研究,指出警察裁量权存在的种种问题;最后,结合我国具体的国情,分析了我国警察裁量权泛滥的具体原因。尤其指出,结构性警察裁量权是问题的核心。第五章“我国警察裁量权的规范”。在对我国警察裁量权进行具体分析的基础上,本章提出了我国警察裁量权的三种控制模式:法制控制模式、专业控制模式和民主控制模式。论文着重指出,民主控制模式是重要的裁量权控制模式;并论证了当前我国警政正处于由“前专业警政”向“专业警政”转型以及“前专业警政”向“社区警政”转型的警政革新过程中。与此相适应,在第一种情况下,警察裁量权控制主要依靠法制控制模式与专业控制模式。在后一种情况下,民主控制模式是警察裁量权控制的主要途径。第六章“警察裁量权行使规则与警察裁量权的规范”。在论证了警察裁量权控制模式的选择必须与特定警政模式相切合之必要性的基础上,本研究提出了具体的裁量权规范措施即各级警察机关制定裁量权行使规则。因为,裁量权行使规则不仅能够有效规范警察裁量权,而且能够将“法制控制模式”“专业控制模式”与“民主控制模式”进行有效整合。而最为重要的是,裁量权行使规则制定过程其实就是决策者与民众之间对话、沟通、交流的过程,而这恰恰就是民主监督模式的重要内容和特征。本章首先交待了警察裁量权行使规则作为控制警察裁量权核心措施的背景;接着,就裁量权行使规则制定中一些典型的、具体的问题进行了研究;进而,在分析国外相关经验的基础上提出了警察裁量权行使规则的制定程序;最后,分析了警察裁量权行使规则适用的范围以及配套监督机制的建立。更多还原

【Abstract】 The exercise of police discretion, which contributes enormously to individual justice, good social order and policing function, lies at the heart of police administration. Under the circumstance of community policing and problem-oriented policing, police discretion has already become an important medium, which improve the transformation from negative administration to positive administration. Unfortunately, current academic research does not pay much heed to it’s concept, characteristics, contents and controlling methods.This is a dissertation on police discretion .The purpose is to try to find or devise better ways to regulate police discretion in determing whether and when to enforce particular law. On the basis of an in-depth analysis and research on related experience of advanced nations, this doctoral thesis will propose prudently two ideal types: traditional theory of police discretion and neo-theory of police discretion, which serve as good reference frame and research tool for our own study.The genesis of this dissertation, the current situation of related research, the significance and research methods will be introduced concisely and clearly in the first chapter.The second chapter deals thoroughly with police discretion under the professionalism policing model, which is characterized by autonomy, independenence and rule of law. In this section, it will be concluded firstly that normativism in the public law is the theorectical foundation of the traditional theory of police discetion.Then, the dissertation will touch on specific institutional arrangement especially the judicial review and then make a detailed research on the achievements and problems of this traditional theory.The third chapter copes with police discretion under the circumstance of community policing, which is totally different in policing philosophy. After making a comprehensive research, the dissertation concludes that the neo-theory of police discretion, which emphasizes a positive and active role of discretion, is founded on functionalism in public law. This gives us a new pattern of thinking or a new research paradigm, which is essential for us to deviate from traditional way in order to get a full view of police discretion.Three legitimate models, namely transmission belt model, expercractic model and participatory model are analyzed carefully in the end.The fourth chapter dwells on reconsideration of our police discretion.In this section, the dissertation gives a peripheral background under which the police discretion operates and makes a specific and detailed analysis of current situation of our policing reformation ,namely from pre-professionalism policing to professionalism policing and from pre-professionalism policing to community policing respectively. Then the dissertation proposes that discretion controlling model should be compatible with specific policing model. Finally, the concrete cause resulting in increased discretion will be discussed in detail.The fifth chapter mainly deliberates on regulating police discretion authority. On the basis of detailed analysis of police discretion and it’s background, the dissertation gives a proposition that three mode, namely legal controlling mode, expertocratic controlling mode and democratic controlling mode, should be set up in order to conform to different policing style. In other words, legal and expertocratic controlling mode should be applied to the transformation from pre-professionalism policing to professionalism policing meanwhile the democratic controlling mode is applicable to transformation from pre-professionalism policing to community policing.The sixth chapter focuses on the regulation of discretionary authority and on the discretion-exercising rule, which is the most efficient way to regulate police discretion .After expounding the necessity of the compatibility between controlling mode and policing mode and reviewing the related experience, the dissertation concludes that the police administrators should give the highest priority to the formulation of administrative rules governing the exercise of discretion, particularly in the areas of selective enforcement, investigative techniques ,and enforcement methods. Rule-formulation is not only an institution, which integrate legal controlling mode, expertocratic controlling mode with democratic controlling mode, but also a platform where all interests’parties including policy-maker and community can communicate and dialogue. Then, the dissertation proposes that having a set of rules is not enough.What is also needed is the right procedure, mainly notice-and-comment, for developing the rules.更多还原