【作者】 田心则；

【导师】 卞建林；

【作者基本信息】 中国政法大学 ， 诉讼法， 2007， 博士

【摘要】 本文以刑事诉讼中的国家权力和刑事诉讼程序为研究对象,从与二者相关的众多理论侧面中,选取二者之间的相互关系进行重点研讨,以期回答下述问题,即为什么不同形态的国家均选取刑事诉讼机制作为追究犯罪的常规方式?刑事诉讼程序对国家刑罚权的实现具有怎样的影响?通过分析,本文认为:国家不仅要实现刑罚权,而且还面临着以正当化的方式来实现的压力。而经由刑事诉讼中的程序运作则是国家刑罚权获得正当化实现的最佳方式。本文据此设定了刑罚权落实获致正当的若干要求,并对程序自身能够实现这些正当化要求的机理、功能、结构等方面进行了深入分析。本文共分五章,在内容上层层递进,具体各章内容如下:第一章为“刑事诉讼的国家权力面相”。本章通过对刑事诉讼机制追本溯源的考察,指出刑事诉讼机制作为国家产生之后的一种纠纷解决方式,与自力救济或者其它他力救济方式相比的最大特点就在于国家权力在其中所发挥的作用是决定性的:它以国家法彰表国家权力、以国家机构行使国家权力、以诉讼程序实现国家权力。国家权力构成刑事诉讼机制的核心结构要素,并主导着刑事诉讼的基本发展进程,因此对所有关涉刑事诉讼机制的基本法理的分析、具体制度的架构、行为价值的判断都不能脱离和回避它的这一特征。第二章为“刑事诉讼作为国家权力运作的程序场域”。本章通过对“场域”概念的引入,指出刑事诉讼中的刑罚权虽然性质上属于国家权力,但是其在刑事诉讼中的运作已经使自身特定化,有别于刑事诉讼之外的国家权力,而从根本上影响刑事诉讼中国家权力的运作逻辑并使其特定化的乃是其所依存的、由不同的要素所型构的权力场景和氛围,即“程序场域”。“程序场域”概念的建构揭示了国家权力“程序化”的存在氛围和存在状态,明确了刑事诉讼“程序”中的国家权力与国家的位置关系,从而为辨识国家权力与刑事诉讼“程序”的关系提供了重要的分析工具。第三章为“通过刑事诉讼程序的国家权力正当化”。本章是全文内容的重点,揭示了国家选择通过刑事诉讼的方式来解决犯罪与刑罚的问题实际上体现了国家欲图以此实现刑罚权运作的正当化目的。而刑罚权的正当化动因直接来自于国家权力的正当化压力,这是一种在任何正常状态社会下国家的必须选择。国家刑罚权通过诉讼是否实现正当化在不同的语境下有不同的判断标准,但是具备两个共同的前提基础:对案件事实的发现和对国家权力的规范。而诉讼作为一种权力运作机制主要是通过刑事诉讼程序来实现上述两个目标的,程序的技术性构成要素及其运作方式决定了程序对上述功能的担当。第四章为“刑事诉讼中国家权力正当化的法治语境”,本章对现代国家基本构成语境的“法治”进行了深入分析,阐释了法治对国家刑罚权通过诉讼实现正当化的影响以及权利保障维度在法治语境下的确立和表现。详细分析了在法治国家通过“程序”实现刑罚权正当化的必要性和可行性,并从程序主体、程序空间、程序时间、程序信息和程序交涉五个方面系统探讨了法治国家中能够引导国家刑罚权正当化的应然程序场域结构。第五章为“我国刑事诉讼中国家权力与程序关系的基本走向”,本章将分析的笔触落脚于我国,对建国以来至今我国刑事诉讼中国家权力与程序关系的历史进行了简明但清晰的梳理,指出了当下我国法治话语的建构和国家权力行使方式法治化转型的进程以及二者之间的关系,并对我国刑事诉讼中国家权力与程序关系的前景走向进行了展望。更多还原

【Abstract】 This paper aims to research on relation between state power and criminal proceedings procedure, which the author carefully chose from numerous relating theories and analyzed with great emphases in order to solve following questions: why states in different forms unanimously take criminal proceedings mechanism as a routine method to punish criminals? What is the effect on state punishment right of criminal proceedings procedure? Through analysis, the author concludes: the state shall not only make punishment right enforceable, but also under pressure on how to practice in legitimacy, while procedure practice of criminal proceedings appears to be best way to legitimacy. This paper establishes several requirements on how to legitimize punishment right and profoundly analyzes mechanism, function and structure of proceedings being legitimated by itself.There are 5 chapters in this paper with gradual analysis as following:Chapter one is about state power face in criminal proceedings. This chapter points out: as a dispute solving method after forming of state, the most important characteristic of criminal proceedings mechanism lies in that its function in state power is crucial, comparing with self-preservation and another relief methods. It reflects state power by state laws, exerts state power by state framework and practices state power by procedure. State power constructs the core element of criminal proceedings system, and dominates the basic development process of criminal proceedings. It is indispensable to analyze the fundamental legal theory of criminal proceedings system, detailed system framework and behavior value judgment with this characteristic.Chapter two is about criminal proceedings as procedural field of state power enforcement. With term field introduced in this chapter ,the author points out although punishment right in criminal proceedings belongs to state power in nature, it has been specified in criminal proceedings practice, different from the state power out of criminal proceedings. It is the reliable and various power scene and atmosphere, that is, procedural field, that most influences the state power enforcement and specification in criminal proceedings. Procedural field explains the existence atmosphere and state of state power being procedural and makes clear relation between state power in criminal proceedings and the state, which results in important analysis method on distinguishing the relation between state power and criminal proceedings procedure.Chapter three is about legitimating the state power by criminal proceeding procedure. This is the most important chapter of the paper. This chapter points out that the method for states to solving crime and punishment by criminal proceedings actually indicates that sates intend to legitimize the practice of the punishment right. The legitimacy of punishment right results from the legitimate pressure by state power, which is a compulsory choice in every normal state. Whether it is enforceable for state punishment right has different judgment standard in different situation, but two common preconditions must exist: for fact discovery of the case and for abiding by of state power. Proceedings act as a power by criminal proceedings procedure to realize above two aims while the technical elements in proceedings and enforcement way determine the functional undertaking.Chapter four is about the context of rule of law in the state power legitimacy in criminal proceedings. This chapter thoroughly analyzes the rule of law in fundamental construction context in modern states, illustrates the legitimacy impact of the rule of law on the state punishment right and establishment and demonstration of right-guaranteed extent in rule of law context. It details the necessity and possibility of legitimacy of procedural punishment right in rule of law states, and systematically discusses that states of rule of law shall establish legitimated state punishment right from five aspects of subject of procedural field, space of procedural field, time of procedural field, information of procedural field and negotiation of procedural field.Chapter five is about the trend of relation between the state power and procedure in criminal proceedings in China. This chapter presents the relation between the state power and procedure since the Foundation of the People Republic of China with succinct and clear illustration. It points out that nowadays the process and relation between the construction of rule of law in China and the transfer of the state power enforcement. In the end of this paper, a prospect is dedicated for the relation between state power and procedure of China.更多还原