法治视野下的侦查效益问题研究

【作者】 任惠华；

【导师】 孙长永；

【作者基本信息】 西南政法大学 ， 刑事诉讼法学， 2008， 博士

【摘要】 侦查效益问题既是一个历史问题,又是一个现实的问题。历史的档案中还封存着无数的疑案、悬案,现实的状况是占总量一半以上的刑事案件还得不到侦破。在侦查理论与实践的研究中,在强化人权保障的同时,侦查效益问题更应该引起人们的关注。本文旨在依循法治的理念,全方位多角度的对我国的侦查效益的问题进行考察,以期对中国当下步骤艰难的侦查实践提供理性的支持。全文共分八章,约十八万字。第一章主要考察侦查效益的一般概念。关于“侦查”的界定,学界争论不大,“效益”在语义学上的阐释也是清晰的。而引入到法律领域,尤其是侦查领域的效益则存在不同的认识。文章列举了侦查效益的诸多观点后认为,侦查效益是侦查过程和结果所体现出的效果和收益,它反映的是侦查投入和侦查产出之间复杂的动态关系。其中,侦查效益中的侦查成本是投入侦查的基本资源,有侦查的经济成本和侦查的权力成本之分。侦查收益也是侦查的物质性收益和非物质性收益的统一,投入侦查成本的目的在于获取侦查收益。与侦查效益相关的的概念还有侦查效率、侦查效用、侦查价值、侦查的各类成本、侦查周期、侦查破案率、社会安全感等。侦查效益有两大结构形态,即侦查的经济效益和社会效益。侦查的经济效益由侦查经济成本和侦查的经济收益构成;侦查的社会效益由侦查权力成本和侦查社会收益构成。第二章主要阐明了侦查效益的基本原则。侦查效益原则是以刑事诉讼法的原则和侦查基本原则为指导,以实现侦查效益为目标的一系列原理和规则。侦查程序的运行和侦查活动的实施应当确立效益的基本原则,以使侦查以最小的成本投入实现查明犯罪、收集证据、查获犯罪嫌疑人的结果。文章论述了侦查效益的四大基本原则。一是兼顾公正与效率的原则。追求公正,保障人权是刑事诉讼程序,尤其是侦查程序优先追求的价值目标。同时,提高侦查效率是侦查工作的核心和关键,是侦查活动永恒的主题。追求侦查效益必需兼顾公正与效率的均衡。二是侦查资源合理配置的原则。侦查资源是一种稀缺资源,其配置主要涉及到侦查的权力成本和经济成本。侦查权力成本的配置要依循比例原则、必要原则;侦查经济成本的配置要向基层侦查机关和一线侦查力量倾斜,要向重大和多发性案件侦查倾斜,要向侦查基础工作倾斜,同时必需统筹配置达到资源共享。三是侦查行动迅速及时原则。侦查行为迅速及时具有多种意义,有利于提高侦查效率。为达成侦查行为的迅速及时,在侦查策略设计层面,要抓住战机、积极侦查、及时破案;在程序设计层面,侦查行为应有期限规则和特殊案件侦查的特殊程序设计。同时,要强化队伍建设和技术保障,建立对违反侦查行为迅速及时原则的法律制裁制度。四是侦查程序简化便捷原则。侦查程序的便捷是侦查活动维护社会秩序,构建和谐社会的价值目标所决定的,其主要内容包括任意侦查优先选择、强制侦查快捷审批、特殊案件简易处理等。第三章探索了侦查效益的评判标准。侦查效益的评判标准应该是侦查社会效益评价标准和侦查经济效益评判标准的统一,主观标准和客观标准的统一,单一标准和多重标准的统一。文章从经济学、法学、社会学三重角度探索了侦查效益的评判标准。侦查效益的经济学评判标准主要依据经济分析法学的基本理论,对侦查成本的评判主要涉及到侦查成本与侦查收益关系、侦查成本的投入量、侦查成本投入的合理性等:对侦查收益的评判则包括侦查收益对侦查成本与侦查效益之间的关系、侦查收益的定量分析指标等。侦查效益的法学评价标准主要涉及到程序法学和侦查学两个领域。其中侦查效益的程序法学评判标准主要是公正和效率标准的设计。侦查学的评价标准则是对侦查方法合法性和有效性的评价。侦查效益的社会学评价标准与公共安全息息相关,由以社会安全感为核心的众多具体指标构成。第四章考察了侦查效益的制约因素。影响侦查效益的因素众多,文章从内部制约因素和外部制约因素两个方面进行了考察。侦查效益的内部制约因素主要是指侦查机构和侦查主体自身影响侦查效益的相关事实和情况,主要涉及到侦查构造、侦查控辩关系、侦查体制、侦查主体组织模式、侦查主体素质、侦查组织和策略设计实施等。侦查效益的外部制约因素主要指侦查机关及其侦查人员以外的影响侦查效益的相关事实和情况,主要有刑事政策和犯罪复杂程度、政府对侦查的态度和公众对侦查的态度及参与度等侦查外部环境等。第五章考察了我国侦查效益的现代实践。由于侦查效益反映了侦查的根本属性和基本要求,因此,国内外侦查理论工作者和实务人员对侦查效益的问题进行了大量的理论研究。国外有关侦查效益的理论有侦查死角论、平行侦查论和分层侦查论。其中侦查死角论主要阐明了侦查有达不成的目标;平行侦查论则主张侦查效益的实现需要公私两种力量的合力;分层侦查论则表明侦查效益的实现和侦查目标的达成不可能一蹴而成。我国在侦查效益的理论探索中,有关于侦查模式的建构,侦查目的的定位,侦查认识论理论,侦查破案方式的理论,命案必破的理论等。而关于侦查效益的实践探索中,则主要涉及到侦查体制、侦查机制和侦查破案策略方法等方面。第六章分析了侦查效益的法律困境。侦查效益的法律困境主要涉及到立法缺陷和司法困境。我国侦查效益的立法缺陷表现在两个方面:一是作为基本法的刑事诉讼法中,一方面关于侦查的保障人权的立法明显滞后,如侦查缺少中立的裁判和监督机制,犯罪嫌疑人自我防御能力不足等;另一方面一些提升侦查效益的侦查方法在诉讼法层面得不到应有的反映;二是相关侦查机关的侦查法规中,侦查法规不仅有对刑事诉讼发中关于侦查法规的扩充解释,而且侦查法规间互相矛盾的冲突的情形非常严重。而侦查效益的司法困境则表现在诸多方面,侦查的经济效益普遍不被人们重视,侦查的管理不力,协调不顺,且违法侦查情况严重,未破案件数量多,影响大,侦查机关攻坚无难的能力较差等。第七章探讨了我国侦查效益的实现途径。本章从侦查观念的更新、侦查体制的改革、侦查基础的强化、侦查主体的建构、侦查的组织和设计等五个方面探讨了我国侦查效益的实现途径。关于侦查观念的更新,文章认为应确立和完善侦查的程序和证据观念,确立和完善侦查的整体意识和大局观念,并强化侦查意识,促进侦查方式的改变。关于侦查体制的改革,文章以公安机关为例,提出了侦查体制改革的法制原则、效益原则、协调原则,并以此为依据,认为应坚定不移地推进“97”侦查体制改革,积极整合侦查机构,不断完善以分散为主、集中为辅的侦查集合性模式。关于侦查机制的完善,文章以检察机关为例,提出了在检察机关建立侦查一体化机制、外部监督制约机制、证人保护机制、侦查人员管理机制等设想。关于侦查基础强化,文章以检察机关职务犯罪侦查为例,在阐明侦查基础工作重要地位的前提下,提出了重点加强刑事科学技术、侦查情报、侦查隐蔽力量的建设。关于侦查主体的建构,文章以反贪队伍为例,认为要积极探索提高侦查主体侦查力的新方法,加强素质教育,增强侦查人员的责任感和使命感。关于侦查的组织和设计,文章以疑难案件侦查为例,认为组织和设计是提升侦查效益不可或缺的重要方面,应运用组织管理学和策略学的原理和方法,强化侦查各环节的运作和谋划。第八章是关于侦查效益的发展方向。本章在前文的基础上,对侦查的现代化、科技化、国际化、法制化的相关问题做了补充说明。其中,侦查的现代化是侦查效益永恒的主题,侦查方法不断拓展的过程就是侦查现代化的过程,我国侦查现代化的进程中正面临着机遇和挑战。侦查的科技化是犯罪智能化和复杂化的要求,未来的侦查中,技术服务领域将更广泛,应重视技术的开发和运用,重视侦查人员技术方法的贮备,提升侦查的科技含量。侦查的国际化与世界政治、经济的一体化同步,且我国已有较长时间的国际和区际侦查协作的历史,未来侦查国际合作的领域会更加宽广,合作方式将更趋完善。侦查的信息化也将是未来侦查的必然选择,是侦查由规模型向效益型转变的必由之路,应树立侦查信息化的基本观念,强化侦查信息化建设的步伐。更多还原

【Abstract】 Criminal investigation efficiency is both a historical and a realistic problem: there are countless doubtful and unsettled cases in historic files, while more than half criminal cases unsolved nowadays. When strengthening human rights, we should pay more attention about criminal investigation efficiency. In this paper, the author analyses the criminal investigation efficiency in China from different points of view in accordance with the idea of ruling by law, in order to favor the hard practice of criminal investigation.This paper is divided in eight chapters, about eighteen hundred thousand words.Chapter One reviews the concept of criminal investigation efficiency. As we know, the concept of criminal investigation almost has no different opinions, and the interpretation of efficiency in semantics is also clear. However, efficiency has different meaning in the field of law, especially of criminal investigation. By setting out some opinion about criminal investigation efficiency, the author concludes that the criminal investigation efficiency is the effect and proceeds of the process and result of criminal investigation. The criminal investigation efficiency reflects a developing relationship between the input and output of criminal investigation: the cost of criminal investigation is the fundamental resource of the input of criminal investigation while it can be divided into the economic cost and power cost; the proceeds of criminal investigation is also classified in the material proceeds and immaterial proceeds, and the objective of input the proceeds of criminal investigation is to obtain the criminal investigation benefit. Besides that, there are some other conceptions about criminal investigation, such as efficiency of criminal investigation, avail of criminal investigation, value of criminal investigation, all kinds of costs of criminal investigation, periods of criminal investigation and security of society. Criminal investigation efficiency has two structural forms: the economic benefits and social benefits. The economic benefits of criminal investigation are composed by economic costs and the economic proceeds of criminal investigation; the social efficiency of criminal investigation is made up of the power costs and the social proceeds of criminal investigation.Chapter two mainly sets forth the basic principles of criminal investigation efficiency. These principles are a serious of principles and rules for realization of criminal investigation efficiency under the direction of principles of criminal procedure law and the criminal investigation. The process and the practice of criminal investigation should comply with the basic principles of criminal investigation efficiency in order to find out the crimes, collect evidence, and catch suspects by the least costs of criminal investigation. The paper talks about four basic principles of criminal investigation efficiency. The first is to give the same attention to justice and efficiency. Pursuing justice and guaranteeing the human rights is the value objective of criminal procedure especially of criminal investigation.The second is to reasonably distribute the resources of criminal investigation. The resources of criminal investigation are rare and its distribution mainly relates to the power costs and the economic costs of criminal investigation. The distribution of the power costs should comply with principles of proportion and necessity; the distribution of economic costs may incline to basal criminal investigation agency and front-line investigation force, incline to important and frequent cases while also to basic work of criminal investigation. The third principle is to act rapidly and promptly. Acting rapidly and promptly in criminal investigation has some kinds of meanings, especially to enhance the efficiency. In order to reach this principle, we should catch hold of the opportunity, act actively and solve the case in time. When designing the procedure, we should restrict the term of criminal investigation and pay attention to the characteristics of some special cases. Meanwhile, the team of criminal investigation and the technical guarantee must be strengthened, and the punish system must be established. The forth principle is to simplify the procedure of criminal investigation. To keep the social order and to realize the harmonious society need the simple procedure of criminal investigation, that contains to prefer the voluntary criminal investigation, to examine and approve compulsive criminal investigation quickly and to simplify the procedure of criminal investigation of special cases.Chapter Three analyses the criterion of criminal investigation efficiency. The criterion should be combined the social efficiency and economic efficiency, subjective and objective, single and multiple. The paper elaborates the criterion of criminal investigation efficiency from the point of view of economics, law and sociology. From the economics, the criterion of criminal investigation efficiency is based on the fundamental theories. The criterion of cost of criminal investigation mainly relates to the relationship of cost and proceeds of criminal investigation, the input of cost of criminal investigation and the reasonability of the input; the criterion of criminal investigation efficiency concludes the relationship of cost and efficiency of criminal investigation and the quantitative analytic guideline. From the law, the criterion mainly relates to the procedure law, evidence law and the criminal investigation law. The criterion of procedure law is the justice and efficiency, the criterion of evidence law needs to examine the collection of evidence; and the criterion of criminal investigation law is the legality and validity of methods of criminal investigation. The criterion of criminal investigation efficiency from sociology is also connected with public safety, containing a series of concrete standards surrounding the social safety.Chapter four elaborates the restrictive elements of criminal investigation efficiency. There are a number of factors affecting criminal investigation efficiency but the paper mainly analyses these factors from internal side and external side. The internal factors are these relative facts and conditions that affecting the criminal investigation efficiency by agency and members of criminal investigation, mainly relating to the structure of criminal investigation, the relationship between to the prosecution and defense, the regime of criminal investigation, the organizational model and quality of subjects of criminal investigation and the practice of criminal investigation tactics. The external restrictive factors and these facts and conditions which affecting criminal investigation efficiency except the criminal investigation subjects, basically containing criminal policies, legislation of criminal investigation, the complexity of crimes and the external circumstances of criminal investigation.The fifth chapter examines the modern practice of Chinese criminal investigation efficiency. Criminal investigation efficiency reflects the essential character and basic demand, so Chinese theorists and practitioners of criminal investigation have depended much time in researching criminal investigation benefit. The theories of criminal investigation efficiency abroad divided into the dead angle theory, parallel theory and layered theory. The dead angle theory claims that there are unachievable objectives in criminal investigation; (he parallel theory claims that realization of criminal investigation efficiency need public and private power; and the layered theory claims that the realization of criminal investigation efficiency and criminal investigation objectives can not so soon. Theories of criminal investigation efficiency in China conclude the construction of criminal investigation model, orientation of criminal investigation objectives, the theory of criminal investigation epistemology, the theory of criminal investigation process, and the theory of "homicide cases must solved’. The practice of criminal investigation efficiency mainly relates to the regime and the system of criminal investigation, and the methods of solving criminal cases.Chapter Six analyses the deep end of criminal investigation efficiency which connected with the defects of legislation and judicial difficulties. The defects of legislation in China reflect in two aspects: One is that the legislation of the criminal procedure law which as a basic law for guaranteeing the human rights has been obviously lagged, while some criminal investigation methods that can enhance the criminal investigation have not been reflected. Another is that rules of criminal investigation have been interpreted outside of the meaning of that in criminal procedure law, and there are so many conflicts between those rules of criminal investigation. The judicial deep end exhibits in many aspects, and the reason in complex.The Seventh chapter examines the approaches of realization of criminal investigation efficiency. The author analyses from five aspects: the renovation of criminal investigation conceptions, the reform of criminal investigation regime, the reinforcement of criminal investigation basis, the construction of criminal investigation subjects and the design of criminal investigation tactics. In order to renovate the criminal investigation conceptions, we should establish and perfect the procedure and evidence conception of criminal investigation, the consciousness of unity and conception of overall situation, and strengthen the consciousness of criminal investigation to accelerate the change of criminal investigation methods. About the reform of criminal investigation regime, the author puts forward the principle of legality, the principle of efficiency and the principle of harmony on the example of police agency and considers that we should firmly advance the renovation of ’97’ criminal investigation regime, actively adjust criminal investigation agencies and continuously perfect the aggregative mode of criminal investigation that is mainly decentralization and subsidiary centralization. About the perfection of criminal investigation regime, the author assumes to establish the integrative regime of criminal investigation, the regime of exterior supervision, the regime of witness protection and management of criminal investigation staff. In order to reinforce the criminal investigation basis, the author firstly analyses the important role of it, and then put forwards to strengthen the construction of criminal technology, criminal investigation information and privy force of criminal investigation. About the construction of criminal investigation subjects, the paper examines to actively explore the new methods to enhance the investigating talent, quality education, liability and responsibility of criminal investigation subjects. About the organization and design, the paper elaborates its’ vital use to enhance the criminal investigation efficiency, and we should strengthen the function and design of each step of criminal investigation.The last chapter talks the orientation of criminal investigation, which complementarily narrates how to make criminal investigation modern, technological, international and lawful. Modernization of criminal investigation is an everlasting theme of criminal investigation efficiency. The process expansion of criminal investigation methods just is the process of modernization of criminal investigation which existing some challenges and opportunities. The situation that crimes have been intelligent and complex demands to criminal investigate technologically. In future criminal investigation, the field of technical service will be more extensive, so we should pay more attention to research and application of technology, accumulation technical methods and enhancement of technical content of criminal investigation. Internationalization of criminal investigation is synchronous with the integration of politics and economy of the whole world. China has a long history of internal and intersectional cooperation of criminal investigation, so the field of future international cooperation of criminal investigation will be extensive and the approach of cooperation will be more perfect. Informationization of criminal investigation must be the inevitable choice in the future, for it is the only way to transfer to efficient criminal investigation, so we should establish the fundamental conception and accelerate the steps of informationization of criminal investigation.更多还原