【作者】 初殿清；

【导师】 陈光中；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2009， 博士

【摘要】 尽管我国宪法和刑事法律均将平等作为一项原则提出,但对于刑事司法平等理论的具体内涵和相关要求却缺乏深入研究和系统解读。在社会科学其他学科对平等理念的讨论如火如荼的时候,刑事司法界每每谈及平等却仍然停留在发自朴素情感对平等加以体会的阶段。然而,法律的制定与实施却不能满足于或立足于这种朴素但不具稳定性的理解。本文致力于探寻一种能够合理有效地适用于刑事司法制度设计与实践的平等理论,并结合我国刑事司法制度中的现存问题以及国外可资借鉴的制度元素,尝试为相关问题的刑事司法改革探索前行的方向。本文由导论、总论、分论、结论四大部分组成,其中,总论和分论是文章的主体部分。总论包含两章内容,考察平等理念的渊源与发展、本文使用的平等理论(机会平等)以及刑事诉讼机会平等的一般原理,主要目的是将机会平等理论导入刑事诉讼法学研究范畴。第一章“平等及相关概念”首先分析了平等的词义以及平等观念如何生成;在此基础上,考察了平等理念的历史沿革,对历代平等理论的特征分别加以归纳和剖析,结论是,机会平等在各方论战中体现出其在平等理论体系中的稳定地位和底限作用;随后,作为与此并行的另一条线索,文章通过将平等与其他价值加以比较分析,发现机会平等处于多种价值角力的平衡点,虽然冠以“平等”之名,实际却集多种价值内涵于一身,是连接平等与其他价值的过渡性范畴。据此,本文把机会平等理论作为文章论题的理论基础。本章对机会平等理论如何与刑事司法制度对接以及本文在何种意义上使用机会平等一词作出了解说:(1)机会平等理论在宏、微观两个语境下与刑事司法制度产生对接:宏观语境下的刑事诉讼机会平等是社会正义论的必要内容,即,刑事司法制度是人类社会制度框架中不可或缺的基本组成部分,刑事诉讼的机会平等影响每一个人在社会中的生存、竞争和发展。微观语境的刑事诉讼机会平等指进入刑事诉讼程序的个体有效行使诉讼权利、利用其中具体制度的机会平等,其语势不具有社会正义理论下的那种机会平等的宏观性,但会间接地对后者产生影响。(2)本文在形式机会平等和实质机会平等两个层面上使用机会平等的概念,前者主要体现为“无歧视”这一消极要求,后者主要体现为“齐平起跑”这一积极要求。第二章“刑事诉讼机会平等的一般原理”在前一章的基础上进一步探讨了刑事诉讼机会平等的一般原理。首先分析了影响诉讼机会平等的因素,包括个体的差异性,司法者、执法者的主观状态,以及制度的客观效果三大方面。随后剖析了刑事诉讼程序的制度功能可以在何种程度上满足机会平等理念的要求,结论是:社会基本结构的不同领域下分布着功能各异的制度,刑事司法制度对平等使命的完成只能是机会平等意义上的,而且其力度和效果在机会平等的两个层面上有所不同:对形式机会平等的保障是基础的、必须的,它要求刑事司法制度真正做到法律适用人人平等,不能使基于某种不相关因素而产生的歧视对诉讼参与人的诉讼权利产生妨害性的影响;对实质机会平等的努力是进一步的、较为高级的要求,它是机会平等理论近年来新的发展趋向,涉及到政府如何为行使诉讼权利的能力上客观存在缺陷的诉讼参与人提供帮助和补足。在此基础上,本章分析了形式机会平等理念、实质机会平等理念分别如何作用于刑事诉讼制度设计环节和实施环节。本章的第三部分讨论了机会平等要求下的一般性制度要素,包括权力者结构的多样性、告知义务、裁量权的规制、社会资源在刑事司法制度内的再分配、社会合作组织的积极参与等五个方面。这些制度要素贯穿于刑事诉讼过程之中,而非仅仅出现于个别环节,是机会平等要求下具有普遍性的因素,因而在总论部分加以探讨。分论包含第三、四、五、六、七、八章,共六章内容。在考察国际准则以及我国刑事诉讼原则中与平等相关的内容的基础上,以机会平等理论为理论基础和研究分析工具,选取被追诉人诉讼机会平等为具体视角,对我国刑事诉讼中某些具体制度存在的问题加以剖析,探寻成因,并提出相关建议。第三章“国际准则中的平等理念”对国际准则中有关平等理念的原则加以分类和整理,认为其所涉内容大体表现为四种形式:一般性规定(辅助性的禁止歧视条款),独立的平等权规范(“法律面前人人平等”与“法律的平等保护”),针对某一分类的平等规范(性别、种族、民族、年龄、残障等少数人群体),以及司法程序中关于平等的专项规定(法庭前、拘留或监禁中、非拘禁措施下的平等)。本章对上述四种形式的平等原则作出了分析和述评。第四章“机会平等理念与我国刑事诉讼原则”探讨了我国刑事诉讼中的“适用法律一律平等”和“用本民族语言文字进行诉讼”两项原则与机会平等理念的关联。其中,关于前一原则,本章分析了其与“法律面前一律平等”、“程序法定”的关系,并在此基础上论述了机会平等理念与“适用法律一律平等”、“程序法定”、“正当程序”、“法律的平等保护”等四项原则的关系;关于后一原则,本章在对该原则本身加以分析评介的基础上,对其作出了超越,将视点聚焦于诉讼交流能力,进而探讨获得翻译权利与机会平等的关系,并对相关制度加以论述。第五章“被追诉人诉讼机会平等与未决羁押替代措施”分析了未决羁押替代措施与机会平等的关系,认为可能影响机会平等的制度因素包括适用替代措施的标准和适用替代措施的方法;并针对我国财产保金额以及外地人取保难等实践问题,考察和借鉴国外的制度要素,进而为我国的相关制度改革提出建议。第六章“被追诉人诉讼机会平等与辩护援助”分析了辩护援助与机会平等的关系,认为可能影响机会平等的制度因素包括提供援助的可裁量性、制度执行者的恣意、辩护人-被追诉人关系、援助人介入案件的时间、援助者的办案能力等;并针对我国一般贫困者获援率低、援助机构恣意、援助者群体结构构成与办案能力上的缺陷、援助人与受援人关系上的疏远等问题,考察和借鉴国外的制度要素,进而为我国的相关制度改革提出建议。第七章“被追诉人诉讼机会平等与证据知悉”从相同诉讼角色下不同个体诉讼机会平等的角度(而非控辩平等的角度),分析了证据知悉与机会平等的关系,认为可能影响机会平等的制度因素包括证据知悉程序启动方式、辩方知悉范围、证据知悉与开庭审理的时间间隔等;并针对我国实践中的问题,考察和借鉴国外的制度要素,进而提出改革建议。第八章“被追诉人诉讼机会平等与刑事和解”分析了刑事和解与机会平等的关系,认为可能影响机会平等的制度因素包括经济赔偿在刑事和解方式体系中的位置、经济赔偿的可替代性、帮助经济困难的加害人在使用和解制度时与他人齐平起跑的辅助性制度等;并针对我国实践中的问题,考察和借鉴国外的制度要素,进而为未来的制度建设提出建议。更多还原

【Abstract】 Although the conception of equality is regarded as a principle both in the constitution law and in the laws of criminal justice in China, the specific connotation and relevant requirements of the equality theory in criminal justice have not been studied thoroughly and systematically. When the discussion of equality theory is prosperous in other disciplines of social science, the conversation concerning equality in the field of criminal justice is still at the stage of simple understanding and feeling originating from our daily life. However, the legislation and administration of criminal justice can never be based on such simple but instable understanding of equality. This dissertation is trying to seek for a theory of equality which is desirable and effective to the design and implementation of our criminal justice institutions, and to explore the direction of future reform in these areas according to the existing problems in our current criminal justice institutions and with reference to the relevant institutional elements abroad. This dissertation consists of four parts, including the introduction, the theoretical issues, the practical issues and the conclusion, among which the second and third parts compose the main body of this dissertation.The discussion of theoretical issues comprises two chapters focusing on the origin and development of the idea of equality, the theory of equal opportunity which will be used as the bedrock in this dissertation, and the general theories of the equal opportunity in criminal procedure. The essential objective of this part is to introduce and translate the theory of equal opportunity into the research field of criminal procedure.Chapter I Equality and Relevant Concepts. This chapter firstly analyzes the definition of equality and the origin of the idea of equality, on the base of which the history of equality theories are explored and their characteristics are examined, with the conclusion that the conception of equal opportunity has a stable position in and acts as the threshold of the framework of the theories of equality. Then, as seeking for another clue, this dissertation compares the equality with the other values and finds that the equality of opportunity is on the balance point of these values. In spite of sharing the name of“equality”, it expresses the requirements of several fundamental values, which indicates that it is the very intergradation of equality and other values. Accordingly, the dissertation regards the theory of equal opportunity as the theoretical foundation of this study. Moreover, this chapter explains under what circumstances the equal opportunity theory is connected with the criminal justice and the meaning of the terminology“equal opportunity”in this dissertation: (1) the equal opportunity theory is connected with the criminal justice both in the macro-context and in the micro-context. In the macro-context, the equal opportunity in criminal procedure is one of the essential components of social justice, i.e. the system of criminal justice is an indispensable part of the framework of human society. The equal opportunity in criminal procedure influences the living, competition and development of each individual in the society. In the micro-context, the equal opportunity in criminal procedure requires that each individual involved in the criminal procedure have equal opportunity of effectively using his procedural rights and taking advantage of the relevant specific institutions. It has no macroscale nature as the equal opportunity under social justice theories has, but will have an indirect impact on the latter. (2) The dissertation uses the concept of equal opportunity at two different dimensions: formal equality of opportunity and substantive equality of opportunity. The former reflects mainly the passive requirement pertaining to non-discrimination, while the latter primarily focuses on the active requirement,“leveling the playing field”.Chapter II General Theories of Equal Opportunity in Criminal Procedure. This chapter investigates the general theories of equal opportunity in criminal procedure based on the analysis in the previous chapter. It lays out the factors that affect the equal opportunity in criminal procedure, including the diversity of individuals, the subjective status of the judiciary and the police, and the objective effects of the institutions as well, and then anatomizes to what extent the functions of criminal justice system may satisfy the requirements of the conception of equal opportunity, with the conclusion that there are various systems with different functions in variety of areas under the framework of human society, and that as far as the conception of equality is concerned, the mission of criminal justice only has something to do with the equality of opportunity. Furthermore, the strength and the effect are dissimilar at those two dimensions mentioned above. The guarantee of formal equality of opportunity is basic and required, which demonstrates that the criminal justice system indeed abide by the conception of equality before the law, and that no discrimination originating from any irrelevant factors should has an impedient impact on the procedural rights of individuals. On the other hand, the effort toward the substantive equality of opportunity, which represents the latest tendency of the theory of equal opportunity, is a further and advanced standard. This standard involves the state action pertaining to provision of legal aid to those individuals who have deficiency of effectively using procedural rights. Accordingly, this chapter analyzes how the conceptions of formal and substantive equality of opportunity, respectively, exert influence on the design and implementation of criminal justice. The last part of this chapter studies the general institutional elements of criminal procedure required by the theory of equal opportunity, including the diversity of the authority, the obligation of notice, the regulation of discretionary power, the redistribution of social resources in criminal justice system, and the active participation of NGOs. These institutional elements underlie the whole process of criminal procedure, not only certain particular phases. Consequently, they are discussed in this part of the dissertation as the common elements consistent with the theory of equal opportunity.The discussion of practical issues comprises six chapters, from Chapter III to Chapter VIII, illustrating the contents concerning equality in the international standards and the criminal procedure principles in China, on the basis of which the last four chapters consider the theory of equal opportunity as the theoretical foundation and research method, choose the equal opportunity of the accused as the specific point, anatomize the problems existing in some institutions in criminal procedure, explore the causes, and elicit the relevant proposals.Chapter III Idea of Equality in International Standards. This chapter classifies the principles of equality in the international standards, and demonstrates that these principles can be divided into four categories: the general provisions (auxiliary clauses of anti-discrimination), independent provisions of the right to equality (“equality before the law” and“equal protection of law”), provisions as to certain classification (minor groups due to gender, race, ethnic group, age, disability, etc.), and special provisions of the equality in criminal procedure (the equality before the court, in custody, under non-custodial measures). This chapter makes some analyses and comments on those above-mentioned forms of international standards concerning equality.Chapter IV Equality of Opportunity and Criminal Procedure Principles in China. This chapter examines the principles of“equal application of law”and“right to use native language in proceedings”and their relationship with equal opportunity. As far as the former is concerned, this chapter compares it with the principle of“equality before law”and the principle of“procedure under law”, and analyzes the relationship between the conception of equal opportunity and four principles (“equal application of law”,“procedure under law”,“due process”and“equal protection”). As to the latter, this chapter discusses the principle per se and beyond, the focal point of which is the capability of fluent communication in criminal procedure. The further discussion is about the connection between the right to interpreter and equality of opportunity as well as the institutions related.Chapter V Equal Opportunity of the Accused and Non-custodial Measure Pending Trial. This chapter explores the relationship between non-custodial measure and equality of opportunity, and implies that the potential factors affecting equal opportunity of the accused include both the standards and the approaches of the application of non-custodial measure. Aiming at trying to resolve the practical problems such as excessive requirement of being guaranteed pending trial and difficulty for foreigners to be guaranteed pending trial, this chapter investigates and refers to the relevant institutions abroad, and tries to provide some proposals. Chapter VI Equal Opportunity of the Accused and Legal Aid to the Accused. This chapter analyzes the relationship between legal aid to the accused and equality of opportunity, and elicits that the potential factors affecting equal opportunity of the accused include the strength of discretion in providing legal aid, the caprice of the officials, the counsel-client relationship, the time of receiving the case, the lawyering skill, etc. In order to resolve the practical problems such as the low rate of obtaining legal aid by the general indigents, the caprice of the legal aid organizations, the deficiency of the composition and capacity of the legal aid counsels, the gulf between counsels and their clients, etc., this chapter then examines and refers to the relevant institutions abroad, and tries to provide certain advices.Chapter VII Equal Opportunity of the Accused and Discovery. This chapter studies the connection between discovery and equality of opportunity from the viewpoint of the equal opportunity of individuals playing the same role in criminal procedure (not from the viewpoint of equality of arms between the prosecutor and the defense), and elicits that the potential factors affecting equal opportunity of the accused include the initiation models of discovery, the scope of defense discovery, the interval between discovery and trial, etc. So as to resolve the practical problems in China, this chapter then explores and refers to the relevant institutions abroad, and tries to provide suggestions.Chapter VIII Equal Opportunity of the Accused and Criminal Reconciliation. This chapter investigates the connection between criminal reconciliation and equality of opportunity, and concludes that the potential factors affecting equal opportunity of the accused include the position of financial compensation on the scale of reconciliation manners, the alternative possibility of financial compensation, the auxiliary institutions of leveling the playing field so as to help the indigent accused to take advantage of criminal reconciliation, etc. For resolving the practical problems in China, this chapter then explores and refers to the relevant institutions abroad, and tries to make contribution to the design of future institution of criminal reconciliation.更多还原