我国侦查权配置问题研究

【作者】 周欣；

【导师】 宋英辉；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2009， 博士

【摘要】 侦查权配置是构建侦查制度的基础和根据。侦查权配置是否合理不仅关系到诉讼中公权力与私权利能否平衡,而且也影响到司法活动能否公正、高效、权威、顺畅的运行。因此,本文从理论和实务,域内和域外,纵向和横向多视角对侦查主体设置、侦查权限划分及侦查权控制三个方面对侦查权配置进行探索和比较,并结合我国刑事诉讼实践中亟待解决的问题逐一进行剖析和论证,提出尽可能详尽的立法建议与改革方案。全文共分为六章。第一章,侦查权配置相关基本范畴。以侦查概念为研究起点,重点围绕侦查权与侦查主体进行探究。首先,从诉讼一体化视角出发,指出我国侦查权属于司法权(诉讼权),而不是行政权。其次,从概念的逻辑关系出发,厘清侦查主体与侦查机关的关系,得出如下结论:目前我国共有五个侦查主体,三个侦查机关,且侦查机关的性质不应由侦查权属性决定,而应由侦查机关所依附的国家机关基本职权性质决定。进言之,作为侦查机关的公安机关、国家安全机关属于行政机关,检察机关则属于司法机关,军队保卫部门为军事机关,监狱属于司法行政机关、海关总署走私侦查部门属于行政机关。第二章,侦查权配置理论基础。重点探究侦查权配置的理论架构。侦查权配置的理论基础由三个部分组成:基础理论、诉讼理论和特色理论。其中,国家契约论、人民主权论、分权制衡论、权力合法论、权力有限论等当代国家权力配置学说是侦查权配置的基础理论;权力法定、控审分离、控辩平等、参与民主、司法控制等刑事诉讼权力配置理论是侦查权配置的直接理论;我国侦查权配置的特色理论与原则包括:人民民主专政理论与人民代表大会制、列宁检察制度理论指导下的法律监督原则。第三章,外国与我国港澳台地区侦查权配置考究。以不同法域、不同国家为视角,对侦查主体、侦查权限及侦查权控制三个方面的内容进行考察比较。这种研究方法既可以拓宽研究视野,也为我国合理配置侦查权提供更加丰富的可供借鉴的理论与实践经验。第四章,我国侦查主体的设置。在对我国侦查主体设置状况进行梳理的基础上,重点探索并提出我国设置侦查主体应当遵循的五项原则:国家最高权力机关设立侦查主体原则、侦查主体权力性质协调一致原则、侦查主体设置必要性原则、侦查活动便利性原则和侦查资源有效利用原则;同时针对我国侦查主体资格及权力授予程序中存在的不合理现象进行反思。其中,对监狱侦查权的法律授予程序、赋予检察机关侦查权的正当性及实践中出现的“行业公安”扩大化、公安机关内部侦查权泛化等问题逐一进行剖析论证,并对当前社会中自发涌现的私人侦探业提出应当尽早纳入法治轨道,并对其从组织管理、行为方式、受案范围、法律责任等方面进行法律规制。第五章,我国侦查权限的划分。重点探究三个问题。其一,勾勒我国侦查权限划分的基本框架,即从刑事案件管辖权范围的宽窄、强制侦查权适用的主体范围、侦查权的适用程序等方面划分权限。其二,提出我国侦查权限划分的五项原则:权力与职责相匹配原则;权力与权利相平衡原则;权力分散与集中相结合原则;权力强度与程序繁简程度成正比原则;权力效益最大化原则。其三,对我国实践中有关侦查权限划分存在的主要问题进行剖析,并提出立法修改建议。第六章,我国侦查权控制机制。主要围绕诉讼框架内如何完善侦查权控制体系展开探究。首先,归纳了我国侦查权控制的三种主要方式:侦查主体的内部监督、人民检察院对侦查活动司法控制,以及人民法院对侦查活动事后控制。其次,指出现行控制模式存在行政色彩过浓,监督机制过弱,不能起到有效的监督和制约作用等方面的问题。最后,提出完善建议,即在强化检察机关自侦权内部监督的同时,加强外部的诉讼监督机制,并取消羁押场所的侦查职能,确立羁押复查制度。更多还原

【Abstract】 The distribution of investigation power is the foundation and basis of establishment investigation system. Whether it is reasonable has an influence not only on the balance between public power and private rights in proceedings, but also on whether the judicial activities can operate fairly, efficiently, authoritatively and smoothly. Therefore, from multi-angle of theory and practice, intra-and extra-territorial, vertical and horizontal, the author explores and compares the settings of investigative subject, the distribution and control of investigation power. After that, the author analyzes and demonstrates the emerging issues requiring urgent solution in criminal proceedings. Lastly, some constructive reform proposals and programs are put forward.This dissertation contains six chapters as follows.Chapter 1, The relative concepts of the distribution of investigation power. Starting from a research on the concept of investigation, this chapter focuses on the investigation power and investigative subject. Firstly, from the perspective of integrated litigation, the author points out that China’s investigation power belongs to the judicial power (right of action), rather than the administrative power. Secondly, from the logical relationship of the concepts, the relationship between investigative subject and investigation organs is clarified. After that, the author concludes that tthere are five investigation subject and three investigative organs in China at present and the nature of the investigation organs should not be determined by the attribute of the investigation power, but by the nature of the basic empowerment of the investigation organs which are subsidiary to state organs. Furthermore, the author argues that the public security organ, the state security organ and the smuggling investigation department of the maritime customs administration belong to administrative organ; inspection organ belongs to judicial organ; the armed forces belongs to military organ and the prison administration belongs to the judicial organs.Chapter 2, The theoretical basis of the distribution of investigation power. This chapter focuses on the theoretical framework of the distribution of investigation power which is composed of basic theory, lawsuit theory and typical theory. The basic theory includes the national power distribution theory such as state contract theory, people’s sovereignty, power separation theory, legal rights theory, limited power theory, etc; the direct theory includes the criminal prosecution rights distribution theory such as statutory authority, separation of prosecution and trial, equality between prosecution and defense, participatory democracy, judicial control power distribution, etc; and the typical theory and principle include the people’s democratic dictatorship regime theory, the people ’ s congress system and legal supervision principle under guidance of Lenin’s theory of the prosecution system.Chapter 3, The research on the distribution of investigation power of foreign countries and Hong Kong, Macao and Taiwan. From the perspective of different jurisdictions and different countries, the author compares the subject, the purview and the control of investigation power. This approach can not only broaden the research perspective, but also provide rich theoretical and practical experience for the rational distribution of China’s investigation power.Chapter 4, The setting of China’s investigation subject. Base on the exploration of China’s investigation subject setting, the author argues that China’s investigation subject setting should follow five main principles: the investigation subject should be established by the highest authority; the characters of the power of investigation subject should be coordinated; the investigation subject should be established according to real situation;the investigation activities should be convenient; the investigation resources should be used efficiently. At the same time, this chapter reflects on the unreasonable phenomenon existing in the qualifications of investigation subject and the investigation power granting procedures. After that, the granting procedure of the prison investigation power, the rightness of granting the investigation power for the inspection organ, the expansion of "public security industry" in practice, and the overuse of investigation power among the public security organs are analyzed one by one. After that, the author proposes that the private detective industry which emerges spontaneously in our society should be incorporated into the law track as soon as possible. Furthermore, a comprehensive legal regulation should be applied to the private detective industry in the organization management, behavior patterns, scope of accepting cases, legal liability, etc.Chapter 5, The division of China’s investigation purview. This chapter focuses on three issues: firstly, outlining the basic principle framework of China’s investigation authority granting, which includes the jurisdiction of criminal cases, the application scope of the mandatory investigation power and the division jurisdiction of the investigation power; secondly, proposing five principles of China’s investigation authority division: the power and responsibilities should be matched; the power and the rights should be balanced; the decentralization and focus of the power should be combined; the intensity of power should be in proportion to the complexity of the procedure;the maximization of the effectiveness of the power; thirdly, analyzing the main problems existing in the practice of China’s division of investigation power and proposing legislative amendments.Chapter 6, The control mechanism of China’s investigation power. This chapter focuses on how to improve the control system of China’s investigation power surrounding the litigation framework. Firstly, the author summarizes the three main control modes of China’s investigation power: investigation subjects’internal supervision, the People Procuratorate’s judicial control on the investigation activities of, as well as the People Court’s post-control of the investigation activities. Secondly, the author points out the problems are existing in the current control mode, which cannot play an effective role of supervision and restriction as a result of heavy administration color and weak monitoring mechanisms. Finally, a sound proposal to strengthen the supervision of the inspection organ by both themselves and the third party is put forward. Besides, the author advises to abolish the investigation function of detention places, and to establish detention review system.更多还原