刑事诉讼可逆性程序研究

【作者】 陈春娅；

【导师】 孙宁华；

【作者基本信息】 西南政法大学 ， 诉讼法， 2007， 硕士

【摘要】 刑事诉讼程序是以时间为线索的，由法定的诉讼主体间行为和诉讼文书构成的一系列环节、步骤地总称。以时间为序，刑事诉讼程序可以分为“顺向运行程序”和“逆向运行程序”。刑事诉讼可逆性程序，是以时间为序从新角度对我国刑事诉讼法作出分类，指刑事诉讼程序在案件处理的过程中，由于出现法定情况，程序瑕疵或者事实不清、证据不足，先前经过的阶段归于无效，程序回逆的诉讼特殊情况。刑事诉讼可逆性程序在我国司法实践中表现为审查起诉阶段的程序回逆、庭审阶段的程序回逆和执行阶段的程序回逆，包括了退回补充侦查、二审发回重审、审判监督程序、死刑复核发回重审或改判等程序。这些阶段虽然内容繁杂，但对于实体正义及程序的自身完善都意义重大。遗憾的是，我国尚无学者以时间纬度对刑事诉讼程序进行研究，因此笔者试图打开刑诉研究的新方向，借鉴经典热力学的概念，以崭新的角度对刑事诉讼法进行研究。在研究过程中笔者注重程序本身设置的合理性，国外立法和刑事诉讼中各项程序的比照互补，归纳这些刑事可逆性程序的特性功效和缺陷，希望通过研究这一课题，弥补我国刑事诉讼立法中的散乱和薄弱，为司法实践找到一条尽量合理的出路。本文由四个部分构成。第一部分为刑事诉讼可逆性程序概述。在这个部分笔者介绍了刑事诉讼可逆性程序的概念和特征及其理论基础，指出刑事诉讼可逆性程序是诉讼程序在运行过程中出于某些原因的考虑，打破时间的单向性和不可逆性原则，使程序逆回，重复某些已经进行的诉讼程序。它具有涉及主体广泛、实施条件特定、效力特定等特征。对于刑事诉讼可逆性程序的理论基础，笔者主要介绍刑事诉讼可逆性程序的概念来源和其合理性，刑事诉讼可逆性程序是借鉴经典热力学的概念，以时间纬度来对刑事诉讼程序进行的研究。首先，它具有实体上的价值。在刑事领域，世界各国对正义的追求大同小异，基本出发点都是为了惩罚犯罪保障人权，刑事立法需要程序法来实现，同时科学的程序法才能保证实体正义的尽量实现。刑事可逆性程序作为刑事诉讼法的特别程序也具有这样的效应，但无论出于它的制定目的、它的实效还是出于它对法律功能的补救，刑事诉讼可逆性程序都有着更高的实体价值。再次，它具有独立的程序价值。这不仅仅表现在刑事诉讼可逆性程序对司法理念的实现中，还表现在它对于程序自身完善，自我补救的功能中。最后，它是司法公正与效率的相互协调，公正是司法的第一要素，在公正和效率发生冲突的时候，效率应屈居下位。当然，对此消极作用，也应该严格限制刑事可逆性程序的运用，司法公正和效率不可偏颇，只在特定情况下才能相互妥协和让步。第二部分为我国刑事诉讼可逆性程序现状分析，在这个部分，笔者介绍了我国刑事诉讼可逆性程序的法定种类和在实践中出现的问题。笔者主要通过目前我国对审查起诉阶段退回补充侦查、庭审中补充侦查、二审发回重审、审判监督程序、死刑复核发回重审或改判等程序的立法规定，对这些程序的可逆性进行介绍。对这些法定种类在实践中出现的问题笔者进行了详细的阐述，为后面的立法建议作下铺垫。第三部分为国外刑事诉讼可逆性程序介绍。它山之石，可以攻玉。笔者通过考察各国在不同阶段的刑事诉讼可逆性程序，借鉴其他国家的先进经验，希望对我国的刑事诉讼可逆性程序的构造有所启示。在这个部分，笔者分不同的阶段，对大陆法系和英法法系都有所考察，涉及到补充侦查、陪审制下的程序回逆、发回重审、再审制度、非常上诉、人身保护令、事实错误令等，视角全面，内容翔实。第四部分为构建我国刑事诉讼可逆性程序的初步构想。在这个部分中，笔者首先提出了改革构建我国刑事诉讼可逆性程序的原则——慎用原则、设计严密性原则、保障当事人合法权利原则。刑事诉讼可逆性程序是把双刃剑，因而在设计时应谨慎；刑事诉讼程序又是一个体系，要符合公平效率平衡论、人性论、系统论，刑事诉讼程序在设计时，应充分注意和其他程序的衔接，注重严密性；保护当事人合法权利更是设置刑事诉讼可逆性程序的初衷考虑。接下来，笔者提出刑事诉讼可逆性程序设置应当处理好的两个问题，一个是处理好与既判力的关系，另一个是处理好侦查起诉之间的关系，只有处理好这两个关系，才可能让刑事诉讼可逆性程序在实践中发挥其积极意义。最后是关于笔者对我国刑事诉讼可逆性程序具体环节上的完善建议。这些完善建议是建立在笔者借鉴国外刑事诉讼可逆性程序优点，参照学者对于刑事诉讼修改稿的建议，经过自己的思索得出的结论。由于涉及的程序过多，笔者不可能在每个程序作出完整的立法建议，只能对于每个阶段即迫解决的问题提一些自己的观点。不足之处，恳请赐教。更多还原

【Abstract】 Criminal procedure, which takes time as a clue, is the general name of a series of links and steps formed by behaviors and lawsuit documents between the litigants. Criminal procedures, for a time sequence, fall into two categories, the Smooth Operation Procedure and the Reverse Operation Procedure. The Criminal Reversible Procedure, defined in the view of time sequence on the basis of the Criminal Procedural Law in China, is a special circumstance of procedure reverse in lawsuit, during which the emergence of statutory conditions, including procedural flaws, unclear fact and lack of evidence reduces the previous finished procedures invalid.The Criminal Reversible Procedure, which performs as procedure reverse in stages for prosecution, trial and implementation, consists of procedures such as remanding a case for supplementary investigation, remanding a case for retrial in second instance or in review of death sentences and revising a judgment. Though the contents in such stages are miscellaneous, they are all of great significance for substantial justice and procedure improvement. Regrettably, none of scholars has ever done any research on criminal procedures with time as the latitude in China. Therefore, with the reference to the concept of classical thermodynamics, the writer makes an attempt to create a new method to do research on criminals procedures. The writer puts forward suggestions to find a proper way to cover the defects in the legislation of criminal procedures in China, focusing on therationality of procedures themselves, comparing criminal procedures and legislation abroad, and summing up features, effects and defects of the Criminal Reversible Procedure.The thesis consists of four parts. In Part 1, the summary of the Criminal Reversible Procedure. The writer introduces its concept, features and theoretical foundation, points out that the Criminal Reversible Procedure is the one that is created so as to reverse and repeat procedures that has already been finished in consideration of some reasons in operation, breaking the unidirectionality of time. It has the features of broad subjects involved, implementation conditions specified, effects specified and so on. For the theoretic basis of the Criminal Reversible Procedure, the writer mainly introduces its conceptual origin and rationality.In Part 2, the analysis of the current situation of the Criminal Reversible Procedure in China. The writer introduces its statutory types and problems appearing in practice. Analyzed the provision involved with the procedures of remanding a case for supplementary investigation, remanding a case for retrial in second instance or in review of death sentences, trial supervision and revising a judgment, the Writer introduces the reversibility of these procedures. The writer has made detailed discussion for the problems of statutory types appearing in practice.In Part 3, the introduction of the Criminal Reversible Procedure abroad. The writer reviews the criminal procedures of different stages in other countries, draws on the advanced experiences in other countries, and works for the enlightenment for us.In Part 4, the preliminary vision of the construction of the Criminal Reversible Procedure in China. In this part, firstly, the writer puts forward the principles for improvement of the Criminal Reversible Procedure——caution principle, scientific design principle and the principle ensuring the legal rights of involved party. Secondly, the writer suggests that the procedure should deal with two problems. The one is to handle the relations between the procedure and the adjudged force. The other is to deal well with the relations between the criminal prosecution and the investigation. Finally, based on the advantages of the Criminal Reversible Procedure abroad, referred to suggestions for the revised versions of the Criminal Procedural Law in China, the writer presents better solutions to improve criminal procedures in China.更多还原