【作者】 吕涛；

【导师】 肖金明；

【作者基本信息】 山东大学 ， 宪法学与行政法学， 2010， 博士

【摘要】 检察建议是一个比较“中国化”的法制现象。国外检察机关的建议基本上属于公诉职能的范畴,主要适用于刑事诉讼活动之中；而在我国检察建议则负有多元化的功能。通过历史考察,检察建议与检察职能之间具有内在的联系,检察职能是检察建议的直接根据,检察建议是检察职能的表现形式之一。一定的检察建议总是体现一定的检察职能,检察建议随着检察职能的日益完善而得到了丰富发展。检察建议的基本定位是立足检察职能、结合执法办案,不能重蹈历史上“一般监督”的覆辙。当然,以发展的眼光来看,检察职能的转型发展势必带动检察建议的同步发展；反过来,检察建议的创新实践也会推动检察职能的进一步拓展与完善。“检察职能——检察建议”这一研究思路不能脱离我国的检察制度以及宪政体制的内在规定性。从法理上分析,检察建议是检察机关在履行检察职能的活动中,针对妨碍检察目的之实现的有关违法行为或者诉讼活动事项、以及可能再次引发违法犯罪的隐患问题,以书面形式,向特定的被建议对象提出纠正、处理或者改进工作意见的检察行为。在我国人民代表大会制度下,检察建议以检察权为基础、依托乃至后盾,是一种手段性的检察行为。就其性质而言,检察建议是检察机关的一种表意行为,分别表达了参与诉讼、法律监督和预防违法犯罪的意思主张,属于权力行为,兼具强制性和说服性,产生程序意义上的法律效果。与一般检察行为相比,其自身特征表现为法律依据的概括性、法律地位的从属性、法律关系的协商性、法律行为的弱权力性、法律效果的不确定性。通过对目前检察建议多元化的适用范围和纷繁复杂的法律依据的系统梳理,以检察职能为分类依据,检察建议应分为参与诉讼类检察建议、法律监督类检察建议和预防违法犯罪类检察建议。三类不同的检察建议又各有不同的特点,分别适用于互向性的诉讼制约关系、单向性的法律监督关系和派生性的检察指导关系。如果把检察建议按照法律监督类到参与诉讼类再到预防违法犯罪类的顺序排列,那么就存在一个强制性逐渐趋弱、而说服性逐渐增强的状态。三类检察建议分别配合和辅助各自对应的检察职能在实践中发挥了延伸执法效果,推动社会治安综合治理和反腐倡廉建设,彰显检察工作的社会价值；完善检察手段,形成“刚柔相济”的监督方法,实现法律监督的“软着陆”；提高诉讼效率,回应人民群众的司法需求,及时实现公平正义；强化法律监督,稳妥拓展法律监督的范围,促进依法行政和公正司法等一系列重要功能,但由于检察建议自身的法制化程度不高,检察建议在实践中美誉与毁誉同在,亟需改造。通过与司法建议、行政建议的比较分析,法院的司法建议的法制化程度及其面临的问题与检察建议大体相当,而且二者在适用范围上有着相当大的重合度,很有整合的必要；行政建议的理论与立法则比较成熟,值得检察建议在制度完善上深入借鉴。作为一项“实践中的权力”,检察建议的完善和发展面临着法制化的重要任务。无论从现实的必要性、根据的合法性、理论的合理性、还是客观的规律性等几个层面上来看,检察建议法制化发展具有正当性基础。检察建议法制化的首要任务就是立法,尽快解决因法律依据不足造成的理论上认识不统一、实践中权威不高、功能结构失调、适用范围混乱、运行程序失范等问题,使检察建议在法理上所具有的正当性及时转化成为制度上的“合法性”,进一步提高正当性水平,并以此来推动检察建议在实践中逐步走向成熟和完善。其中,法律监督类检察建议和主要的参与诉讼类检察建议应当转化为检察职权行为,预防违法犯罪类检察建议属于检察指导或检察服务行为,不作为检察机关的法定职权。着眼于检察职能从“诉讼型”向“宪政型”的转型发展,检察机关应当发挥一个宪政机关的制度功能,不仅仅继续发挥参与诉讼的职能,更应当全面展开法律监督职能,将法律监督的范围涵盖至行政执法活动和立法活动。随之,检察建议也应当从诉讼活动中走出来、扩展于检察机关对行政执法活动和立法活动的监督。稳妥起见,检察建议法制化的进程应当明确思路、循序渐进、分步实施,目标模式是国家专门制定《检察建议法》。之前,可以选择一些过渡性举措。一是修改和完善《人民检察院检察建议工作规定(试行)》,既要对应检察机关诉讼参与职能、法律监督职能和预防违法犯罪职能等不同职能确立不同特点的检察建议,又要对检察建议以及检察意见、纠正违法通知书的适用范围进行协调安排,避免它们交叉混用或不合理使用的现象。二是联合会签有关规范性文件,对于诉讼活动中检察建议的实施问题,特别是民行再审检察建议、更换办案人的建议、量刑建议等,最高人民检察院应与最高人民法院、公安部、司法部等联合或者分别会签有关规范性文件；对于行政执法活动中检察建议的实施问题,最高人民检察院应与国务院联合会签有关规范性文件。三是引导和促进地方立法,通过人大系统来积极促进和规范地方人大的相关立法活动,进而推动国家层面的统一规范立法进程。四是推进国家修法和立法解释,把检察建议分别写入《人民检察院组织法》、《刑事诉讼法》、《民事诉讼法》和《行政诉讼法》之中；对于立法活动中检察建议的实施问题,应由全国人大常委会作出立法解释、进行授权,将检察建议明确定位为提起违宪审查的一项专门权力。五是大力推动专门立法《检察建议法》。《检察建议法》的总体思路是进一步充实和强化法律监督类检察建议,尤其要总结完善诉讼监督的检察建议,重点拓展监督行政执法活动的检察建议,合理规定监督立法活动的检察建议；巩固和简化参与诉讼类检察建议；调整和弱化预防违法犯罪类检察建议。最后,本文提出了《检察建议法》学术建议稿。按上述思路,基本框架拟为五部分,第一部分“总则”,主要规定了立法宗旨、检察建议的内涵、检察建议的基本原则等；第二部分“检察建议的内容、对象和适用范围”,主要就法律监督类检察建议、诉讼参与类检察建议和预防违法犯罪类检察建议作出规定；第三部分“检察建议的实施程序”,主要规定了检察建议的主体、管辖、审批、送达、备案、督办、救济、变更或撤销以及检察建议活动中的调查取证等问题；第四部分“法律责任”,从被建议对象、检察机关两个方面分别进行规定；第五部分“附则”,规定其它有关事项,从而形成了较为系统的立法建议文本,以期为检察建议法制化发展提供有益支持。更多还原

【Abstract】 Procuratorial suggestion is a very "Chinized" legal phenomenon. The suggestion of the foreign procuratorial organs basically belongs to the category of public prosecution functions, mainly applying to criminal procedure enforcement. But in China, procuratorial suggestion exerts pluralistic functions. Through historical investigation, procuratorial suggestion and procuratorial function have intrinsic relationship: procuratorial function provides direct basis for procuratorial suggestion, and procuratorial suggestion is one of the manifestations of procuratorial function; the given procuratorial suggestion always embodies the certain procuratorial function, and with the increasing improvement of procuratorial function, procuratorial suggestion have been developed abundantly. Procuratorial suggestion’s basic position is to base on procuratorial function, to combine law enforcement and case-handling, and not to recommit the same error of "common supervision" in the past. Of course, from the perspective of development, the transformation and development of procuratorial function certainly drive procuratorial suggestion to make progress synchronously; in turn, the innovative practices of procuratorial suggestion will also promote further expansion and improvement to procuratorial function.The study idea of "procuratorial function-procuratorial suggestion" can not be divorced from Chinese procuratorial system and the inherent regulations of the constitutional system. Analyzing from the nomology, when procuratorial organs take procuratorial function in to practice,, procuratorial suggestion includes those behaviors which are to urge the specific objects to correct, deal with or improve their work in written form, aiming at related offence behaviors or litigation matters which impede the realization of procuratorial purposes and the hidden troubles which may lead to illegal and criminal cases again.Under the system of National People’s Congress, based on, relying on even and supported by procuratorial power, procuratorial suggestion is a sort of instrumental procuratorial behavior. As far as its nature is concerned, procuratorial suggestion is a kind of expressive behavior of procuratorial organs, and respectively expresses propositions of participating in litigation, legal supervision and preventing illegal and criminal cases. Therefore, it belongs to behavior of power,bears compulsory and persuasive at the same time and generates legal effect in procedural sense. Compared with common procuratorial behavior, procuratorial suggestion is characterized by the generalization of legal basis, the subordination of legal status, the negotiation of legal relationship, the weak power of legal behavior and the uncertainty of legal effect. Through systemic arrangement to the pluralistic applicable scope and complex legal basis of current procuratorial suggestion, based on procuratorial function, procuratorial suggestion should be classified into three types:procuratorial suggestions of participating in litigation, of legal supervision and of preventing illegal and criminal cases. These three types of procuratorial suggestion have different characteristics and respectively apply to bidirectional litigation restricting relations, unidirectional legal supervision relationship and derivative procuratorial guidance relationship. If people range procuratorial suggestion in accordance with the type of legal supervision, of participating in litigation and then of preventing illegal and criminal cases orderly, then there is a state of compulsion gradually weakening, and persuasiveness gradually strengthening.。Respectively cooperating and supporting each corresponding procuratorial functions, three types of procuratorial suggestions play a role in the extending law-enforcement effect in practice, promote the comprehensive governance of public security and the construction of fighting against corruption and of encouraging honesty, highlight the social value of procuratorial work; three types of procuratorial suggestions improve procuratorial means, form the supervision method of "combining hardness and softness", and realize the "soft landing" of legal supervision; they strengthen legal supervision, respond to the people’s judicial needs, and timely achieve fairness and justice; they implement constitutional position of procuratorial power, expand the scope of legal supervision steadily, and promote administration according to law and judicial administration fairly. However, because of the lower legalization degree itself, procuratorial suggestion has both good and bad reputation in practice and needs to be transformed urgently. Through comparative analysis with judicial and administrative suggestions, the legalization degree of the court’s judicial suggestions and existing problems are roughly equivalent to procuratorial suggestion, and both of them have a considerable degree of coincidence in applicable scope, so integration is very necessary. On the other hand, the theory and legislation of administrative suggestions are relative mature, so it is valuable for procuratorial suggestions to fully use for reference in the improvement of system.As "a power in practice", the improvement and development of procuratorial suggestion is facing the important task of the legalization. Whether from the necessity of reality, the legality of basis, the rationality of theory or from the regulation of objectivity, the legal development of procuratorial suggestion possess the legitimacy basis. The primary task of procuratorial suggestion’s legalization is legislation. The problems of non-uniform theoretical understanding, the lower authority in practice, imbalanced functional structure, disordered applicable scope, irregular operating procedure all of which caused by the inadequate legal basis must be settled as soon as possible and timely so as to transform the procuratorial suggestion’s legitimacy in nomology into the "legality" in institution, to further improve the level of legitimacy, and thus to drive procuratorial suggestion gradually to being mature and perfect. Among them, procuratorial suggestion of the type of legal supervision and the main of the type of participating in litigation should be transformed into procuratorial authority behavior, and procuratorial suggestion of the type of preventing illegal and criminal cases, which belongs to procuratorial guidance or procuratorial service behavior, does not act as procuratorial organs’ legal power. Focusing on the transformation of procuratorial function from "litigation type" to "constitutional type", the procuratorial organs should exploit the institutional functions of constitutional organs, not only continuing to exploit the function of participating in litigation, but also spreading the function of legal supervision in full and expanding the scope of legal supervision to administrative law-enforcement activities and legislative activities. Following this, procuratorial suggestion should also come out from the litigation activities, and make the procuratorial organs’supervision extend to administrative law-enforcement activities and legislative activities.To be on the safe side, the legalization process of procuratorial suggestion should have a clear idea and be progressive, step by step. The target model is the "Procuratorial Suggestions Law" our country makes specially. Before this, some transitional measures can be selected. Firstly, to modify and improve "Provisions of People’s Procuratorate Procuratorial Suggestions (Trial Implementation)" not only establishes different procuratorial suggestions corresponding to procuratorial organs’different functions of participating in litigation, of legal supervision and of preventing illegal and criminal cases, but also coordinates and arranges the applicable scope of procuratorial suggestions, of procuratorial opinions and of the notice of correcting illegal behavior, so that it can prevent the phenomenon from mixed or unreasonable use to them. Secondly, the relevant normative documents should be signed jointly. Regarding to the implementation of procuratorial suggestion in litigation activities, especially procuratorial suggestions of the retrial of civil and administrative cases, suggestions of replacing the investigators, and sentencing suggestions, Supreme People’s Procuratorate should sign the relevant normative documents jointly or respectively with Supreme People’s Court, Ministry of Public Security and Ministry of Justice; regarding to the implementation of procuratorial suggestion in administrative law-enforcement activities, Supreme People’s Procuratorate should sign the relevant normative documents with State Council. Thirdly, local legislation should be guided and promoted. The relevant legislation activities of local people’s Congresses are actively promoted and normalized through the People’s Congress system so as to promote national unified legislative process. Fourthly, nationpeople strive for national amending and legislative interpretation actively so that make procuratorial suggestion write into "Organic Law of the People’s Procuratorate", "Criminal Procedure Law", "Civil Procedure Law" and "Administrative Procedure Law"; regarding to the implementation of procuratorial suggestion in legislative activities, the NPC Standing Committee should make the legislative interpretation and authorization, and orient procuratorial suggestion as a kind of special power of instituting unconstitutional review definitely. Fifthly, special legislation of "Procuratorial Suggestions Law" should be promoted strongly. The general idea of "Procuratorial Suggestions Law" is to further enrich and strengthen procuratorial suggestion of the type of legal supervision, in particular to summarize and to improve procuratorial suggestion of litigation supervision, to emphasize on expanding procuratorial suggestion of supervising administrative law-enforcement activities, regulate procuratorial suggestion of supervising legislative activities reasonably; The general idea is to consolidate and to simplify procuratorial suggestion of the type of participating in litigation, to restructure and to weaken procuratorial suggestion of the type of preventing illegal and criminal cases. Finally, this paper provides academic proposal draft of "Procuratorial Suggestions Law". According to the above idea, the basic framework of this paper consists of five parts. The first part of "general principles" mainly stipulates the legislative purpose, the implied meaning and basic principles of procuratorial suggestion and so forth; the second part of "the content, object and applicable scope of procuratorial suggestion" establishes related provisions to procuratorial suggestion of the types of legal supervision, of participating in litigation and of preventing illegal and criminal cases respectively; the third part of "the implementation procedures of procuratorial suggestion" mainly prescribes such issues of the subject, domination, examination approval, delivery, recording, supervision, almsgiving, alteration or revocation of procuratorial suggestion, and the investigation and evidence collection in the procuratorial suggestion; the fourth part of "legal responsibility" regulates related provisions from the suggested objects and procuratorial organs respectively; the fifth part uiof "supplementary articles" ordains other relevant items, thus forms a relative systematic legislative suggestion’s text so as to provide valuable support for the legalization development of procuratorial suggestion.更多还原