检察机关内部监督制约机制研究
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摘要
“一切有权力的人都容易滥用权力,.这是一条万古不易的经验,有权力的人们使用权力一直到遇有界限的地方才‘休止”。“防止滥用权力的办法,就是以权力制约权力。”‘。这深刻揭示了权力之间相互监督制约的本质。因此,为了防止权力滥用,必须用其它权力予以必要地监督和制约。本文从分析检察机关内部监督制约的内涵出发,说明了我国检察机关内部监督制约机制存在的必要性。同时针对当前检察机关内部监督制约机制的现状,从实证的角度分析其存在缺陷的根源。最后借鉴同行的研究结果,从我国检察机关尤其是基层检察机关的实际出发,结合笔者自身粗浅的体会,阐述了如何在当今检察机关内部重构监督制约机制,以期能对我国检察机关内部制约机制的完善提供有益参考,为确保我国检察权能够公正廉洁执法,提高执法公信力尽自己的绵薄之力。
本文正文分为四个部分,共20000多字。
第一部分为我国检察机关内部监督制约机制的必要性。通过对何谓检察机关内部监督制约的设疑,从分析其内涵和外延出发,指出我国的检察机关内部监督制约的内涵和外延不限于检察机关自身的自侦案件,还应包括非直接立案、侦查的案件；不限于公诉权、职务犯罪侦查权、逮捕权,还应包括诉讼监督权；不限于一级检察机关内部的监督制约,还应包括上下级检察机关的监督制约。从而推出我国检察机关内部监督制约机制存在的必要性。
第二部分为我国检察机关内部监督制约机制的现状及原因。近年来,我国检察机关在内部监督制约机制建设力度方面有不断加强的趋势,并进行了很多有益的探索,但总体来讲,检察机关内部监督制约机制还存在以下诸多缺陷：一是注重实体监督,缺乏程序监督；二是注重事后监督,缺乏同步监督；三是注重人员监督,缺乏制度监督；四是已有措施存在“形式主义”倾向；五是对办案人员的有效监督存在缺失；六是诉讼活动权责分离。通过对存在缺陷的分析,其主要原因在于：上级检察机关对下级检察机关的领导和监督机制尚未有效运转,使上级检察机关对下级检察机关的监督指导随意性较强,影响了检察权的正确运行；行政化的案件监督管理模式有违现代司法活动规律,致使对执法活动的监控能力进一步弱化；尚未有效建立对自侦案件关键环节的监督机制,致使对自侦案件的立案监督出现空白点；尚未完善各部门之间的双向、互动制约机制,导致一些错误的决定得不到及时、有效的纠正；尚未充分发挥检察委员会的监督职能,致使检察委员会工作的质量与效率跟法律职责的要求不相适应,这影响到对检察业务进行监督乃至对检察长的监督。
第三部分为检察机关内部监督制约机制的完善。我国检察机关内部监督制约机制的完善有其基本前提,即要具有统一性,必须从全国检察机关一盘棋这个大局出发；要具有综合性,此内容与彼内容、某形式与他形式具有不可分割的关联；要具有规范性,内部监督制约机制是由法律、规章、条例等明文规范构成的。同时要遵循一定的规则作为理论支撑,其一,内设机构的设置要合理、科学。这是检察机关内部监督制约机制高效运作的载体条件。其二,内部管理体制要健全、完善。这是检察机关内部监督制约机制高效运作的基本保障。其三,要正确把握几个关系。一是正确把握内设机构的工作体系与内部监督制约机制的关系；二是正确把握内设机构之间的相互制约与内部监督制约机制的关系；三是正确把握上级检察院及内设机构与下级检察院及内设机构的关系。其四,要遵循相关原则。即要遵循独立审查原则、不超越职权原则、实体把关、程序过滤原则和宏观指导原则。在具体的框架设计中：第一要强化思想认识,树立和增强接受监督制约意识；第二要设置专门的业务监督部门,负责内部监督事务；第三要强化内设机构的横向监督制约,构建内部层级监督和平行监督的“责任链”；第四要强化上下级检察机关之间的纵向监督制约,构建垂直监督的“责任链”；第五要强化对领导干部的监督,防止权力失控、决策失误、行为失范；第六要深化执法责任,切实落实错案责任追究制。
第四部分为结语部分,对全文做了全面的概述,并简要阐述了笔者写作的意图和本文的价值所在。
"All the people with power may abuse it easily, which is an eternal and unchangeable experience and people with power use it until it is used up". "The way to prevent the abuse of power is to restrict power by power". The two profoundly reveal the essence of mutual supervision and restriction of powers. Therefore, the abuse of power must be prevented by other powers to have it supervised and restricted. This paper begins with the connotation of internal supervision and restriction of procuratorial organs to illustrate the necessity of internal supervision and restriction of procuratorial organs in China. In the meantime, this paper, on the basis of the status quo of internal supervision and restriction mechanism of procuratorial organs, analyzes the origins of the deficiencies of the mechanism from the perspective of empirical research. And finally, this paper, by reference to research achievements of the persons in the same occupation, elaborates on how to reconstruct internal supervision and restriction mechanism of procuratorial organs, hoping to offer modest means to provide conducive reference for the improvement of internal restriction mechanism of procuratorial organs in China, ensure the procuratorial organs in China can fairly and honestly enforce the law and improve public faith of law enforcement.
This paper is composed of four parts, more than 20,000 in total.
The first part elaborates on the necessity of internal supervision and restriction mechanism of procuratorial organs in China. This part proposes questions for internal supervision and restriction of procuratorial organs, analyzes its connotation and extension, and indicates that the connotation and extension of internal supervision and restriction mechanism of procuratorial organs in China should not be limited to self-investigation cases of procuratorial organs, and should also include indirect putting-on-file cases and indirect investigation cases; should not be limited to prosecution power, investigation power for crime by taking advantage of the official power and arrest power, and should also include supervision power on litigation; should not be limited to internal supervision and restriction at first-level procuratorial organs, and should also include supervision and restriction between superior and subordinate procuratorial organs. All of these prove the necessity of internal supervision and restriction mechanism of procuratorial organs in China.
The second part discusses the status quo and reasons of supervision and restriction mechanism of procuratorial organs in China. In recent years, the building of supervision and restriction mechanism of procuratorial organs in China tends to be strengthened and many conducive explorations have been made. However, in the whole, supervision and restriction mechanism of procuratorial organs still have the following deficiencies:the first is focusing on substantial supervision but lack of procedural supervision; the second is focusing on behindhand supervision but lack of synchronous supervision; the third is focusing on personnel supervision but lack of system supervision; the fourth is that the existing measures tend to be "formalism"; the fifth is the default of efficient supervision on the personnel in charge of cases; and the sixth is the separation between powers and duties in litigation activities. By the analysis of the existing deficiencies, this paper holds that the reasons for the deficiencies are as follows:leading and supervision mechanism between the superior procuratorial organs and the subordinate procuratorial organs has not yet been efficiently operated, resulting in strong random of supervision and guiding from the superior procuratorial organs to the subordinate procuratorial organs, which has affected the adequate operation of procuratorial power; administrative management model of case supervision violates modern justice activity law, resulting in further weakening of monitoring capacity of law enforcement activity; failure of efficient establishment of supervision mechanism of crucial links of self-investigation cases, resulting in the gap in the supervision on the self-investigation cases put on file; failure of the improvement of mutual and interactive restriction mechanism between the departments, resulting in the untimely and inefficient corrections of some wrong decisions; failure of full exertion of supervision functions of procuratorial committees, resulting in the incompatibility between the quality and efficiency of the work of procuratorial committees and the required functions by law, which affects the supervision on the procuratorial profession and even chief procurators.
The third part elaborates on the improvement of internal supervision and restriction mechanism of procuratorial organs. The improvement of internal supervision and restriction mechanism of procuratorial organs in China has its basic prerequisites, that is, the uniformity, proceeding from the general situation of all procuratorial organs in the whole country; the synthesis, the indivisible relation between this content and that content, some style and other style; and regularity, which means law, articles and regulations are the constituent parts of internal supervision and restriction mechanism. In the meantime, some rules must be used as theoretical support, including the first is the rationale and science of the establishment of internal departments, which is carrier condition for high-efficient operation of internal supervision and restriction mechanism of procuratorial organs; the second is the soundness and improvement of internal management system, which is the basis guarantee for high-efficient operation of internal supervision and restriction mechanism of procuratorial organs; the third is to correctly grasp several relationships:the first is to correctly grasp the relationship between work system of internal departments and internal supervision and restriction mechanism; the second is to correctly grasp the relationship between mutual restriction of internal departments and internal supervision and restriction mechanism; and the third is to correctly grasp the relationship between the superior procuratorial organs and internal departments and the subordinate procuratorial organs and internal departments; the fourth is to follow relevant principles, that is, to follow separate examination principle, non-exceeding authority principle, substantial check and procedural filtration principle and macro-guiding principle. In the specific framework design, we should firstly intensify ideological understanding, adopt and strengthen the acceptance idea of supervision and restriction; secondly establish special business supervision departments to take charge in internal supervision business; thirdly intensify lateral supervision and restriction of internal departments to construct "responsibility chain" between internal level supervision and parallel supervision; fourthly intensify portrait supervision and restriction between the superior procuratorial organs and the subordinate procuratorial organs to construct "responsibility chain" of vertical supervision; fifthly intensify the supervision on leading cadre to prevent the out of control of powers, decisions and the out of regularity of conducts; and sixthly deepen law enforcement responsibility and earnestly put into practice investigation liability of wrong cases.
The fourth part is the Conclusion, which makes a brief conclusion of the whole paper, and briefly elaborates on the intent of the author and the value of this paper.
本文正文分为四个部分,共20000多字。
第一部分为我国检察机关内部监督制约机制的必要性。通过对何谓检察机关内部监督制约的设疑,从分析其内涵和外延出发,指出我国的检察机关内部监督制约的内涵和外延不限于检察机关自身的自侦案件,还应包括非直接立案、侦查的案件；不限于公诉权、职务犯罪侦查权、逮捕权,还应包括诉讼监督权；不限于一级检察机关内部的监督制约,还应包括上下级检察机关的监督制约。从而推出我国检察机关内部监督制约机制存在的必要性。
第二部分为我国检察机关内部监督制约机制的现状及原因。近年来,我国检察机关在内部监督制约机制建设力度方面有不断加强的趋势,并进行了很多有益的探索,但总体来讲,检察机关内部监督制约机制还存在以下诸多缺陷：一是注重实体监督,缺乏程序监督；二是注重事后监督,缺乏同步监督；三是注重人员监督,缺乏制度监督；四是已有措施存在“形式主义”倾向；五是对办案人员的有效监督存在缺失；六是诉讼活动权责分离。通过对存在缺陷的分析,其主要原因在于：上级检察机关对下级检察机关的领导和监督机制尚未有效运转,使上级检察机关对下级检察机关的监督指导随意性较强,影响了检察权的正确运行；行政化的案件监督管理模式有违现代司法活动规律,致使对执法活动的监控能力进一步弱化；尚未有效建立对自侦案件关键环节的监督机制,致使对自侦案件的立案监督出现空白点；尚未完善各部门之间的双向、互动制约机制,导致一些错误的决定得不到及时、有效的纠正；尚未充分发挥检察委员会的监督职能,致使检察委员会工作的质量与效率跟法律职责的要求不相适应,这影响到对检察业务进行监督乃至对检察长的监督。
第三部分为检察机关内部监督制约机制的完善。我国检察机关内部监督制约机制的完善有其基本前提,即要具有统一性,必须从全国检察机关一盘棋这个大局出发；要具有综合性,此内容与彼内容、某形式与他形式具有不可分割的关联；要具有规范性,内部监督制约机制是由法律、规章、条例等明文规范构成的。同时要遵循一定的规则作为理论支撑,其一,内设机构的设置要合理、科学。这是检察机关内部监督制约机制高效运作的载体条件。其二,内部管理体制要健全、完善。这是检察机关内部监督制约机制高效运作的基本保障。其三,要正确把握几个关系。一是正确把握内设机构的工作体系与内部监督制约机制的关系；二是正确把握内设机构之间的相互制约与内部监督制约机制的关系；三是正确把握上级检察院及内设机构与下级检察院及内设机构的关系。其四,要遵循相关原则。即要遵循独立审查原则、不超越职权原则、实体把关、程序过滤原则和宏观指导原则。在具体的框架设计中：第一要强化思想认识,树立和增强接受监督制约意识；第二要设置专门的业务监督部门,负责内部监督事务；第三要强化内设机构的横向监督制约,构建内部层级监督和平行监督的“责任链”；第四要强化上下级检察机关之间的纵向监督制约,构建垂直监督的“责任链”；第五要强化对领导干部的监督,防止权力失控、决策失误、行为失范；第六要深化执法责任,切实落实错案责任追究制。
第四部分为结语部分,对全文做了全面的概述,并简要阐述了笔者写作的意图和本文的价值所在。
"All the people with power may abuse it easily, which is an eternal and unchangeable experience and people with power use it until it is used up". "The way to prevent the abuse of power is to restrict power by power". The two profoundly reveal the essence of mutual supervision and restriction of powers. Therefore, the abuse of power must be prevented by other powers to have it supervised and restricted. This paper begins with the connotation of internal supervision and restriction of procuratorial organs to illustrate the necessity of internal supervision and restriction of procuratorial organs in China. In the meantime, this paper, on the basis of the status quo of internal supervision and restriction mechanism of procuratorial organs, analyzes the origins of the deficiencies of the mechanism from the perspective of empirical research. And finally, this paper, by reference to research achievements of the persons in the same occupation, elaborates on how to reconstruct internal supervision and restriction mechanism of procuratorial organs, hoping to offer modest means to provide conducive reference for the improvement of internal restriction mechanism of procuratorial organs in China, ensure the procuratorial organs in China can fairly and honestly enforce the law and improve public faith of law enforcement.
This paper is composed of four parts, more than 20,000 in total.
The first part elaborates on the necessity of internal supervision and restriction mechanism of procuratorial organs in China. This part proposes questions for internal supervision and restriction of procuratorial organs, analyzes its connotation and extension, and indicates that the connotation and extension of internal supervision and restriction mechanism of procuratorial organs in China should not be limited to self-investigation cases of procuratorial organs, and should also include indirect putting-on-file cases and indirect investigation cases; should not be limited to prosecution power, investigation power for crime by taking advantage of the official power and arrest power, and should also include supervision power on litigation; should not be limited to internal supervision and restriction at first-level procuratorial organs, and should also include supervision and restriction between superior and subordinate procuratorial organs. All of these prove the necessity of internal supervision and restriction mechanism of procuratorial organs in China.
The second part discusses the status quo and reasons of supervision and restriction mechanism of procuratorial organs in China. In recent years, the building of supervision and restriction mechanism of procuratorial organs in China tends to be strengthened and many conducive explorations have been made. However, in the whole, supervision and restriction mechanism of procuratorial organs still have the following deficiencies:the first is focusing on substantial supervision but lack of procedural supervision; the second is focusing on behindhand supervision but lack of synchronous supervision; the third is focusing on personnel supervision but lack of system supervision; the fourth is that the existing measures tend to be "formalism"; the fifth is the default of efficient supervision on the personnel in charge of cases; and the sixth is the separation between powers and duties in litigation activities. By the analysis of the existing deficiencies, this paper holds that the reasons for the deficiencies are as follows:leading and supervision mechanism between the superior procuratorial organs and the subordinate procuratorial organs has not yet been efficiently operated, resulting in strong random of supervision and guiding from the superior procuratorial organs to the subordinate procuratorial organs, which has affected the adequate operation of procuratorial power; administrative management model of case supervision violates modern justice activity law, resulting in further weakening of monitoring capacity of law enforcement activity; failure of efficient establishment of supervision mechanism of crucial links of self-investigation cases, resulting in the gap in the supervision on the self-investigation cases put on file; failure of the improvement of mutual and interactive restriction mechanism between the departments, resulting in the untimely and inefficient corrections of some wrong decisions; failure of full exertion of supervision functions of procuratorial committees, resulting in the incompatibility between the quality and efficiency of the work of procuratorial committees and the required functions by law, which affects the supervision on the procuratorial profession and even chief procurators.
The third part elaborates on the improvement of internal supervision and restriction mechanism of procuratorial organs. The improvement of internal supervision and restriction mechanism of procuratorial organs in China has its basic prerequisites, that is, the uniformity, proceeding from the general situation of all procuratorial organs in the whole country; the synthesis, the indivisible relation between this content and that content, some style and other style; and regularity, which means law, articles and regulations are the constituent parts of internal supervision and restriction mechanism. In the meantime, some rules must be used as theoretical support, including the first is the rationale and science of the establishment of internal departments, which is carrier condition for high-efficient operation of internal supervision and restriction mechanism of procuratorial organs; the second is the soundness and improvement of internal management system, which is the basis guarantee for high-efficient operation of internal supervision and restriction mechanism of procuratorial organs; the third is to correctly grasp several relationships:the first is to correctly grasp the relationship between work system of internal departments and internal supervision and restriction mechanism; the second is to correctly grasp the relationship between mutual restriction of internal departments and internal supervision and restriction mechanism; and the third is to correctly grasp the relationship between the superior procuratorial organs and internal departments and the subordinate procuratorial organs and internal departments; the fourth is to follow relevant principles, that is, to follow separate examination principle, non-exceeding authority principle, substantial check and procedural filtration principle and macro-guiding principle. In the specific framework design, we should firstly intensify ideological understanding, adopt and strengthen the acceptance idea of supervision and restriction; secondly establish special business supervision departments to take charge in internal supervision business; thirdly intensify lateral supervision and restriction of internal departments to construct "responsibility chain" between internal level supervision and parallel supervision; fourthly intensify portrait supervision and restriction between the superior procuratorial organs and the subordinate procuratorial organs to construct "responsibility chain" of vertical supervision; fifthly intensify the supervision on leading cadre to prevent the out of control of powers, decisions and the out of regularity of conducts; and sixthly deepen law enforcement responsibility and earnestly put into practice investigation liability of wrong cases.
The fourth part is the Conclusion, which makes a brief conclusion of the whole paper, and briefly elaborates on the intent of the author and the value of this paper.
引文
1 [法]孟德斯鸠：《论法的精神》(上),北京：商务印书馆,1982年版。
2 于同良：《论检察机关内部制约机制的完善》,政法论丛,1996年版,第1期。
3 现代汉语词典,北京：商务印书馆,1983年版。
4 中国检察理论研究所.检察理论研究成果荟萃,2001.55.
5 吴建政：检察机关监督制约机制的完善之我见,上海市政法管理干部学院学报,2001,(5).86.
6 王延祥：《自侦案件侦查监督措施的完善》,《上海市政法管理干部学院学报》1999.(3).135.
7 马家福,季美君：《检察院内部监督制约机制框架设计》,国家检察官学院学报,2003.(11).103.
8 李小勇：《论监督权的独立性》,中共福建省委党校学报,2006.(5).54.
9 李树军：《行政监督》,北京：世界知识出版社,226页。
10 马克思恩格斯全集,第1卷,第178页。
11 人民检察特约评论员：《强化内部监督制约提高法律监督公信力》,人民检察,2009.(15).5.
[1][法]孟德斯鸠：《论法的精神》(上),北京：商务印书馆,1982年版；
[2]于同良：《论检察机关内部制约机制的完善》,政法论丛,1996年版,第1期；
[3]现代汉语词典,北京：商务印书馆,1983年版；
[4]中国检察理论研究所.检察理论研究成果荟萃,2001.55；
[5]李树军：《行政监督》,北京：世界知识出版社,226页；
[6]马克思恩格斯全集,第1卷,第178页。
[1]吴建政：检察机关监督制约机制的完善之我见,上海市政法管理干部学院学报,2001(5).86；
[2]王延祥：《自侦案件侦查监督措施的完善》,《上海市政法管理干部学院学报》1999.(3).135；
[3]马家福,季美君：《检察院内部监督制约机制框架设计》,国家检察官学院学报,2003.(11).103；
[4]李小勇：《论监督权的独立性》,中共福建省委党校学报,2006.(5).54。
[1]《宪法》；
[2]《刑事诉讼法》；
[3]《人民检察院组织法》；
[5]《刑事检察工作细则》；
[6]《人民检察院刑事诉讼规则》；
[7]《人民检察院刑事赔偿工作规定》；
[8]《最高人民检察院刑事赔偿办公室关于建立刑事赔偿备案审查制度的通知》；
[9]《最高人民检察院检察人员执法过错责任追究条例》；
[10]《最高人民检察院“九条卡死”硬性规定》；
[11]《检察官纪律处分暂行规定》。
[1]人民检察特约评论员：《强化内部监督制约提高法律监督公信力》,人民检察,2009.(15).5。
2 于同良：《论检察机关内部制约机制的完善》,政法论丛,1996年版,第1期。
3 现代汉语词典,北京：商务印书馆,1983年版。
4 中国检察理论研究所.检察理论研究成果荟萃,2001.55.
5 吴建政：检察机关监督制约机制的完善之我见,上海市政法管理干部学院学报,2001,(5).86.
6 王延祥：《自侦案件侦查监督措施的完善》,《上海市政法管理干部学院学报》1999.(3).135.
7 马家福,季美君：《检察院内部监督制约机制框架设计》,国家检察官学院学报,2003.(11).103.
8 李小勇：《论监督权的独立性》,中共福建省委党校学报,2006.(5).54.
9 李树军：《行政监督》,北京：世界知识出版社,226页。
10 马克思恩格斯全集,第1卷,第178页。
11 人民检察特约评论员：《强化内部监督制约提高法律监督公信力》,人民检察,2009.(15).5.
[1][法]孟德斯鸠：《论法的精神》(上),北京：商务印书馆,1982年版；
[2]于同良：《论检察机关内部制约机制的完善》,政法论丛,1996年版,第1期；
[3]现代汉语词典,北京：商务印书馆,1983年版；
[4]中国检察理论研究所.检察理论研究成果荟萃,2001.55；
[5]李树军：《行政监督》,北京：世界知识出版社,226页；
[6]马克思恩格斯全集,第1卷,第178页。
[1]吴建政：检察机关监督制约机制的完善之我见,上海市政法管理干部学院学报,2001(5).86；
[2]王延祥：《自侦案件侦查监督措施的完善》,《上海市政法管理干部学院学报》1999.(3).135；
[3]马家福,季美君：《检察院内部监督制约机制框架设计》,国家检察官学院学报,2003.(11).103；
[4]李小勇：《论监督权的独立性》,中共福建省委党校学报,2006.(5).54。
[1]《宪法》；
[2]《刑事诉讼法》；
[3]《人民检察院组织法》；
[5]《刑事检察工作细则》；
[6]《人民检察院刑事诉讼规则》；
[7]《人民检察院刑事赔偿工作规定》；
[8]《最高人民检察院刑事赔偿办公室关于建立刑事赔偿备案审查制度的通知》；
[9]《最高人民检察院检察人员执法过错责任追究条例》；
[10]《最高人民检察院“九条卡死”硬性规定》；
[11]《检察官纪律处分暂行规定》。
[1]人民检察特约评论员：《强化内部监督制约提高法律监督公信力》,人民检察,2009.(15).5。