美国刑事商业性私人参与研究与借鉴

发布时间：2018-05-08 02:00

本文选题：刑事司法 + 私人侦探　；参考：《西南政法大学》2012年博士论文

【摘要】：“刑事商业性私人参与”在我国实在法层面是个空概念，但法律研究应以问题为导向，而不应被概念画地为牢。如何丰富权利实现手段、扩大人权保障是我国刑事理论需要回应的核心问题。刑事商业性私人参与制度，是美国刑事司法的一大特色，其多样化的实践和取得的丰富经验为我们提供了有益的借鉴。本文将“商业”、“私人”概念引入刑事理论研究，尝试从国家视角切换至市场视角观察刑事司法，探索借助市场手段解决我国刑事司法中某些疑难问题的可能性。本论文除前言和结语外，分为上、中、下三篇共八章。前言首先以案例入手引出问题，交待选题的缘起。通过分析案例，探寻理论界长期以来对类似问题难以破解的方法论失误，即局限于国家视角，而忽略了从市场视角、在司法机关之外寻找出路。进而引出本论题“刑事商业性私人研究”，就是从国家视角切换至市场视角的一个尝试。接着，前言部分对本文关键词包括“刑事”、“刑事私人参与”、“刑事商业性私人参与”等作了界定。上篇是叙事，对美国刑事商业性私人参与之现实图景作了全景扫描，包括第一、二、三章，包括第一、二、三章，分别考察了刑事证据调查中的商业性私人参与，即私人侦探；刑事强制措施中的商业性私人参与，即商业保释；刑罚执行中的商业性私人参与，即监狱私营。美国商业性刑事私人参与的产生与发展，可归因于公共刑事司法系统的缺陷为其创造的机遇和留下的空间。美国私人侦探产生于近代警察制度所形成的“空隙”；商业保释克服了传统保释制度的缺陷，增加了被告人在不能提供保证人或交付保释金时获得释放的机会；私营监狱避免了刑罚执行中监狱人满为患的尴尬。任何一种刑事商业性私人参与自其产生之日起，就毁誉并存、贬褒不一：私人侦探曾被贬低为“一个法律反常物、宪法的对立面”、“半封建的私人武装”、“在最好的情况下，是一种必要的害，在最坏的情况下，，就可能是不可容忍的恶”；赏金猎人被曲解为“下流的人生”、“是对公民权利的一个不受控制的威胁”；商业保释被指责为“以金钱换自由”、“对贫穷和中等收入被告造成歧视”、“侵犯法官保释决定权”、“引起法官腐败问题”等等；私营监狱则因其配备的“警卫缺乏训练、滥用权力”、“对囚犯进行非人道对待”而丑闻缠身，美国审计总署关于“没有任何确切的证据可以证明私营监狱比公营监狱便宜很多”的结论使监狱私营业的前景更加难以预测。尽管障碍重重，美国的商业性私人参与却在强烈的质疑声中顽强生长并勃发生机，造就了美国刑事司法的特色。目前，美国的侦探公司超过3000家，私人侦探（含私人保安）人数达160多万，是美国正规警察人数的3倍；美国的私人侦探服务辐射全球，甚至介入调查跨国政府丑闻及官员腐败案；其发挥着犯罪调查、辩护取证、预防犯罪的作用，是美国刑事司法系统中不可忽视的力量。商业保释存在于美国大部分州，全国共有商业保释担保人约8000人，该行业每年吸纳40亿美元，净利润每年达4亿美元；美国司法统计局2006年数据显示，在美国最大的75个县中，审前释放的重罪被告中42%依赖于商业保释。截止2001年7月，美国的私人监狱达185个，关押犯人28.5万人。美国私营监狱收容人数达美国州及联邦监狱总收容人数的6.8％;据美国媒体2009年10月23日报道,美国亚利桑那州目前正打算公开招标,让私人监管公司来竞争全州9个监狱中心的运营权。因此，商业性私人参与深刻地影响了美国刑事司法是不争的事实。中篇是析理，对刑事商业性私人参与作了深层次的理论挖掘，包括第四、五、六章，分别检视了刑事商业性私人参与的的政治哲学根基、法理基础和经济学依据。商业性私人参与的政治哲学根基是自由主义思想。美国经久不衰的自由主义思想及其长期坚持的“弱国家”传统，为美国刑事商业性私人参与提供了生长土壤。18世纪兴盛的古典自由主义及其关于国家“守夜人”角色的理论，成为美国刑事商业性私人参与产生的思想基础。20世纪初古典自由主义式微，到30年代凯恩斯主义兴起，国家职能扩张，刑事商业性私人参与受到质疑与挑战。20世纪70年代以来新自由主义的复兴，美国私人侦探业和商业保释业得以摆脱行业危机，迎来转机，合法性地位获得确认。商业性私人参与的法理基础是私力救济理论。商业性私人参与的正当性追问，要还原为公力救济与私力救济关系问题。公力救济与私力救济在历史发展中此消彼长，私力救济经历了由市场独占到被压抑再到受尊重，而公力救济则从市场缺位到压迫性公力救济再到谦抑性公力救济。私力救济并不与公权力完全对立，而作为其有效补充，并构成国家权力的末梢和延伸。良性私力救济是在公力救济缺位或无效时，人们出于最低的自我保护本能，而实施的不妨害社会安宁并为社会可接受的行为。私人侦探和商业保释属于良性私力救济。确认和发展商业性私人参与，是国家的统治策略，是通过私人行为实现社会控制的技术。支撑商业性私人参与最为直接的理论是法律经济学。法律经济学将经济分析方法引入法律学科，给人们带来观念上的突破。科斯开创性地将法律权利与经济效益进行关联考察；贝克尔将经济分析法推广于全部人类行为，波斯纳以效率为导向构建了庞大的法律经济学理论体系。法律经济学者以效益最大化作为检验法律规则的标准，研究了各类法律规则的成本与收益，将经济学原理渗透到了所有的法律规则和法条之中。法律经济学理论的广泛传播，为刑事商业性私人参与的确立和持续发展扫清了道路。刑事商业性私人参与能够扩大国家刑事司法资源总量，增强国家的刑罚能力，促进刑事司法资源使用效率，提升刑事司法质量，从经济分析角度而言，是促进资源有效配置的制度安排。下篇是建制，以美国经验为借鉴，创设中国特色的刑事商业性私人参与制度，包括第七、八章，分别论证了中国创设“私人侦探”和商业取保制度的必要性，并作了具体构想。与美国一样，中国刑事司法中也存在司法资源紧缺、效率不佳、权利保护不充分等不足，公共司法的这些缺陷为中国引入和发展商业性私人参与创造了机遇。中国私人侦探在20世纪90年代曾经昙花一现，1993年公安部发布了[1993]91号文明令禁止开设“私人侦探性质的民间机构”。中国的私人侦探从此转入地下，暗中经营，在夹缝中生存，存在法律地位不明、行为不规范、执业风险巨大的问题。虽然私人侦探为社会管理带来难题，引发一些社会矛盾，但私人侦探的积极意义不容忽视。中国刑事调查存在“无为”状态，包括公安检查取证中存在警员不足、无力作为；法律漏洞、不能作为；曲解法律、失职不为；误解法律、消极不为；律师取证、少有作为；被害人取证、难有作为。由此激发对私人侦探的现实需求，应当允许私人侦探介入刑事取证。其积极意义包括：能有效弥补公安检查取证不足；构成对公安检查机关的监督；帮助被害人准备证据；增强被告人的取证能力。在中国创设私人侦探制度，必须进行相应的理念更新。一是重新整理国家刑罚权，以谦抑性公力救济观柔化国家刑罚权，摒弃刑罚权国家垄断理念；二是理清国家侦查权与私人调查权的关系，确立侦查权包容私人调查取证权的观念。中国现行取保候审的实践不如人意，表现为：取保候审适用条件掌握严苛，取保候审率低；保证方式适用性差；取保候审执行监管流于形式，被取保人处于失控状态。商业保释在美国刑事司法中产生的社会效应，就感观上而言，正好能够针对性的”治疗”中国取保候审的弊病：中国取保候审率低——商业保释使更多的人获得审前释放；中国现行保证方式适用性差——商业保释为普通公民获得保释提供方便之门；中国取保候审执行监管不力——商业保释能够对被保释人实施有效监管，实现社会控制。鉴于此，我们应当以引入商业保释作为中国取中候审制度突围解困的最佳选择。构建中国特色的商业取保制度，有利于建立保证人选任的市场化机制，实现保证人选任上的“从身份到契约”、“从无偿到市场”的转变；对被取保人而言，取保低成本、脱逃高代价；对司法机关而言，有助于转移成本、分散风险，减少其在扩大适用取保候审时的顾虑。我国“商业取保”的基本构想是：国家允许商业担保人以营利为目的在取保候审的运作中提供保证服务；商业担保人可以是经批准持有证照的个人或保险公司；商业担保人与被保证人签订保证服务合同，被保证人支付约定的保证费用并提供附属担保，承诺取保候审批准后遵守取保候审法律规定，授权商业担保人对其进行监管，授权商业担保人在被保证人脱逃时对其实施抓捕；保证人的义务是以取保候审保证人身份签署公安司法机关核定的保证书，按公安司法机关要求的金额开具银行存单，并将存单质押于执行机关，在被保证人违反取保候审法律规定时，执行机关通知保证人在6个月内缴付保证书中确定的保证金金额；执行机关在发出保证金缴付通知后应及时发布对脱逃人的通缉令，商业担保人可以组织人员对被保证人实施抓捕扭送，被保证人在法定期限内被扭送归案的，保证人免除保证责任。结语刑事商业性私人参与在美国是一个颇具争议却旺盛生长的事物，其产生和发展的历史反射出公共刑事司法系统的缺陷，其已成为美国刑事司法中不可忽视的力量这一客观事实，证明“商业”、“私人”嵌入刑事领域的可能性。随着市场经济的深化发展、政治体制改革的进一步深入和司法理念的革新和突破，中国刑事商业性私人参与也将展现出广阔的发展前景。
[Abstract]:"Criminal commercial private participation" is an empty concept at the level of real law in our country, but legal research should be guided by problems and should not be drawn to the end of concept. How to enrich the means of realization of rights and expand the protection of human rights is the core issue that our criminal theory needs to respond to. The criminal commercial private participation system is the criminal justice of the United States In this paper, we introduce the concept of "business" and "private" into criminal theory, and try to switch from the national perspective to the market perspective to observe criminal justice, and explore the possibility of solving some difficult problems in criminal justice in China by means of market means.
Besides the foreword and epilogue, this thesis is divided into three chapters, eight chapters.
The preface begins with the case, and deals with the origin of the topic. Through the analysis of the cases, we find out the methodological mistakes that the theorists have been difficult to solve for a long time. That is, the bureau is limited to the national perspective, but neglects the view of the market and seeks out the way out of the judiciary. It is an attempt to switch from the national perspective to the perspective of the market. Then, the preface defines the key words including "criminal", "criminal private participation", "criminal commercial private participation" and so on.
The first part is the narrative, which makes a panoramic scan of the realistic picture of American criminal commercial private participation, including first, second and three chapters, including first, second, three, respectively, to examine the private participation in the criminal evidence investigation, the private detective, the commercial private participation in the criminal coercive measures, the commercial bail, and the business in the execution of the penalty. Private participation in the private sector, namely, the private prison.
The emergence and development of American commercial criminal private participation can be attributed to the opportunities and left space created by the defects of the public criminal justice system. American private detectives are produced in the "gap" formed by the modern police system; commercial bail overcomes the defects of the traditional bail system and increases the guarantee that the accused can not provide the guarantee. People or the opportunity to release bail; private prison avoids the embarrassment of prison overcrowding in the execution of punishment.
Any kind of criminal commercial private participation has been disparaged and commendatory from the date of its emergence: private detectives have been devalued as "a legal anomaly, an opposite of the constitution", "a semi feudal private arm", "in the best case, it is a necessary harm, and in the worst case, it may be an unacceptable evil." The bounty hunters are misinterpreted as "the obscene life" and "an uncontrolled threat to civil rights"; commercial bail is accused of being "money for freedom", "discrimination against poor and medium income defendants", "infringement of judge's bail decision", "cause of judge corruption" and so on; private prisons are due to them With the "lack of training, abuse of power," "inhumane treatment of prisoners" and a scandal, the United States General Administration of audit concluded that the prospect of private prison business is more difficult to predict with the conclusion that there is no exact evidence that private prisons are much cheaper than public prisons.
In spite of the obstacles, American commercial private participation has grown and boomed in a strong challenge. It has created American criminal justice. At present, there are more than 3000 detective companies in the United States, about 1600000 private detectives (including private security), 3 times the number of American regular police, and the American private detective service spoke. The global, even involvement in the investigation of transnational government scandals and official corruption cases, which play the role of criminal investigation, justification and crime prevention, is an indispensable force in the United States criminal justice system. Commercial bail exists in most states in the United States, with a total of about 8000 bail guarantor in the country, and the industry absorbs $4 billion a year. The profit of $400 million per year; the US judicial statistics bureau 2006 data showed that 42% of the most serious offending defendants released in the 75 counties of the United States depended on commercial bail. By July 2001, there were 185 private prisons in the United States and 285 thousand prisoners. The number of US private prisons in the United States reached the total number of American and federal prisons. 6.8%; according to US media reports in October 23, 2009, Arizona is now planning to open a public bid to allow private regulatory companies to compete in the 9 prison centers in the state. Therefore, commercial private participation has deeply affected American criminal justice.
The middle part is an analysis of the criminal commercial private participation in the deep theoretical excavation, including the fourth, fifth, the six chapter, which examines the political philosophical foundation of the criminal commercial private participation, the legal basis and the economic basis.
The political philosophical foundation of commercial private participation is liberalism. The long-standing American liberalism and its long adherence to the "weak state" tradition have provided the American criminal commercial private participation in the classical liberalism of the growing soil.18 century and the theory of the role of the national "night watchman". The ideological basis of private participation in criminal commercial private participation in the country.20 at the beginning of the century classical liberalism, the rise of Keynes doctrine in the 30s, the expansion of the state function, the private participation in criminal commerce and the challenge and challenge of the revival of Neo liberalism since the 70s century, the private detective industry and the commercial bail industry in the United States have been able to get rid of the industry crisis. To usher in a turn, the legal status was confirmed.
The legal basis of commercial private participation is the theory of private relief. The legitimate pursuit of commercial private participation should be reduced to the relationship between public relief and private relief. Public relief and private relief have disappeared in the historical development. Private relief has gone through market monopoly and repression to respect, and public relief is from the market. It is absent from the oppressive public power relief to the modesty public relief. The private relief does not oppose the public power completely, but serves as its effective supplement and constitutes the end and extension of the state power. For social acceptable behavior. Private detectives and commercial bail are benign private relief. The recognition and development of commercial private participation is the state's ruling strategy, and it is a technology to realize social control through private behavior.
The most direct theory to support commercial private participation is legal economics. Legal economics introduces economic analysis to legal disciplines and brings a breakthrough in concept. Coase pioneered the association of legal rights and economic benefits; Becker extended economic analysis to all human behavior, and Posner was efficient. In order to guide the construction of a large system of legal economics theory, legal economists use the maximum benefit as the standard to test the rules of the law, study the costs and benefits of various legal rules, and infiltrate the economic principles into all legal rules and laws. The wide spread of the theory of legal economics is a criminal commercial private person. The establishment and continuous development of participation clear the way. Criminal commercial private participation can expand the total amount of national criminal justice resources, enhance the national penal capacity, promote the use efficiency of criminal justice resources and improve the quality of criminal justice. From the perspective of economic analysis, it is an institutional arrangement to promote the effective allocation of resources.
The next part is the establishment of the system, taking the experience of the United States as a reference, creating a criminal commercial private participation system with Chinese characteristics, including the seventh, eighth chapters, demonstrating the necessity of creating "private detectives" and commercial insurance system in China, and making concrete ideas.
As in the United States, there is also a shortage of judicial resources, poor efficiency and inadequate protection of rights in China's criminal justice. These defects in public justice have created opportunities for China to introduce and develop commercial private participation. In 1990s, Chinese private detectives had a flash in the pan, and the Ministry of public Security issued the [1993]91 civilization order in 1993. The private detectives in China are forbidden to open the private institutions of the nature of private detectives. From then on, Chinese private detectives have been transferred to the underground, managed secretly, and exist in the seam. There are problems of unidentified legal status, irregular behavior and great practice risk. Although private detectives bring problems to social management and bring about some social contradictions, the positive significance of private detectives is not There is a state of "Inaction" in the criminal investigation of China, including the shortage of police officers in the public security examination and forensics, the weakness of the law, the inability to act as a loophole, the misinterpretation of the law, the failure of the duty, the misunderstanding of the law, the negativity of the law, the proof of the lawyer, the lack of action, the proof of the victim, the difficult action, and the actual demand of the private detectives, Private detectives should be allowed to intervene in criminal evidence. Its positive significance includes: can effectively make up for the lack of public security inspection evidence; constitute the supervision of the public security inspection organs; help the victims to prepare evidence; enhance the ability of the defendants to obtain evidence. The establishment of the private detective system in China must be updated with corresponding ideas. First, reorganize the country. The family penalty power, with the modest public power relief view softening state penalty power, abandoning the state monopoly concept of the penalty power; two is to clarify the relationship between the state investigation right and the private investigation right, and establish the idea of the right of investigation and evidence containing the private investigation.
The current practice of bail pending trial in China is not satisfactory, which shows that the application conditions of the bail pending trial are strict, the rate of bail pending trial is low, the application of the guarantee mode is poor; the implementation supervision of the bail pending trial is in the form, and the insured person is out of control. The social effect of commercial bail in the US criminal justice is just right. The malady of the "treatment" of China's bail pending trial: the low rate of bail in China - the commercial bail makes more people get pre trial release; the application of China's current guarantee method is poor -- the commercial bail for ordinary citizens to provide bail with a convenient door; China's bail enforcement supervision is ineffective - Commercial bail can In view of this, we should take the commercial bail as the best choice to break through the bail system in China. The establishment of a Chinese characteristic commercial insurance system is conducive to the establishment of a market-oriented mechanism for the election of the guarantor, and the "from the identity to the contract" to ensure the candidate's appointment. " The change from gratuitous to the market; for the insured, the low cost and high cost of escaping; for the judiciary, it will help to transfer costs, disperse risks, and reduce their concerns in expanding the application of bail pending trial.
The basic concept of "commercial security" in our country is that the state allows a commercial guarantor to provide a guarantee service in the operation of the bail pending trial; a commercial guarantor may be an individual or an insurance company that has approved the certificate; the commercial guarantor and the guarantor sign a guarantee service contract, and the guarantor pays the promise of the agreement. The cost and collateral guarantee shall be provided to the guarantor pending trial after the approval of the pending trial, authorizing the commercial guarantor to supervise it and authorizing the commercial guarantor to arrest the guarantor when the guarantor is out of flight; the guarantor's obligation is to sign a security certificate approved by the public security judiciary in the identity of the guarantor's pending witness, and according to the public security department. The amount required by the law authorities shall be issued by the bank deposit certificate and the deposit is held in the executive office. When the guarantor violates the law of the bail pending trial, the executive organ notifies the guarantor of the amount of the deposit determined in the guarantee within 6 months; the executive organ shall release the arrest warrant to the escaper in time after issuing the notice of the deposit payment. The guarantor can organize the personnel to arrest and deliver the guarantor, and the guarantor is sent to the court within the statutory time limit, and the guarantor is relieved from the suretyship liability.
Conclusion criminal commercial private participation is controversial in the United States.

【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D971.2;DD915.3

【参考文献】