我国警察权力的法律规制研究

发布时间：2018-05-08 03:35

本文选题：警察 + 权力　；参考：《武汉大学》2010年博士论文

【摘要】：我国警察权力的法律规制,既是宪法与行政法学关注的重要课题,也是建设社会主义法治国家进程中必须重点解决的实践难题。本文围绕这一主题,在吸收已有研究成果的基础上,对我国警察权力法律规制的意义、基本原则、基本途径和制度建构进行了较深入的探讨。论文分为导论、七章和结论共九个部分。导论部分,作者阐明了选题的理论和实践意义,概括了理论界和实务部门对警察权力的研究现状、主要成果和不足。对论文采取的研究方法进行了介绍,即主要采用实证分析方法、社会调查方法、比较研究方法和历史研究方法。对论文的核心概念进行了界定,所谓“警察权力的法律规制”,是指通过法律手段对警察权力进行规范及制约,使警察权力在法治的轨道上良性运行。第一章论述了警察权力法律规制的意义。全章分为三节。第一节简要梳理了古希腊以来思想家、法学家们关于权力应受规制的论述,对权力规制这一命题进行了法理分析。权力具有相对性、支配性、权威性,法律规制的功能在于防止权力越界或滥用,保证权力的统一行使。权力规制具有宪法依据,资本主义宪法确立了三权分立原则,而我国宪法则对国家权力进行了合理分工,建立了监督与制约机制。第二节具体分析了警察权力的特殊性。警察权力不仅具有国家权力所共有的公益性、法定性和支配性,而且具有独特的质的规定性,即特殊强制性、强限制性、高风险性和低可见度。警察权力的强制性包括对物的强制、人的强制和对环境的强制,这种强制措施可由警察机关自行决定、自行实施,并常伴以暴力。它对公民的生命健康权、人身自由权和财产权等基本权利进行限制,是唯一享有限制人身自由权的行政权力。警察权力的行使往往面临事件突发性、环境复杂性、结果难以预见性等因素,不仅容易造成警察自身的伤亡,而且易致权力对象死伤,甚至有引发骚乱的风险。警察权的运行具有一定的保密性,有的手段完全在封闭状态下运行,难以为公众所看见,可见性低。第三节对警察权力在实际运行中存在的种种问题进行了实证分析,指出实践中存在警察权力越权、施暴、腐败和失威等滥用的情形,对其进行法律规制具有现实紧迫性。第二章对境外法治国家和地区规制警察权力的经验进行了考察,择要介绍了比例原则、司法审查原则和警察内部监督机制。比例原则是大陆法系国家规制行政权违法的帝王条款,包括妥当性、必要性和均衡性三项子原则。妥当性要求警察机关所采取的方法应能够实现其追求的目的。必要性原则要求在警察机关可能采取的各个手段之间进行比较与取舍,选择侵害最小、最温和的手段来实施。均衡性要求警察权力行为对相对人的侵害应小于所保护的公共利益。英美法系国家常用的原则是司法审查原则。特别是对警察权的事前和事中审查,即警察在实施强制性侦查行为前,需取得法官的令状,法官对警察提出的理由、对象等内容进行审查。对不当执行令状的,法律规定可通过申请人身保护令、以保释提起上诉、非法证据排除等途径予以救济。在警察内部监督机制方面,美国、英国和我国香港地区的做法各具特色。美国实行地方自治的警察体制,上下级警察机关不隶属,一般在警察局内设立内部事务科对警察暴力、腐败和滥用行为进行调查。英国于2004年成立了投诉警察独立监察委员会,该委员会可独立对警察投诉进行调查。香港警务处设有投诉及内部调查科,负责调查对警方的投诉和警察严重违纪事项。这些经验对我国警察权力法律规制具有借鉴意义。第三章提出了我国警察权力法律规制的基本原则,即法治原则、程序原则、适度原则和权责一致原则。长期以来,我们将对权力的规制寄托于权力行使者个人道德素养的提升,重视道德提倡而忽视法制建设,其结果是权力频繁滥用和严重腐化。在宪法已经确立法治国家目标的前提下,我们应当选择主要依靠法律规制权力的道路。鉴于警察权力的特殊性,警察权力的规制更应当强调法治原则,依法设定警察权力的名称、界限、方式、程序和责任。实践中,适用法治原则应妥善处理好依法办事与坚持党的领导的关系,化解行政协助执行与警察权越位之间的矛盾。重实体轻程序是我国的传统,为此,警察权力的法律规制应当特别强调程序正当的原则,正当程序对规范警察权力运行具有独立的价值,它要求警察执法程序应贯彻公正、公开、参与和效率的精神,包含表明身份、受理、立案、调查、听证、回避、告知和时效等内容。适度原则是比例原则的中国化,要求既保证警察权力的有效,又确保警察权力有限,在维持警察履职需要与人权保障之间求得动态平衡。确立这一原则是实现警察权力目的的需要,也是社会转型期治安形势对警察执法的客观要求。警察权行使应遵循必要性、最小侵害性和法益相称性原则,警察权作为行政权最严厉的一种,应作为社会管理的最后手段。此外,现代社会要求行使警察权力的同时应承担责任,遵循权责一致原则,警察权力违法或不当、侵权,被侵害的权利应得到救济。上述四项原则分别从事前、事中和事后对警察权力的运行进行规制,形成了一个互相照应、紧密联系的整体。第四章、第五章、第六章、第七章分别论述了我国警察权力法律规制的基本途径,即权力制约、权利制约、权力主体的自我约束和警察权力的制度建构。第四章论述了警察权力的权力制约。在我国现行宪政体制下,检察权与审判权对警察权力的制约在实践中最受关注。检察权制约的途径主要有审查逮捕、审查起诉、提前介入案件、接受控告申诉检举等,监督方式有提出检查建议、发出纠正违法通知、对警察职务犯罪立案侦查等,但现行检察监督机制存在范围不足、手段单一、力度不够等问题,法律应赋予检察机关对公安机关不应立案而立案等违法行为的监督权,对当事人不服侦查机关搜查、拘留等强制性侦查措施的复核权,对公安机关可能危害公共利益的行政行为的检察建议权。现行审判权对警察权的制约途径主要是对非法证据的排除,以及对公安机关行政行为的合法性进行审查。后者的加强有待于行政诉讼法的修改。强化审判权对侦查权的监督,应进一步明确非法证据的排除标准,对以侵犯人的生命权为代价而获得的证据应绝对排除；对以侵犯人的健康权、自由权等基本人权为代价而获得的证据原则上予以排除,但如果放弃对非法证据的使用将危及国家安全、人民民主专政的国家政权、或者危及公共安全、重大社会利益的,应允许非法证据的使用；对以侵犯人的基本权利之外的其他权利为代价而获得的证据能否采用,应综合考虑相关因素来决定。第五章介绍了警察权力的权利制约。公民权利对警察权力的制约具有本源性、经常性、具体性和根本性,具体表现为相对人的权利制约、律师的权利制约和公民的监督权利制约。在警察权力运行中,公安机关要对相对人的生命权、自由权、财产权等实体性权利和知情权、听证权、辩护权、申请回避权等程序性权利提供保障,恪守警察权力的边界。通过保障相对人的积极参与,防止警察权力的恣意。扩大相对人的救济权利,相对人对强制侦查措施有异议的,应有权提出复议和复核。当事人法律素质的参差不齐以及被羁押后所处的不利地位,决定了律师提供法律帮助的必要性。为此,国家应当扩大和保护律师的相应权利。公民的监督权是宪法赋予的权力,公民监督警察权力在法理上具有正当性,在实践中具有有效性。公安机关应适应开放、透明、信息化条件下的执法环境,主动接受公民监督,大力推行警务公开,公正调查处理各类案事件,保证权力的依法行使。第六章论述了警察权力主体的自我约束。警察权力的正当行使,不仅要靠良好的法律制度、外部的权力和权利制约,权力主体的法律素质与职业道德、细致的执法标准和有效的内部监督也极为重要。应严格把好招录警察的法律素质关,加强对警察的法律培训和职业道德教育,推行执法能力等级考试考核制度,切实提高警察队伍的法律素质。内部执法规范是从法律、法规和规章过渡到警察权力行为的中间环节,是一种解释性规范,为警察执法活动提供了操作性很强的工作流程、证据要求以及裁量标准,因此具有规范警察权力行为、保证公安机关正确实施法律的功能。应针对接处警、调查取证、涉案物品管理以及群体性事件处置等执法实践中随意性较大的领域和最容易发生问题的环节,制定内部执法规范,细化执法程序、证据标准和裁量准则。公安机关内部的督察、法制、行政监察部门是监督警察权力运行的重要力量。要明确内部监督的理念、原则和重点,树立“执法监督是公安业务工作和队伍建设的最佳结合点”、“法制引导刑事侦查、引导治安调查”等理念,树立法制监督的权威,确立“发现及时、纠正有力、责任必究”的原则,及时发现和纠正警察权力运行重点环节的违法、违纪行为。要整合各类监督力量,形成监督合力,并运用信息化等科技手段,改进监督方式,实现对警察权力运行的内部监督实时化、动态化,增强内部监督的实效。第七章论述了警察权力法律规制的制度构建。警察权力法律规制的思路和措施应当上升到立法层面来处理。为此,应对我国警察组织法、相关单行法、警察程序法和相对人权利救济法律制度有关内容进行修改和完善。社会转型期警察承担的职责发生了变化,政治职能得到强化,服务职能进一步扩展,根据权责一致原则,应赋予公安机关对具有危害社会现实可能性的人员拘束权、对有重大违法犯罪嫌疑人员的强制采样权。同时要明确行政协助执行的范围,减少警察权力泛化。要修改和完善警察执法程序制度,明确初查、诱惑侦察、监听等侦查手段的适用条件、审批程序和救济途径,规范民事纠纷调解、群体性事件处置的具体程序,提高诽谤罪等敏感案件立案侦查的审批层级,防止警察权力滥用。在警察权力相对人权利救济法律制度的完善方面,重点是拓宽警察权力相对人权利救济的范围,加大国家赔偿力度,使因警察权力违法或不当行使而受到侵害的公民和社会组织得到更有力的救济。结论部分对全文的主要观点进行了简要归纳,强调了警察权力法律规制的必要性、可行性,表明了对我国警察权力法治化建设的信心。
[Abstract]:The legal regulation of police power in China is not only an important subject of constitutional and administrative jurisprudence, but also a practical difficult problem to be solved in the process of building a socialist country under the rule of law. This paper, on the basis of this theme, is on the basis of absorbing the existing research achievements, the basic principles, basic principles, and the basic ways of the legal regulation of the police power in China. The system construction has been discussed in depth.
The thesis is divided into introduction, the seven chapter and the conclusion of nine parts.
In the introduction part, the author clarifies the theoretical and practical significance of the topic, summarizes the current research status of the police power in the theoretical and practical sectors, the main achievements and shortcomings, and introduces the research methods adopted in this paper, namely, the main use of the empirical analysis method, the social investigation method, the comparative research method and the historical research method. The concept of the heart is defined. The so-called "legal regulation of police power" means to regulate and restrict the power of the police through legal means, and make the police power run benign on the track of the rule of law.
The first chapter discusses the significance of the legal regulation of police power. The whole chapter is divided into three sections. The first section is a brief review of the ancient Greek thinkers, the jurists' discussion about the regulation of power, and the legal analysis of the proposition of power regulation. The function of power is relative, dominant and authoritative, and the function of legal regulation is to prevent power from being over. Boundary or abuse to ensure the unified exercise of power. Power regulation has a constitutional basis, the constitution of capitalism has established the principle of separation of three powers, and the constitution of our country has made a reasonable division of labor on state power and established the mechanism of supervision and restriction. The second section concretely analyses the special character of police power. The public welfare, the legal and the dominant, and the unique quality regulation, that is, the special compulsion, the strong restriction, the high risk and the low visibility. The coercive force of the police power includes the compulsion of the object, the compulsion of the person and the coercion of the environment. This kind of coercive measure can be decided by the police and is carried out by itself, and it is often accompanied by violence. The right to life and health of a citizen, the right to freedom of the person and the right to property, is the only administrative power to restrict the right to personal freedom. The exercise of police power is often confronted with unexpected events, complex environment, and unforeseeable results, which can not only easily make the casualties of the police themselves, but also cause the death and injury of the power objects. There is even a risk of riot. The operation of police power has a certain confidentiality, some means completely run in a closed state, it is difficult for the public to see, and the visibility is low. The third section makes an empirical analysis of the problems existing in the actual operation of police power, and points out that there is a police power over power, violence, corruption and loss in practice. It is urgent for us to regulate laws and regulations in case of abuse.
The second chapter examines the experience of regulating police power in countries and regions under the rule of law, and introduces the principle of proportionality, the principle of judicial review and the internal supervision mechanism of the police. The principle of proportionality is the rule of the emperors in the civil law countries, including the appropriateness, necessity and balance, and the appropriateness of the three sub principles. The methods adopted by the inspection authorities should be able to achieve the purpose of their pursuit. The principle of necessity requires the comparison and trade-off between the various means that the police may take, and the least infringement and the most moderate means to be implemented. The principle of judicial review commonly used by the state is the principle of judicial review. In particular, the examination of the police power before and in the event that the police need to obtain the warrant of the judge before the enforcement of the compulsory investigation, the judge's reasons for the police, and the object of the police. For the improper execution of the writ, the law stipulates that it can be brought on bail through the applicant's personal protection order. In the internal supervision mechanism of the police, the United States, the UK and the Hongkong region of our country have their own characteristics. The United States implements the local autonomous police system, the upper and lower level police are not subordinate, and the internal affairs department in the police office generally investigates the police violence, corruption and abuse. In 2004, the British independent supervision committee of the police was set up to investigate the police complaints independently. The Hongkong police office has a complaint and internal investigation section, which is responsible for investigating complaints against the police and the serious violation of the discipline of the police. These experiences have reference significance to the regulation of the law of police power in China.
The third chapter puts forward the basic principles of the legal regulation of the power of the police in our country, namely, the rule of law, the principle of procedure, the principle of moderation and the principle of unity of power and responsibility. For a long time, the regulation of power is placed on the promotion of the personal moral accomplishment of the emissaries of the power line, the emphasis on moral advocation and the neglect of the legal system. The result is the frequent abuse of power and the serious abuse of power. Under the premise that the constitution has established the goal of the rule of law, we should choose the way to regulate power mainly by law. In view of the particularity of police power, the regulation of police power should emphasize the principle of rule of law, set the name, limit, way, procedure and responsibility of police power according to law. In practice, the principle of rule of law should be properly applied. To deal with the relationship between the law of law and the party's leadership and to resolve the contradiction between the administrative assistance execution and the offside of the police power. It is the tradition of our country to have a heavy body and light program. Therefore, the legal regulation of the police power should emphasize the principle of the proper procedure. The due process has independent value for the operation of the power of the police. It requires the police. The law enforcement procedures should carry out the spirit of fairness, openness, participation and efficiency, including the contents of identity, acceptance, filing, investigation, hearing, avoidance, notification and limitation. The moderation principle is the Sinicization of the principle of proportionality, which requires both the effectiveness of the police power and the limited power of the police, and the maintenance between the needs of the police and the protection of human rights. Dynamic balance. Establishing this principle is the need to realize the purpose of police power and the objective requirement of the police law enforcement by the public security situation in the period of social transformation. The exercise of police power should follow the necessity, the minimum infraction and the legal benefit proportionality principle, the police power is the most severe administrative power, and should be the last means of the social management. In addition, modern times, the police power should be the last means of the social management. At the same time, the society should bear the responsibility of exercising the power of the police, and follow the principle of consistent power and responsibility. The right of the police is illegal or improper, and the right to be infringed should be remedied. The above four principles are engaged in the operation of the police power before, in the event and after the event, forming a whole which is mutually caring and closely connected.
The fourth chapter, the fifth chapter, the sixth chapter and the seventh chapter respectively discuss the basic ways of the legal regulation of the power of the police in our country, namely, the restriction of power, the restriction of rights, the self restraint of the main body of power and the system construction of the police power.
The fourth chapter expounds the power restriction of the police power. Under the current constitutional system of China, the restriction of the procuratorial power and the judicial power to the police power is the most concerned in practice. The main ways to restrict the procuratorial power are to review and arrest, to examine and prosecute, to intervene in advance, to accept the prosecution and to carry out the prosecution, and to put forward the suggestions for the inspection and to make a correction. Illegal notice, investigation of police post crime and so on, but the existing procuratorial supervision mechanism has insufficient scope, single means, insufficient strength and so on. The law should endow the procuratorial organ with the supervision right of the illegal acts such as the public security organs should not file a case and file a case, and recheck the compulsory investigation measures such as the investigation and detention of the litigants and the detention. The right to the public security organs may harm the public interests of the administrative act of the procuratorial proposal. The current jurisdiction of the right to the police is mainly the exclusion of illegal evidence, and the legitimacy of the administrative act of the public security organs. The latter is to be strengthened by the amendment of the administrative procedure law. The exclusionary standards of illegal evidence should be further clarified. Evidence obtained at the expense of the right to life of the offenders should be absolutely excluded, and the evidence obtained at the cost of the basic human rights such as the right to health and freedom, such as the rights of the offenders, will be ruled out in principle, but if the abandonment of the use of illegal evidence will jeopardize the security of the state and the people's democratic dictatorship The use of illegal evidence should be allowed by the state power, or the public security and the important social interests. Whether the evidence obtained at the expense of other rights other than the basic rights of the offenders should be taken into consideration by the relevant factors.
The fifth chapter introduces the restriction of the right of police power. The restriction of civil rights on police power is primitive, regular, concrete and fundamental. It is specific to the restriction of the rights of the relative, the restriction of the rights of the lawyer and the restriction of the rights of the citizens. In the operation of police power, the public security organs should have the right to life and freedom of the relative people. Property rights, such as substantive rights and the right to know, the right to hear the hearing, the right to defend, the application of the right to avoid the right to safeguard the procedural rights, abide by the border of police power. By guaranteeing the active participation of the relative, to prevent the arbitrariness of the police power. To expand the rights of the relative persons, the relative person has the objection to the coercive investigation measures, and should have the right to reconsider and Rechecking. The uneven legal qualities of the parties and the disadvantageous position of the detainees have determined the necessity of providing legal assistance to lawyers. To this end, the state should expand and protect the corresponding rights of lawyers. The right of the citizens to be supervised by the constitution is the power given by the constitution, and the civil supervision of the power of the police is legitimate and in practice. Effectiveness. The public security organs should adapt to the law enforcement environment under the conditions of open, transparent and informational, take the initiative to accept the supervision of the citizens, vigorously carry out the public policing, conduct a fair investigation and deal with all cases of the cases, and ensure the exercise of the power according to law.
The sixth chapter expounds the self restraint of the main body of police power. The proper exercise of police power depends not only on the good legal system, the external power and rights, the legal quality and professional ethics of the main body, the careful law enforcement standard and the effective internal supervision. Strengthen the legal training and professional ethics education of the police, carry out the examination and assessment system of the law enforcement ability grade examination, and effectively improve the legal quality of the police force. The internal law enforcement norms are the intermediate links of the transition from laws, regulations and regulations to the police power behavior. It is an interpretative norm, which provides a strong operation for the police law enforcement activities. In order to make the process, the evidence requirement and the discretion standard, it has the function of standardizing the police power and ensuring the public security organs to carry out the law correctly. The internal law enforcement rules should be formulated in the field of arbitrariness and the most easy to take place in the law enforcement practice, such as the butt of the police, the investigation and collection of evidence, the management of the items involved in the case, and the disposal of the mass incidents. The law enforcement procedure, the standard of evidence and the criterion of discretion are refined. The supervision in the public security organs, the legal system and the administrative supervision department are the important forces to supervise the operation of the police power. Look up, guide the public security investigation and other ideas, establish the authority of the legal supervision, establish the principle of "discover timely, correct the forceful, responsibility and investigate", discover and correct the illegal and disciplinary actions of the key link of police power in time, and integrate various kinds of supervision forces, form Supervision joint force, and use the technology means such as information technology to improve the supervision mode, In order to realize the internal supervision of police power operation in real time, dynamic and enhance the effectiveness of internal supervision.
The seventh chapter discusses the system construction of the legal regulation of police power. The ideas and measures of the legal regulation of police power should be raised to the legislative level. To this end, we should modify and improve the internal capacity of the police organization law, the relevant single line law, the police procedure law and the relative person's rights relief legal system.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：D922.14

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