预防职务犯罪制度失灵的法理思考

发布时间：2018-04-03 21:05

本文选题：预防职务犯罪　切入点：制度失灵　出处：《中共中央党校》2012年博士论文

【摘要】：本文以预防职务犯罪的制度运行状况作为讨论载体，这些看似并不复杂的制度规定所包含的动态性和复杂性足以产生强烈的学术诱惑。自2000年最高人民检察院下设职务犯罪预防厅之后，预防职务犯罪很快成为国内理论界和实务界的研究热点。然而直到目前检察机关工作人员仍对如何有效开展预防职务犯罪工作普遍感到困惑，这其中的重要原因在于，预防职务犯罪的有关制度陷入了制度失灵现象的重灾区。这却为该本文的研究提供了丰富的素材。借助于该载体，本文主要围绕以下几个问题来展开分析和研究：（1）有关预防职务犯罪的制度的运行遭遇了哪些制约因素，也就是说，检察机关开展预防职务犯罪工作所遇到的主要问题；（2）这些制约因素和问题形成的深层原因；（3）面对这些制约因素和问题，制度的执行者和制定者各自作何反应；（4）这些制约因素如何导致了制度执行偏差和制度目标异化；（5）制度制定者和执行者的互动如何促进了制度目标的调整和制度执行方案的改进；（6）探索矫正制度失灵的对策方案并论证其可行性。在这整个的分析过程中，本文将从法理层面上揭示出制度失灵及其矫正的共性问题和一般规律。“失灵”的制度并不必然是失败的制度，在我们的矫正制度失灵的对策方案下，它还可以在未来等待“显灵”的机会。本文并不仅仅是要研究有关预防职务犯罪的具体制度的完善对策，也并不仅仅满足于对有关预防职务犯罪的具体制度的失灵现象进行研究，而是要以预防职务犯罪的制度执行案例作为讨论载体，通过调查研究，来从微观角度深入剖析制度运行过程中面临的种种问题和遭遇到的层层障碍，再从法理的宏观角度，对制度失灵及其矫正问题的共性问题及其法理问题进行系统的理论研究。全文除绪论外，拟共分六章，各章要点如下：第一章“制度失灵及其相关概念的界定”：分析制度的涵义、本质特征、类型、功能，着重探讨理论上制度失灵的涵义、制度失灵的构成要素、制度失灵的基本特点、制度失灵的类型、制度失灵的现实表现形式以及对制度失灵的评价，分析选择预防职务犯罪相关制度来研究制度失灵的原因，分析预防职务犯罪相关制度失灵的总体表现。第二章“预防职务犯罪领导体制的制度失灵及其法理思考”：首先，分析预防职务犯罪领导体制相关制度的规定，阐述“地方党委”作为领导主体进行“统一领导”的涵义，分析“地方党委统一领导”的原因，介绍作为执行主体的检察机关和作为组织协调机构的纪检监察部门；其次，着重分析领导体制相关制度失灵的表现（主要包括：地方党委不重视预防工作、地方纪检部门力不从心、地方检察机关有心无力）；再次，探讨预防职务犯罪领导体制相关制度失灵的矫正方案，确立矫正目标为机构整合、集中力量，探讨矫正方案的内容，主要包括建立高规格、专门性的反腐机构以及整合反贪反渎部门与纪检监察部门，并且指出矫正方案面临的的难点问题；最后，在前面分析的基础上，对领导体制相关制度的失灵牵涉到的法理问题进行探讨。主要是对“制度执行效率是判断制度执行力的重要因素”、“影响制度执行效率的收益要素分析”、“影响制度执行效率的成本要素分析”、“影响制度执行的利益分析”等命题进行分析和研究。第三章“预防职务犯罪组织形式的制度失灵及其法理思考”：首先，探讨工作联系制度的失灵问题。讨论工作联系制度的涵义及其政策依据以及确立工作联系制度的意义，探讨工作联系制度失灵的表现及其原因。其次，探讨“网络化社会预防”制度的失灵问题。通过“网络化社会预防”的发展来认识其内涵，讨论“网络化社会预防”的重要意义，探讨“网络化社会预防”制度失灵的表现及原因。再次，探讨预防职务犯罪组织形式相关制度失灵的矫正方案，确立矫正目标为将检察机关职务犯罪预防权进行法制化，探讨矫正方案的内容，包括明确检察机关职务犯罪预防权的权力来源、明确检察机关职务犯罪预防权的权力构成以及将检察机关职务犯罪预防权的运行程序化。最后，在前面分析的基础上，对组织形式相关制度的失灵牵涉到的法理问题进行探讨。主要是对“‘反公共地悲剧'与多元参与主体”、“制度执行、权威与权力”、“政治资源的优化配置与制度执行协调机构的职能履行”等命题进行分析和研究。第四章“预防职务犯罪内部协调的制度失灵及其法理思考”：首先，分析预防职务犯罪内部协调制度的政策规定及其意义，概述检察机关内部的预防协作制度的内涵及其政策依据以及预防协作制度的重要性；其次，着重分析内部协调相关制度实际运行状况及其原因，从经费保障捉襟见肘、人员配备严重不足、激励机制的偏差、检察机关在地方政治生态中的处境等四个方面，重点分析预防协作制度的落空，即，从预防协作到单打独斗；再次，探讨预防职务犯罪内部协调相关制度失灵的矫正方案，确立矫正目标为提升预防部门在检察机关内部的地位，探讨矫正方案的内容，包括优化激励机制、健全经费保障制度、充分挖掘权力资源、提高预防工作的专业化水平等几个方面；最后，在前面分析的基础上，对内部协调相关制度的失灵牵涉到的法理问题进行探讨。主要对“制度执行与经费保障”、“制度执行与潜规则”、“制度执行与激励机制”等几个命题进行分析和研究。第五章“预防职务犯罪业务开展的制度失灵及其法理思考”：首先，分析预防职务犯罪业务的内容，分析检察建议、犯罪分析、预防调查、预防咨询、警示教育、预防宣传、信息建设的涵义和特点；其次，着重分析预防职务犯罪各项业务开展过程中出现的问题（主要包括：检察建议不具有强制性，预防咨询的人员保障不足、警示教育有待改善、预防宣传面临着难题、信息建设的不足），探讨各项预防业务的开展状况并不令人满意的原因；再次，依据各项预防业务的特点和优劣势，，针对各项预防业务的开展状况不尽人意的原因，确立矫正目标为规范、保障和优化各项业务的开展，探讨预防职务犯罪业务开展相关制度失灵的矫正方案（主要包括：提高检察建议的强制性和实效性、确立犯罪分析和预防调查的核心业务地位、恰当定位预防咨询的开展主体、适度开展警示教育、集中性开展预防宣传以及信息建设），以完善预防职务犯罪的各项业务工作；最后，在前面分析的基础上，对业务开展相关制度的失灵牵涉到的法理问题进行探讨。主要是对“制度的成本——效益分析”、“制度的成本——有效性（效果）分析”等命题进行分析和研究。第六章“延伸思考：制度的失灵与进化”：在前面几章研究的基础上，本章主要对于“制度的进化”这一问题进行理论上的探讨。之所以要设置本章，主要是因为制度由失灵到矫正，实际上可能就是一种制度进化的过程，对于这一问题的梳理和研究，可以说是对制度失灵及其矫正问题的一种理论延伸。首先，分析制度进化的涵义，探讨制度进化与制度失灵的区别与联系；其次，分析作为制度进化的试验田的“打擦边球”行为，重点分析制度执行者在制约条件下执行制度时所做出的反应，即“打擦边球”行为的产生，在此基础上，探讨“打擦边球”的积极意义和“打擦边球”的消极效果；再次，分析制度执行及制度进化的影响因素，从环境因素（主要包括政治环境、经济环境、文化环境等三个方面）、资源因素（主要包括人力资源、财力资源、管理资源、信息资源、权威资源等五个方面）、组织机构因素（主要包括组织机构的合理性和组织权责的明确性）、利益因素、目标群体因素等五个方面，探讨制度执行及进化过程中遇到的影响因素；最后，分析促进制度执行及进化的必要措施，包括：通过制度的梳理与整合，建立综合配套的制度体系；通过制度的创新与发展，增强制度的科学性实用性；通过责任追究来维护制度，强化制度的执行力度；建立长效机制，加大制度落实的督查力度；增强制度教育的效果，夯实制度落实的思想基础。
[Abstract]:In this paper, the system operation condition of the duty crime prevention and discussion as carrier, dynamic and complex system contained provisions of these seemingly not complicated enough to produce a strong academic temptation. Since under the 2000 Supreme People's Procuratorate crime prevention Office, crime prevention duties soon become a hot issue in theory and practice. However, until the current procuratorial staff still on how to effectively carry out the duty crime prevention work generally confused, is the main reason, the system of crime prevention in the phenomenon of system failure, the hardest hit. It provides rich material for the research of this paper.
With the help of the carrier, this paper mainly focuses on the following questions to analyze and study: (1) the duty crime prevention system encounters the constraints, that is to say, the main problems encountered in the procuratorial organ to carry out the duty crime prevention work; (2) the deep reasons for the formation of these constraints and problems; (3) in the face of these constraints and problems, the implementation of the system and decision makers respectively react; (4) how these factors lead to the deviation of system implementation and system goals of alienation; (5) the system makers and implementers of how to interact to promote the improvement of program execution system adjustment and target system; (6) explore the corrective solutions of system failure, and proves its feasibility. In the analysis of this whole process in this paper from the legal level reveals the system failure and its common problems and general correction Law. "Failure" is not necessarily a system failure in the system, our strategy failure correction system, it can also wait for the "Epiphany" opportunities in the future.
This is not just a specific system to study the relevant countermeasures to improve the prevention of job-related crimes, and it doesn't meet the specific phenomenon in the system of the duty crime prevention of the failure of the implementation of the case, but to the duty crime prevention system as a carrier to discuss, through investigation and research, from the microscopic point of view in-depth analysis of obstacles problems faced in the process of system operation to, then from the macro angle of law, to research on the common problems of system malfunction and rectification of problems and legal problems. Besides the introduction, the six chapters, the main parts are as follows:
The first chapter "the definition of" system failure and its related concepts: the analysis of the meaning of the system, characteristics, types, functions, focuses on the failure theory on the meaning of the system, the basic elements of the system failure, system failure characteristics, type of system failure, manifestation system failure and the evaluation of the failure of the system, to study on the cause of the failure of the system of crime prevention duties related to system analysis, analysis of the overall performance of the duty crime prevention system failure.
The second chapter is "the duty crime prevention system of leadership system failure and its legal thinking": first, the provisions of the duty crime prevention system of leadership system, expounds the "local Party leadership" as the subject of "unified leadership" meaning, analyzing the "local unified leadership of Party committees", as the procuratorial organs and the executive body as organization of discipline inspection and supervision departments; secondly, focuses on the analysis of failure related system of leadership system performance (mainly including: local Party committees do not attach importance to the prevention work, inadequate, the local discipline inspection departments of local procuratorial organs "); again, explore the correction scheme system of crime prevention duties leadership system failure, establish correct integration goals for centralized institutions power, explore the correction scheme, including the establishment of specialized anti-corruption institutions of high specification, and integration Anti corruption and anti ditch departments of discipline inspection and supervision departments, and points out the problems facing the correction plan; finally, on the basis of above analysis, carries on the discussion to the legal problems related to system failure of leadership system involved. It is important to the implementation of the system efficiency is an important factor to judge the execution of the system "," analysis of income factors affecting the efficiency of the system, analysis of cost factors of efficiency of system influence, "the implementation of the system of benefit analysis and proposition of analysis and research.
The third chapter is "the duty crime prevention organization system failure and its legal thinking": first, discuss the working contact system failure. Discuss the meaning and policy basis for the working contact system and establish contact system, to explore the manifestations and causes of failure of contact system. Secondly, to explore the problem of "network society" prevention system the failure. Through development of network society prevention "to understand its connotation, discuss the significance of" network society "to prevent" the network social prevention system failure, the performance and reason. Thirdly, discuss the prevention of duty crime correction plan organization system failure, the goal is to establish correct procuratorial organs the right of the duty crime prevention legal system, explore the correction scheme, including the procuratorial organs duty crime prevention of the power source, Ming Is the procuratorial organs duty crime prevention of the power structure and operation procedure of the procuratorial organs duty crime prevention rights. Finally, on the basis of above analysis, failure involves the legal issue of organization system are discussed. Mainly for the "tragedy of the commons' and 'anti multiple participation", "the implementation of the system, authority and power", "coordination mechanism implementation and optimize the allocation of political resources to fulfill the functions of the system of" proposition analysis and research.
The fourth chapter is "the duty crime prevention system of internal coordination failure and its legal thinking": first, analysis of the duty crime prevention system of internal coordination policy and its significance, overview of procuratorial organs to prevent internal collaboration system connotation and policy basis and prevention system of the importance of cooperation; secondly, this paper analyses the internal coordination of the actual operation situation and its related system the reason, from funding stretched, staffing shortage, the deviation of the incentive mechanism, the four aspects of the procuratorial organs in the local political ecology in the situation, focus on prevention cooperation system fail, i.e., from prevention to work alone; thirdly, investigate the duty crime prevention system coordinating related failure correction plan, establish to enhance the status of correction target prevention departments in procuratorial organs, explore the correction scheme, including the optimization of incentive The mechanism, improve the financial security system, to fully tap the power resources, improve the professional level of prevention and other aspects; finally, based on the above analysis, to explore the failure involves legal issues related to internal coordination system. Mainly on the "implementation of the system and financial security", "the implementation of the system and the unspoken rule" "the implementation of the system, and several incentive mechanism" propositions are analyzed and studied.
The fifth chapter is "the duty crime prevention business system failure and its legal thinking": first, analysis of the duty crime prevention service content, analysis of procuratorial suggestions, crime analysis, investigation and prevention, prevention counseling, warning education, prevention, information construction of the meaning and the characteristic; secondly, analyzes the problems in the process of carrying out prevention the business crimes (including: procuratorial proposals do not have mandatory, preventive counseling staff shortage, warning education needs to be improved, prevention campaigns are faced with problems, the lack of information construction, to explore the causes of the prevention) to carry out the business situation is not satisfactory; thirdly, according to the characteristics of the prevention of business and the advantages and disadvantages for the situation due to the prevention of business, establish goals for the correction of standard, service assurance and optimization of the development, to explore the prevention of duty Business related crime correction plan system failure (including: improve the mandatory and effectiveness of the establishment of criminal investigation, procuratorial suggestion analysis and prevention of the status of the core business, properly positioning the subject, carry out prevention advice appropriate to carry out the warning education, centralized prevention advocacy and information construction), in order to improve the prevention of job-related crimes of the business work; finally, on the basis of above analysis, carries on the discussion to the legal problems involved in the failure to carry out the relevant business system. The main benefit is "on" cost analysis system ", the system of cost effectiveness analysis (effect)" propositions are analyzed and studied.
The sixth chapter is "the extension of thinking: system failure and evolution": in the previous chapters on the basis of the theory, this chapter mainly for the "evolution" system of the problem. The reason to set this chapter, mainly because of the system from the failure to correct, may actually is a process of institution evolution for, carding and research of this problem, it is an extension of a theory of system malfunction and rectification of problems. Firstly, analysis of system evolution, to explore the relationship between system evolution and failure of the system; secondly, analysis for test field system evolution of the "edge ball" behavior, key analysis the implementation of the system are made in the implementation of the system under the control of the reaction, namely "edge ball" behavior, on this basis, to explore the "edge ball" positive and negative "edge ball". Fruit; again, analysis of the factors affecting the implementation of the system and the system of evolution, environmental factors (from three aspects including the political environment, economic environment, cultural environment, resources (five) factors including human resources, financial resources, management resources, information resources, authoritative source, organization factors (etc.) including the specific organization of rationality and organizational responsibilities), interest factors, five aspects of target groups and other factors, the influence factors on the implementation of the system and encountered in the process of evolution; finally, analysis to promote the necessary measures, implementation and evolution of system includes: through combing and integrating system, establish a comprehensive supporting system; through the system innovation and development, to enhance scientific and practical system; the responsibility to safeguard the system, strengthen the enforcement of the system; the establishment of long-term mechanism to increase the supervision of the implementation of the system Check the strength, strengthen the effect of the system education, and consolidate the ideological basis of the implementation of the system.

【学位授予单位】：中共中央党校
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D926.3

【引证文献】