刑事錯案糾正與預防機制研究 —— 以典型刑事審判錯案為視角

Research on the Error-Correcting and Preventive Mechanism of Criminal Misjudgment -- From the Perspective of Typical Criminal Trial

Student thesis: Doctoral Thesis

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Award date14 May 2020

Abstract

进入新世纪,刑事错案通过不同方式进入公众的视线。这些刑事错案深深地刺痛着公众的神经,无辜者被剥夺了自由甚至失去了生命。无论是人类的过去还是现在,亦或是未来,冤枉无辜的人间悲剧都无法完全避免,但我们可以通过制度设计去最大限度地预防刑事错案的发生。

本文的研究源于对刑事错案纠正的责任感。鉴于作者本人具有长期法院审判工作经历,故论文以中国法院审判实务为视角,通过大量现实案例,分析、揭示刑事错案的现实状况及产生的原因,以实证研究方法,引用在多年审判实践中审理、参与或者收集到的数据及现实案例,结合在法院刑事、民事审判一线工作的经验、感悟,来探析适合中国国情的刑事错案发现、纠正和预防机制。运用观察法、访谈法、案例分析、数据归纳、样本理论分类等方法,以搜集到的刑事错案数据和案例为基础,将我国刑事错案数据、案例与H省的刑事错案数据结合分析,采用一般到个别,再从个别到一般的方法,进行数据归纳和理论总结。

本文主要从以下几方面进行论述:第一,阐明刑事错案的概念,按照刑事错案发生的环节、是否追究有关司法人员的责任、刑事错案的内容、刑事错案的原因性质、后果能否补救、刑事错案的行为方式、国家是否予以赔偿的标准对刑事错案的类型、特征等本体问题进行了分析。第二,通过2000年以来全国法院一审无罪判决情况、H省若干法院某一时段刑事申诉动态,揭示刑事错案的整体情况;从某一时段检察机关督促公安机关撤案的数量、检察机关不起诉的比例以及检察机关逮捕、起诉人数等方面,对刑事诉讼各阶段错案现状进行系统地梳理;对被告人涉嫌的罪名、被告人的身份、刑事错案的纠错原因和纠错时间、是否存在刑讯逼供、辩护意见是否被采纳等进行分类归纳,对刑事错案存在的具体表现形式、生成模式有基本的判断;利用采集的典型案例,对鉴定结论、证据裁判标准、被害人虚假指认、证人指认错误、片面依赖办案经验等导致刑事错案的因素进行分类整理,力求从司法实践中特别是从我国法院审判阶段典型刑事审判错案为视角,对刑事错案的实践样态有一个清晰的认识。第三,从中国传统法律文化的社会本位特征出发,多角度、多层面剖析司法实践中存在的刑事司法机关之间配合有余制约不足、政法委的不当干预与协调、检察机关监督权能不足、法院审判缺乏独立性、司法机关绩效考核机制不合理等司法体制内存在的问题;并从侦查讯问的强制性、羁押的常态化、辩护权防御机制的弱化、庭审质证过程的形式化等方面解析刑事诉讼制度中存在的缺陷;同时,说明了新闻媒体的舆论压力、被害人家属的影响等案外因素对刑事错案的形成造成的影响。第四,作者通过H省若干法院刑事再审案件来源、法检机关发现错误启动再审、刑事申诉审查案件以及刑事再审案件的审理情况相关的大量详尽具体的数据,对刑事错案的发现、认定,对人民法院已经做出生效判决错案、审查起诉阶段错案、侦查阶段错案的纠正程序进行了深度解析,进而寻找行之有效的预防刑事错案的方法对策,以消除刑事诉讼活动中出现的错误,按照法定程序将刑事错案矫正至公正状态。第五,从确立司法公正、程序法定、人权保障等现代化的刑事司法理念角度出发,以摆正刑事司法机关与地方党委的关系,正确处理刑事司法机关之间的关系,加强指导监督机制,完善办案质量效率考评机制与奖惩机制等方面,优化刑事司法工作体系;以强化程序管理中的规范约束、内部监督制约机制,加强犯罪嫌疑人辩护权保障,完善现行的刑事诉讼制度;以理顺刑事司法机关与媒体和公众的关系,妥善处理刑事司法机关与刑事被害人的关系为根本,最大限度降低案外因素对刑事错案的影响。

本文从我国法院审判实务角度,通过将典型案例、详尽数据及相关理论与司法实践相结合,系统全面地梳理总结了刑事错案的现实状况及产生原因,探讨刑事错案发现、纠正和预防的新途径。提出了对不利于被告人的再审理由加以限制、优势证据标准、消除法官审判实践中程序外定理论等新观点。并尝试以摆正刑事司法机关与地方党委的关系,正确处理刑事司法机关之间的关系,强化刑事司法程序中的规范约束、内部监督制约、效率考评及奖惩机制等为基础,改革完善刑事司法工作体制、刑事诉讼制度,并通过理顺审判机关与媒体、刑事被害人之间的关系等探求建构适合我国国情、系统有效的刑事错案纠正和预防机制新理论。
Entering new century, misjudged criminal cases launch into the public eye in different ways. Misjudged criminal cases, which deprive innocents of their liberty and lives, keep stinging people’s nerves. In the past, now and in the future, the human tragedy, the innocents being wronged, can no longer be avoided. However, through the system design, we can avoid the occurrences of misjudged criminal cases to a maximum extent.

This thesis originates from the sense of responsibility for correcting misjudged criminal cases. On the basis of the author’s years of judicial experience, the thesis, quotes a large number of practical cases, analyzes and reveals the reality and reasons of misjudged criminal cases; gathers cases and data from the author’s judicial experience, by the empirical research method; combines the understanding of criminal justice and civil justice; and explores suitable mechanisms to discover, correct, and avoid misjudged criminal cases. Based on the collection of data and cases, this thesis uses the methods of observing, interviewing, testing, case analyzing and experimentalizing, compares the national data with the data of H province, studies back and force, from generality to a few and from a few to generality, analyzes data, and arrives at a theoretical summary.

The thesis mainly focuses on the following aspects:
First, clarifying the concept of misjudged criminal cases, analyzing the ontological issues, such as characteristics and types of misjudged criminal cases by discussing all links, responsibilities, contents, reasons, remedies, behaviors and national compensational standard, etc.

Second, revealing the overall situation of misjudged criminal cases, based on the national data of not-guilty verdicts in written judgment of first instance, and the data of H province regarding the cases of criminal appeal at a certain time since the year 2000; systematically combing the current situation of all stages of criminal proceedings of misjudged criminal cases, based on the number of cases withdrawn by public security organs as urged by prosecutorial organs, on the percentage of decisions of not to prosecute, on the number of arrests by prosecutorial organs, and on the number of defendants prosecuted by prosecutorial organs; making basic judgements on the concrete forms and generation patterns of misjudged criminal cases; classifying misjudged criminal cases according to criminal charges, identities of defendants, time and reasons to correct mistakes, the existence of the inquisition by torture, and the adoption of defense opinions, etc.; and in order to better understand the actual situation of misjudged criminal cases in judicial practice, based on the typical cases collected, detailed analyzing the factors leading to misjudged criminal cases, such as expert conclusion, criminal evidence standard, false identification of suspects by victims or witnesses, over-reliance on individual experience.

Third, based on society standard in traditional Chinese legal culture, in a multi-angle and multilevel perception, analyzing the current problems in judicial system, such as strong coordination and weak restraint between judiciary authorities, improper interference from politics and law committee, insufficient supervision of prosecutorial organs, guarantee of the court’s judicial independence, unreasonable performance appraisal on judiciary authorities, etc.; pointing out the flaws in criminal procedure, based on mandatory characters of investigative interrogation, custody arbitrary, weakness of the mechanism of the right to defense, formalistic cross-examination in court, etc.; and revealing the influence of external factors, such as the media and the victim’s family members.

Fourth, aiming to find effective methods to avoid occurrences of misjudged criminal cases, to eliminate mistakes in criminal procedure and to realize social justice by correcting mistakes according to legal procedures, deeply analyzing how to discover and identify misjudged criminal cases, and how to correct mistakes in the stage of investigation, the stage of review and prosecution, and the stage of trial, based on the large and detailed data in H province regarding the resources of cases under criminal retrial procedure, how the prosecutorial organs find mistakes and start retrial procedure, and all the proceedings and judgments of cases of criminal appeal and cases of criminal retrial cases.

Fifth, aiming to correct the relationship between criminal justice organs and local party committees and the relationship between judicial authorities, to strengthen the supervision and guidance, to improve rewards and punishment system and performance appraisal system on the efficiency and quality to handle cases, to optimize the implementation of the criminal justice system, to rationalize the relationship between the judicial authorities, the media and the public, to properly handle the relationship between the judicial authorities and the victims, to minimize the impact of external factors on misjudged criminal cases, based on modernization concepts of criminal judicatory such as safeguarding judicial justice, procedural justice, and protecting human rights, emphasizing the importance of standard management procedure, interior restriction and supervision system, and the right to defense.

The thesis, based on the trial practice, focuses on a new theory to establish an effective mechanism, which is suitable for Chinese situation, to avoid occurrences of misjudged criminal cases and to correct mistakes in criminal cases. The key issues are as follow:

Give comprehensive system analysis on the current situation and reasons of misjudged criminal cases, based on typical cases, detailed data, relative theories and judicial practice, and discuss a new method to discover and correct misjudged criminal cases, and to avoid the occurrences of misjudged criminal cases.

Promote new ideas, including the restriction on the reasons of the cases of criminal appeal while the reasons are against the defendants’ interests, witness standard of preponderance of probability, and elimination of the impact on trial procedure in judicial practice.

Discuss how to optimize the implementation of the criminal justice system, aiming to correct the relationship between criminal justice organs and local party committees and the relationship between judicial authorities, to strengthen the supervision and guidance, to improve rewards and punishment system and performance appraisal system on the efficiency and quality to handle cases.

    Research areas

  • Ontology of Misjudged Criminal Cases, Practical Sample, Mechanism of Discovery, Mechanism of Correction, Mechanism of Pre-prevention