1、 1硕士学位论文（20 届）我国死刑复核程序法律监督问题研究以最高人民法院死刑复核程序为视角姓 名学 科 、 专 业 诉 讼 法 学 （ 全 日 制 法 学 硕 士 ）研 究 方 向 刑 事 诉 讼 法指 导 教 师论文提交日期2我国死刑复核程序法律监督问题研究以最高人民法院死刑复核程序为视角（硕士论文摘要） 2007 年 1 月 1 日起，死刑核准权收归最高人民法院统一行使，这是我国刑事司法改革进程中一项具有里程碑意义的重要举措。其所传达的信息使我们充分认识到当前的国际、国内形势下，强调死刑的慎用政策的重要性。但由此也使我们更为关注我国死刑复核现有的程序配置能否充分有效实现其应然的审判监督效
2、能，特别是在我国现行的死刑复核程序目前仍然以采取书面审查方式为主的情况下，其具有行政审批色彩的审理模式显然缺乏有效的外部监督，因而，其复核的质量以及相应的社会公信度往往难以取得满足人们所期待的、对应死刑慎用政策的实效。本文从我国现行死刑复核程序的既有的制度缺陷入手，着重讨论最高人民法院死刑复核程序的法律监督问题，进而探讨解决相关问题的对策和路径。全文共分五部分：第一章对我国现行死刑复核程序进行概要介绍，并分析其中所突出存在的一些问题，比如死刑复核程序的属性定位模糊问题、现行的复核程序运作缺乏有效监督问题、诉讼参与机制尤其是辩护人介入机制缺失问题等。文中强调，由于我国现阶段的实际国情尚需要通过保
3、留死刑的威慑力来保障我国的安全和秩序，因此，死刑制度将长期存在。但死刑的慎用政策又彰显出我国现行死刑复核程序本身所存在的上述需要改革完善的问题的紧迫性，它使我们看到该程序运作过程中应有的审判监督效能在理论上尚存在一定的提升空间，其中通过构建检察监督介入机制和辩护辅助介入机制，将在一定程度上提高我国死刑复核程序的复核质量，更好地体现死刑的慎用政策。文章第二章从界定死刑复核法律监督的内涵出发，首先阐述了法律监督与诉讼权力合法运作的内在的、必然的关联性，同时，对我国现行法律监督主体加以分析界定，明确了我国检察机关在死刑复核程序运作过程中应然的法律监督主体地位、功能及特定作用。论文以阐述死刑复核法律监
4、督存在的必要性作为该部分论证的逻辑起点，同时探寻其法理和法律依据，以论证其合理性。对3于学术界争议较大的关于检察机关在死刑复核程序中的定位问题，笔者在借鉴众多学者观点的基础上提出检察机关在死刑复核程序中行使的权力实质上是法律监督权，强调法律监督与死刑复核质量的保障目标之间存在应然的职能关系。第三章主要分析了目前我国死刑复核法律监督的现状，从立法和司法实践两个方面分析了现阶段我国死刑复核法律监督的运行障碍问题，以期能提出相应的对策。论文第四章以域外死刑审判程序作为比较研究的问题，通过对联合国的相关规约和美国、日本等国家与死刑复核制度相类似的死刑审判制度及其相关的监督机制进行研究，以期能对完善我国
5、的死刑复核及其法律监督制度有所借鉴。论文第五章以阐述笔者对完善我国死刑复核法律监督程序的设计规划为主旨，提出相关的意见和建议。文中首先强调了完善死刑复核法律监督必须坚持的两项原则：一是坚持公平、公正、公开原则；二是坚持科学、合理原则。其次，论文就改革完善的具体措施进行规划，分别从立法完善、程序规制、监督模式和内容、监督机构的设置等方面提出完善的策略。论文强调了对死刑复核案件的法律监督的完善将更加有利于维护我国刑事司法的公正性，有利于死刑案件的审判质量和相关刑事法律的正确实施，从而通过坚持贯彻少杀、慎杀的刑事政策实现保留死刑前提下的我国法治与民主建设的同步发展。【关键词】最高法院 死刑复核 法律
6、监督 完善设想1On the Legal Supervision of Death Penalty Review Procedure in ChinaA Discussion of the Supreme Peoples Courts Death Penalty Review ProcedureAbstractSince January 1, 2007, the Supreme Peoples Court has reclaimed the authority over review and approval of death penalty, which marks a milestone
7、in Chinas criminal judicial reform. The message conveyed in this event enables us to recognize the significance of cautious death penalty policy in the international and national context. Consequently, we need to contemplate whether the existing mechanism of death penalty review procedure in China c
8、an effectively fulfill the supervision function. Besides, the procedure at present mainly adopts written review manner, which makes the procedure more like administrative examination and approval and results in inadequate and ineffective external supervision. Therefore, the review quality and the re
9、levant social public credibility can hardly satisfy the publics expectation and affect the actual effect of cautious effect policy. This thesis starts with an examination of the existing disadvantages of death penalty review procedure in China. It focuses on the procuratorial organs legal supervisio
10、n of the Supreme Peoples Courts death penalty review procedure and explores the possible solutions to the problems. The thesis consists of 5 chapters.The first chapter briefly introduces the death penalty review procedure in China and analyzes some noticeable problems, for example, the nature of the
11、 death penalty review procedure is not clear, there exists a lack of effective supervision for the procedure, and there is no litigation involvement mechanism, especially defender involvement mechanism, and so on. It is emphasized that at Chinas current development stage, we need death penalty for i
12、ts threat value to guarantee our nations security and order. Therefore, death penalty system shall remain valid for a 2long time. The cautious policy for death penalty reflects the urgency of overcoming the disadvantages of Chinas current death penalty review procedure, and it makes us realize that
13、there is still room for theoretical improvement in the trial supervision function. The construction of procuratorial supervision and involvement mechanism and defense involvement mechanism will enhance the review quality and better display the caution policy of death penalty. The second chapter star
14、ts with the definition of the connotations of legal supervision of death penalty review procedure. Then it explores the intrinsic and necessary connection between legal supervision and lawful practice of litigation right. Meanwhile, it analyzes and defines the main body of Chinas current legal super
15、vision, and clarifies the importance, function and special role of our procuratorial organs in implementing death penalty review procedure. The discussion of the necessity of the legal supervision of death penalty review is the logical start of this part. Then it explores the legal theory and legal
16、grounds for the existence of supervision. As for the role of procuratorial organs in the procedure, which is controversial in the academia, on the basis of various scholars views, we put forward that the procuratorate actually shall implement supervision authority in the death penalty review procedu
17、re and emphasize that there exists consequential functional relationship between legal supervision and the guarantee objective of death penalty review quality. The third chapter mainly analyzes the present condition of legal supervision of death penalty review procedure and approaches the present pr
18、oblem of legal supervision of the procedure from two aspects, namely, legislation and judicial practice in the hope of suggesting corresponding policies.Chapter Four of this thesis observes and compares the relevant overseas death penalty trial procedures. It investigates the similar death penalty t
19、rial system and corresponding supervision mechanism of UN, the United States, and Japan in the hope that it can shed lights on improving Chinas death penalty review and corresponding legal supervision system.The fifth chapter attempts to put forth some suggestions and proposals for improving the leg
20、al supervision of the death penalty review procedure in China. It 3first emphasizes two basic principles for improving legal supervision of death penalty review. The first one is Open, Equitable & Just Principle and the second is Scientific and Reasonable Principle. Then the thesis continues to make
21、 proposals with regard to specific improvement measures, specifically in the policies in the field of legislation improvement, proceeding regulation, manner and content of supervision and the arrangement of supervision organizations, and so on.The thesis emphasizes that the improvement of legal supe
22、rvision of death penalty review cases will help maintain the justness of Chinas judicial proceedings, enhance the judgment quality of death penalty cases and correct implementation of relevant criminal laws, and thus guarantee Chinas legislation and democracy construction development with the premis
23、e of the existence of death penalty through implementing the policy of “few killing and cautious killing“.Key words: the supreme peoples court, death penalty review, legal supervision, suggestions for improvement1目 录导 言 .1第一章 死刑复核程序概述 .3第一节 我国现行死刑复核程序存在问题分析 .3一、死刑复核的程序属性不清问题 .4二、死刑复核程序现行规则缺乏可操作性问题 .
24、5三、死刑复核程序运作模式缺乏公开公正问题 .5四、死刑复核缺乏必要的外部监督制约问题 .6第二节 死刑复核程序的应然特征分析 .6第二章 死刑复核程序法律监督的正当性 .7第一节 死刑复核程序法律监督的内涵 .8第二节 死刑复核程序法律监督的依据 .9一、检察机关介入死刑复核程序进行法律监督的理论依据 .10二、检察机关介入死刑复核程序进行法律监督的法律依据 .11第三节 死刑复核程序法律监督的必要性 .12一、对死刑复核程序进行法律监督是检察机关的法定职能 .12二、对死刑复核程序进行法律监督是保证死刑公正适用的需要 .13三、对死刑复核程序进行法律监督是切实保证人权的需要 .13四、对死
25、刑复核程序进行法律监督是树立和维护我国国际形象的需要 14第四节 对检察机关介入死刑复核程序的定位认识 .14第三章 我国现行死刑复核程序法律监督障碍问题分析 .16第一节 关于立法层面 .16一、缺乏法律监督的具体操作规定 .17二、法律监督途径单一 .17第二节 关于司法层面 .18一、司法实践经验的空白 .18二、死刑复核的法律监督缺乏具体的部门和人员 .182第四章 死刑审判法律监督程序的域外考察 .19第一节 联合国关于死刑犯权利保障的规定 .19第二节 美国关于死刑救济程序法律监督的规定 .20一、复审程序 .21二、执行中止和赦免程序 .22三、复审中的律师帮助 .23第三节 日
26、本关于死刑审判程序的法律监督规定 .24一、死刑犯的上诉权 .24二、死刑的执行程序中的救济制度 .24第四节 域外死刑审判制度的比较与借鉴 .25第五章 完善死刑复核程序法律监督机制的设想 .27第一节 完善我国死刑复核程序法律监督制度的原则 .27一、完善死刑复核法律监督机制要坚持公平、公开、公正的原则 .27二、构建死刑复核法律监督机制既要合理又要科学 .28三、构建死刑复核程序法律监督机制要切实保障被告人的权利 .29第二节 对我国死刑复核程序法律监督的法制完善 .29一、修改刑事诉讼法，明确规定检察机关有权对死刑复核程序实行法律监督 .29二、赋予最高人民检察院对死刑复核案件开庭审理的提起权 .29三、统一法律适用 .30第三节 对我国死刑复核法律监督诉讼程序的完善 .30一、对死刑复核案件附条件开庭审理 .31二、明确死刑复核程序的审理时限 .32三、建立复核程序法律文书送达和审查机制 .33四、确保控辩双方的充分参与和有效参与 .33第四节 对我国死刑复核程序法律监督方式和内容的完善 .34一、就高级人民法院的死刑判决或裁定是否合法，向最高人民法院提出审查意见 .34二、检察机关派员出席死刑复核案件的审理过程 .35
