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1、安徽大学 硕士学位论文 未成年人刑事案件社会调查制度研究 姓名：李阳 申请学位级别：硕士 专业：法律硕士 指导教师：刘艳芳 2010-04 I 摘 要 未成年人刑事案件社会调查制度作为西方司法制度的舶来品，有着其自身的 历史渊源。它源于国外的审判前的人格调查制度，是在人们对犯罪及其原因， 刑罚及其目的等基本刑法理念的不断嬗变与进步的过程中发展起来的。在这一 过程中，未成年人刑事案件社会调查制度也形成了其独有的特点，可概括为： 调查对象的特定性，调查结构的专门性，人格调查与行为调查的同步性和调查 结果的全程性。我国的未成年人刑事案件社会调查制度制度起步较晚，从上世 纪 9 0 年代中后期上海、河
2、南、北京等地法院相继开始试行该制度，到目前在全 国大部分法院推行该制度，我国的未成年人刑事案件社会调查制度都还处在摸 索和探索阶段。 未成年人刑事案件社会调查制度作为一项法律制度，其正当性必然受到拷 问。本文从三个方面阐述该项制度的理论基础，对其正当性进行论证。首先， 未成年人特殊的生理和心理条件可以认为是确立该制度的生理基础；其次，确 立该制度的社会政策基础是我国一直以来对未成年罪犯采取的从轻或减轻的刑 事处罚以及教育为主的刑事政策；最后，从刑罚个别化原则和未成年人刑事诉 讼程序的非正式性这两方面论述这项制度的法律基础。另外，由于在新时期我 国未成年人犯罪出现了新变化和新特点，以及我国对未成
3、年人的司法保护的不 足，要求我国尽快确立未成年人刑事案件社会调查制度。 我国目前在司法领域虽然已经施行未成年人刑事案件社会调查制度，但是 由于起步晚，法律规定不系统等方面的原因，致使该制度存在诸多的不足。这 些问题可概括为：合法性的不足促成制度被异化，进而招致调查过程的形式化， 造成可靠性难保和深刻性欠缺的格式化调查结论，最终加剧了对未成年人犯罪 量刑的过分迁就和盲目轻刑化。 针对我国当前未成年人刑事案件社会调查制度存在的问题，我们必须尽快 采取措施进行完善。在立法上，应当制定专门的法律规范，明确社会调查员的 职责和诉讼地位。在司法中，必须尽快设立专门的调查机构，应当规范调查报 告的书写和使用
4、，明确社会调查在诉讼程序中的启动时间。同时，还应建立起 II 监督机制，以确保社会调查的公正公平。总之，我们应当在借鉴各国立法经验， 同时结合我国的国情，积极完善我国未成年人刑事案件社会调查制度。 关键词：刑事案件；社会调查；调查报告 III Abstract Social Survey juvenile criminal cases, the Western system of justice system as exotic, with its own history. It stems from the personality of foreign pre- trial investig
5、ation system is in one of the crime and its causes, the basic purpose of criminal punishment and the concept of constant evolution and progress up the process of development. In this process, minor criminal cases, the system also created a social survey of its unique characteristics, can be summariz
6、ed as: “The object of the specific and specialized survey structure, character analysis and behavior survey and investigation synchronization The results of the whole nature. “juvenile criminal cases in China Social Survey System system started relatively late, from the late 90s of last century Shan
7、ghai, Henan, Beijing and other places have the Court began the trial of the system, most courts now in the implementation of the National The system of juvenile criminal cases in China Social Survey System are still in the exploration and exploratory stage. Social Survey juvenile criminal cases, the
8、 system as a legal system, its legitimacy will be subject to torture. In this paper, three aspects of the theoretical basis of the system, to demonstrate its legitimacy. First, the minor special physiological and psychological conditions can be considered to establish the physiological basis of the
9、system; Second, to establish the system of social policy is based on minor criminals in China has taken a lighter or reduce the criminal penalties, and education Lord of the criminal policy; Finally, the principle of individualization of punishment and the juvenile criminal proceedings discussed bot
10、h the informal nature of the legal basis of the system. In addition, because Chinas juvenile delinquency in the new period the emergence of new changes and new features, as well as Chinas judicial protection of minors less than, China is required to establish a minor criminal cases as soon as possib
11、le social survey system. Although our current justice has been practiced in the field of juvenile criminal cases social survey system, but since late start, the legal provisions of unsystematic IV and other reasons, causing the system has many deficiencies. These problems can be summarized as: “lack
12、 of legitimacy of alienation contributed to the system, and brought about the formal investigation process, resulting in reliability is no guarantee that the formatting and the profound lack of findings, ultimately increasing the penalties for juvenile delinquency over- accommodation and blind light
13、 punishment. “ In view of the current juvenile criminal case investigation system of social problems, we must take measures to improve as soon as possible. In legislation, should develop specific laws and regulations, clear responsibilities and social investigators litigation status. In justice, we
14、must set up a special investigative body as soon as possible, the report should be regulated and the use of writing, a clear social investigation in the proceedings of the start- up time. Should also establish a monitoring mechanism to ensure fair and equitable social survey. In short, we should lea
15、rn from the experience of national legislation, combined with Chinas national conditions, and actively build a minor criminal cases Perfecting Social Survey System. Key words: criminal cases; social investigation; survey 引 言 1 引 言 “少年智则中国智，少年强则中国强。 ”少年是祖国的未来，民族的希望。 我们党和国家历来高度重视未成年人健康成长，注重做好预防未成年犯罪工作
16、， 切实维护未成年人的合法权益。未成年刑事案件社会调查制度正是从更好的保 护未成年犯罪嫌疑人的角度出发，对未成年人的人格，家庭背景，社会经历进 行全面的调查，供法院在定罪量刑时参考。 关于未成年人刑事案件社会调查制度的研究国外起步还是比较早的，也比 较成熟。早在 20 世纪初，国外就开始探索对未成年犯罪嫌疑人和被告人的保护， 未成年人刑事案件社会调查制度先后被许多国家的法律所确认。许多国家明文 规定，少年刑事案件必须经过社会调查，并提出社会报告，才能宣告刑罚。同 时，在 1985 年，未成年人刑事案件社会调查制度也被写入联合国少年司法准则 中。未成年刑事案件社会调查制度已成为一个国家少年司法制度中不可或缺的 重要组成部分，也是国际社会衡量一个国家少年司法制度发展水平、完善程度、 科学性的标志之一。 自 90 年代初上海市长宁区法院第一个实行未成年人刑事案件社会调查制度 开始，我国的未成年人刑事案件社会调查制度经历了从有到无，由点到面、由 大到小、由弱到强的发展过程。十几年来，我国不少法院都在少年刑事审判中 引入了社会调查制度。但是，总的来说未成年人刑事案件社会调查制度在我国 的少
