诉前社会调查制度探微

从报应主义转向教育主义是刑罚理念现代化的重要标志之一。为顺应此种发展趋势，社区矫正这一保安处分应运而生。在我国，社区矫正从部分地区试点到全国推行已十载有余，而适用社区矫正之前的社会调查工作仍鲜为人知。目前，部分地区已尝试推行了诉前社会调查制度，该制度肇始于美国的“缓刑资格调查制度”，其理论支撑为“犯罪三因素论”和“刑罚个别化”理论。然而，司法实践中，这一制度在顺应刑罚执行轻缓化、人道化、矫正教育化趋势的同时，仍面临着异地社会调查难以执行、调查评估人员专业化程度低、民众的配合力度不足、调查方式过于单一化、调查流于形式以及因调查评估报告可能涉及品格证据而不被采纳等问题，此类问题严重阻碍了诉前社会调查制度应有价值之实现。因此，有必要从建立跨区域社会调查协作机制、对调查评估队伍进行专业化建设、加强制度宣传、植入回避规定等方面出发，构建一条完善该制度的最优化路径。

The Exploration of Pre-pleading Social Survey System

Transforming from retributivis to education doctrine is a significant symbol of modernization of penalty idea. To adapt to this change trend, community correction, which belongs to Measure of Security, was born at the right moment. It has been more than ten years from trial implementation to nationwide practice; however, it is rarely known that there is social survey before the application of community correction. At present, partial areas have attempted to carry out the pre-pleading social survey system. This system can be dated from the Survey System for Qualifications of Probation in the USA, and its theoretical supports are Three Factor Theory of Crime and Individual Penalty Theory. This system conforms to the trend that the penalty has become mitigation, humtheirity and education. However, at the same time,it also has many problems in the judicial practice. For instance, investigation in different areas is difficult, the degree of specialization for the survey estimator is low, people are unwilling to cooperate, investigation methods are too simple, investigation has become a mere formality, and survey assessment may not be adopted because it may involve character evidence. Such problems hinder the realization of the value of pre-pleading social survey system. Therefore, it is necessary to explore a reasonable path to realize the optimization of this system. It can be done from the following ways： establish cross-regional social survey coordination mechanism, specialize the investigation and evaluation team, strengthen the publicity of system, and bring in avoidance rules.