跨国有组织犯罪研究的最新趋势

来源:未知    作者:admin    发布时间:2020/8/4 6:56:52    
【学科分类】国际刑法学
【出处】《犯罪研究》2013年第3期
【摘要】就方法论而言,关于跨国有组织犯罪活动和跨国犯罪网络的研究中并无不可克服之障碍。但与此同时,现有研究集中程度不高,且需更多层次的研究,如复制性研究。此外,对跨国犯罪的研究需要更加全面,例如应涵盖犯罪活动来源国、中转国和目的国。这种研究的最佳模式是多国研究。
【关键词】跨国有组织犯罪;走私
【写作年份】2013年


【正文】

  一、序言

  本文旨在探讨跨国有组织犯罪研究的状况,回顾近年尤其是2007至2012年间以英语写成的相关学术文献。然而,尽管笔者希望涵盖的文献尽可能广泛,但由于此类刊物中,有些辨识难度较高,且较难获取:有些跨越多个学科,相关的研究也是用英语以外的语言写成的,所以本文难免具有不完整性。虽然如此,读者依然可以通过本文获知跨国有组织犯罪研究的现状。在此,笔者不打算详述跨国有组织犯罪的某一概念,而是从多方面阐释跨国有组织犯罪,包括犯罪活动、个体犯罪者、犯罪者架构、以及犯罪集团(例如黑手党式的组织)对于地域和非法市场的控制。[1]

  二、跨国有组织犯罪研究的相关选题

  关于跨国有组织犯罪的研究越来越多,多数出版物都着重论述某一种形式的犯罪。传统上,贩毒是学者们关注最多的范畴,[2]且至今依然是某些非常重要的研究项目的焦点。例如,陈国霖(Ko-lin Chin)基于其在缅甸佤族地区实地考察,发表了一篇关于东南亚地区贩毒活动的研究报告。[3]知识矩阵集团(Matrix Knowledge Group)则以采访为主要手段,得出大量关于国际贩毒的架构和运行的资料数据,[4]这些资料数据在后续的研究得到深化分析。[5]此外,一些国际性研究协会最近也对全球海洛因市场做了全面分析。[6]然而,近年来在跨国犯罪领域中获得最多关注的并非贩毒,而是人口贩卖。这一点可以从大量的专题论文[7]、研究报告[8]、汇编图书[9]以及学术期刊的特刊[10]中得到体现。而偷渡(实际上有时与人口贩卖重叠)也得到一定程度的关注。[11]另一典型的跨国犯罪也成为了近年研究中持续探讨的对象,那就是非法卷烟贸易。[12]其他跨国犯罪活动种类繁多,但相关的研究也较为零散,例如贩卖被盗机动车辆[13]、非法贩卖艺术品和文物[14]、贩卖受保护野生生物[15]和其他自然资源[16]、非法军火交易[17]、非法核材料交易[18]、非法废料处置[19]、诈骗[20]、连环盗窃[21]和有组织网络犯罪[22]。

  除了特定的犯罪类型,也有一些研究着眼于特定地域的跨国犯罪活动。[23]多年以来,拉丁美洲和美国之间的贩毒活动一直是研究关注的焦点。[24]此外,其他地区,例如西非、东欧、中亚和东南亚,近年来也成为了许多研究的热点。[25]其中,中国可以说是跨国有组织犯罪相关研究“炙手可热的话题”。[26]

  最后,也有研究探讨某些特定犯罪者或犯罪团体的跨国活动。研究的焦点有具体的个人[27]、少数族裔[28]、违法集团[29],也有犯罪组织。[30]然而,鲜有研究涵盖跨国有组织犯罪现象的方方面面、跨国有组织犯罪出现的所有国家或是相关犯罪活动的所有阶段。一般而言,研究人员都从自己国家的角度去探讨跨国有组织犯罪。通常,他们都会立足于目的地国家研究某一形式的走私活动,而甚少探讨来源国和中转国的情况。谢尔顿·张(Sheldon Zhang)和陈国霖关于中国至美国走私活动的研究,是真正从多国角度出发研究跨国有组织犯罪的例子之一。[31]这份研究采取了实地观察和访问的调研方式,着重探讨了走私活动的三个关键地理位置:福州(位于中国的走私来源地)、洛杉矶(走私进入美国的重要港口)、纽约市(走私目的地)。

  三、跨国有组织犯罪研究的数据来源

  所有在社会学研究中常用的数据收集方法都被应用到跨国有组织犯罪的研究当中,即观察、采访和文本分析。即便在同一研究项目中,研究人员多数会采用多种数据来源。[32]

  参与观察的方式较少被研究人员采用,当然,这种方法不是没有风险的。在一项关于格鲁吉亚走私和边境贪污的研究当中,研究员兵行险着,假装成走私者,以便进行深入观察和隐蔽采访。[33]

  越来越多的研究采用访问罪犯的手段,其中有一些研究的样本量大得令人钦佩。这些研究当中有的以已被判刑的罪犯为采访对象,还有一些成功地访问了还未被关进牢房的跨国犯罪者。回顾近年来以已经锒铛入狱的罪犯为采访对象的研究,其中三个研究项目采访的个体人数最多:德克尔(Decker)和汤森查普曼(Townsend Chapman)采访了34名在美国监狱里的走私犯:[34]德罗什(Desroches)奔走于加拿大监狱,成功采访了70名毒贩;[35]而知识矩阵集团在英国采访了222名已判刑的毒贩。[36]那些以狱外犯罪者为主要采访对象的研究,则很难达到这样的样本量。[37]还有一些研究以犯罪受害者为主要对象,这在关于人口贩卖的研究中尤为显着。[38]还有些则着重采访专家,包括但不限于执法官员。[39]

  官方文件,即犯罪档案、情报资料和内部案件统计数据等,是许多研究项目的数据来源。[40]最后一点要提的是,大部分的跨国有组织犯罪研究都会利用公开数据,有些甚至以公开数据为唯一数据来源。[41]

  四、跨国有组织犯罪研究的主要内容

  指引跨国有组织犯罪研究的研究问题可以大概分为五个主题:(1)跨国犯罪行为人的特征研究;(2)跨国犯罪的手法和物流;(3)跨国有组织犯罪组织研究:(4)犯罪集团在跨国犯罪活动实施和控制中担当的角色:(5)跨国有组织犯罪的地理问题。

  (一)跨国犯罪行为人的特征研究

  在有组织犯罪的相关研究中,个体犯案者是严重被忽视的研究对象,而在跨国有组织犯罪研究中也是一样。[42]这与犯罪学形成鲜明的对比。通常来说,犯罪学的许多理论框架都围绕个体犯罪者的特征建立的。

  克里曼斯(Kleemans)和迪普特(de Poot)关于有组织犯罪生涯的研究则是一个例外,[43]该研究把焦点放在个体跨国犯罪者身上[44],当中分析的案例,相当一部分都是关于跨境犯罪的。例如,克里曼斯和迪普特发现,有组织犯罪者比一般犯案者年龄较大。这项发现与其他跨国犯罪的研究结果一致。在其他研究也同样发现,当个体隐藏在合法的社会和商业网络中,而且与运输和银行等重要的物流行业有紧密联系时,这些个体就可以最大程度地利用某些特定的机会体系,而这些机会体系往往与跨国犯罪有关联。[45]

  另一些研究则侧重于犯罪中的性别因素,主要审视了女性在跨国犯罪中担当犯罪者[46]和受害者[47]的角色。

  (二)跨国犯罪的手法和物流

  虽然某些特定犯罪活动经常是跨国有组织犯罪研究的热点,但跨国犯罪的物流却很少进入研究人员的视线,[48]除了在情景犯罪预防框架下研究跨国有组织犯罪的文献,这类文献数量虽少,但却有增长趋势。[49]

  从后一类研究得出的结论通常只适用于某些既定的犯罪类型,而走私活动呈现出来的是更普遍化的模式。这些模式就是走私者选择的走私方式,例如,选择从官方边境站还是“绿色边境”走私货物?把走私物品挟藏在过关旅客的物品当中,还是收藏在过境运输的货物中?可以看出,走私方式、走私货物的数量、犯罪网络的大小和构成是紧密联系的:走私货物的数目越多、走私团体越庞大、构成越多样化,犯罪者就越可能利用合法货物作伪装来走私物品,尤其是以全球集装箱货物作渠道。[50]

  (三)跨国有组织犯罪组织研究

  有组织犯罪(尤其是跨国有组织犯罪)究竟是多“有组织”呢?这是学术文献反复探究的话题。跨国犯罪到底是由犯罪组织实施,还是由个体犯罪者(无论有没有与其他犯罪者合作)自发性持续地实施的犯罪呢?对此问题,学者们越来越趋向一个共识,即--般来说,这些犯罪者体系,与其说是“组织”,其实更像是“网络”。[51]然而,许多研究没有对这些网络进行深入探究,而只是一味反驳那些宣扬犯罪组织有高度“组织性”的媒体。相比之下,能够深入分析跨国犯罪者体系的研究呈现出的是一幅更错落有致的画面,这些研究能全面地探讨犯罪者体系:有的个体犯罪者灵活利用和扩展可以为其提供犯罪便利的联系,有的则融入具持续性、横向与纵向都有差异性的犯罪实体里。然而,最典型的合作关系有两种:第一种是以两到三名成员为核心的合伙或小型企业,采用临时性的雇佣关系来实施犯罪;第二种是市场导向型的交易。[52]现存的证据相互矛盾,从中不容易看出两种方式之间是否有特定的发展趋势。例如,哥伦比亚贩毒团体从紧密而复杂的组织分化成规模较小、流动性较强的体系,[53]但事实真的是这样吗?还是这只是受到上世纪80到90年代媒体对恶名昭彰的“贩毒集团”的炒作而产生的误解?[54]

  与跨国犯罪企业结构相关的是他们在边境的流动性,即他们作为组织实体,如何突破国际边境以及克服文化和语言障碍。其中一种观点认为,跨国有组织犯罪集团以国际规模运作,寻找生财之道,避免被检控。[55]另外一种观点认为跨国有组织犯罪集团以“避风港”国家为基地,实施跨国有组织犯罪,这种观点普遍被认同。[56]这两种观点都意味着跨国有组织犯罪具有高度流动性,纵向一体化,其组织下的犯罪者有系统地穿越边境以实施犯罪。相似地,也有一种假设认为犯罪组织在贩卖路径沿途国家中建立“办事处”(尤其是隐匿在移民社群当中),这可以让他们较容易地扩展业务。[57]第三种观点认为,实施跨国有组织犯罪的是当地的罪犯,这些罪犯以合约形式犯案,不从属于任何一个中央控制机构。[58]例如,某些关于贩毒[59]、人口贩卖和偷渡的研究[60]支持这种观点。一项关于三大香烟走私行动跨境犯案的研究又从另外一个角度阐明了跨境罪犯的网络架构。[61]研究中谈论到的三个团体都决定在他们不甚熟悉的国家中开辟新的走私路径。这三个走私团体对相关的国家都没有直接的了解,他们不懂当地的语言,也没有人脉。但这三个团体都没有亲身了解当地情况,也没有亲自过境,而是雇用相关个体,然后这些个体再聘用具备条件的个人和组织实施犯罪。

  (四)既存犯罪团体扮演的角色

  在跨国罪犯组织的相关讨论中,其中一个与之息息相关的问题是犯罪团体在跨国犯罪活动实施和控制中所担当的角色。这些讨论很多时候都没有仔细分析,把从事盈利犯罪的非法企业和非经济组织区分开来。后者只是为犯罪企业家们提供地位、支持和非暴力冲突解决机制等,与盈利性犯罪只有间接联系。[62]如果仅因为犯罪者被怀疑是犯罪组织的成员(例如,意大利黑手党式组织、俄罗斯和格鲁吉亚的律贼犯罪集团、香港三合会等),就草草地判定是这些组织作为组织实体在操控该跨国犯罪活动,难免会造成判断错误。因此,研究表明,非经济犯罪组织在跨国犯罪中所起的作用有限,即敲诈跨国犯罪团体,或完全不起作用。[63]至今,只有屈指可数的研究探讨在媒体中所存在的不同观点,一些声称犯罪组织在不同国家扩大他们所控制的地盘,[64]另一些则认为根植于不同国家的犯罪组织逐渐达成协议,维持各自地盘的势力。[65]从现有的证据中看来,犯罪组织对犯罪活动的控制似乎没有全球化的趋势。

  (五)跨国犯罪的地理问题

  最后,学术文献中关注的又一研究话题是跨国犯罪的地理问题。[66]该问题包含以下两点:第一,跨国犯罪集团产生和持续存在有利因素的地理分布:第二,为跨国犯罪制造机会的因素,例如,各种自然、社会、经济和政治因素的产物。在这个问题上,有人提出了一些理论假设,但至今仍没有太多后续的实证研究支持。

  举一例子,帕萨斯(Passas)指出了不同国家之中存在的“犯因性不对称”,从“经济上、法律上、政治上和文化上的结构差异、不协调和不平等”的角度解释跨境犯罪的诱因和机会。[67]有大量着作认为,跨国犯罪的地理因素,尤其是走私犯罪,很大程度上与合法贸易路径相吻合,[68]这与跨国犯罪网络经常隐藏在移民社群中的观点存在分歧。[69]有另一种观点认为,跨国犯罪团体经常活跃于贪污严重、执法较弱的国家和地区,这些国家和地区为犯罪活动提供了一个“低风险的环境”。如果当地的社会政治状况为大规模的犯罪活动提供温床,那么跨国犯罪团体会更加猖獗。[70]

  总的来说,跨国有组织犯罪的相关研究呈现出一个趋势,这个趋势与新闻记者和政策制定者所宣传的传统观点不一致。相对于黑手党充斥全球这一流行观点,从实证研究得出的结论比较复杂,往往没有那么惊世骇俗,但也不容忽视。

  五、结论:为未来研究指引方向

  在现有研究和跨国有组织犯罪相关论题的背景下,笔者就未来研究应采取的方向发表以下谨慎的意见。首先应强调的是,在跨国有组织犯罪的研究中,没有任何无法跨越的障碍。例如,虽然要采访跨国罪犯不是一件容易的事情,但过去的研究表明,只要在合适的情况下,如果研究人员具备必要的技巧和社会资本,这不是不可能的。其次,现有研究的密度不高。相比广泛聚焦、不断地创立新的论题,重复以前做过的研究其实更有意义。很多时候,概括和总结都是基于孤立的研究,这些研究都超出了其历史背景和地理范围。这就是为什么即便跨国犯罪领域中较热门的论题,例如贩毒和人口贩卖,也依然需要更多的补充研究。再者,跨国有组织犯罪的相关研究的“跨国性”有待加强,这样才能以比较视角和全方位视野来分析跨国犯罪的现象。在许多论题上都应从比较不同类型的犯罪和相异的社会背景的方向出发。例如,跨国犯罪活动的物流运营、犯罪者合作模式、跨国犯罪者在情景因素下决策制定。同样地,要探讨跨国犯罪现象的所有阶段,相关研究应跨越国界,在多数情况下,应包括来源国、中转国和目的国的犯罪活动。

  多国研究项目似乎是未来跨国有组织犯罪研究最理想的模式。但这也带来了一些挑战:是否能获得合适的资金工具?研究人员和研究机构如何能获得必需的数据?各国的研究机构需要协调平衡其拨款活动。国际资助机构,例如欧洲委员会,也需要看到在多国中进行跨国有组织犯罪相关基础研究的必要性。同时,政府机构也需要表达更强的意愿,与研究人员分享他们的数据资料。




【作者简介】
克劳斯·冯·兰佩,法学博士,副教授,美国纽约城市大学约翰杰伊刑事司法学院,主要研究方向为有组织犯罪、卷烟走私、国际刑事司法和犯罪情报分析等。本文由林少伟译,英国爱丁堡大学法学博士研究生,主要研究方向为民商法基础理论、司法制度。


【注释】
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