【作者】 刘凯；

【导师】 李洁；

【作者基本信息】 吉林大学 ， 刑法学， 2014， 博士

【摘要】 罚金刑在我国《刑法》中属于附加刑，但是罚金刑在刑事司法实践中却是适用较多的刑罚种类。我国罚金刑的适用存在着执行难的问题，已经是众所周知的事实。如何化解罚金刑执行难的问题，使得法院判处的刑罚能够得到正确的执行，理论上需要积极的应对。导论部分对我国刑事司法实践中的罚金刑适用和执行难问题，从整体上进行了概括，明确了罚金刑适用与执行等问题的研究意义。本文对罚金刑问题的研究，并不是体系性的。而是以罚金刑中存在的若干问题为研究对象，进行问题式的研究为主要特征。但是，罚金刑作为一种刑罚种类，对其执行制度展开研究必然要以刑罚基本理论为基础和指导。报应刑论与目的刑论趋于调和的并合主义是现代刑法理论的主流。我国刑法立法以及理论也不例外。而刑罚理论之中，又以基于什么样的根据而对犯罪人处以刑罚的刑罚正当化根据或者刑罚的目的最为根本。因此，问题式的研究又是以刑罚并合主义的现代目的为指导而展开的。第一章罚金刑基本理论阐释对罚金刑本身的一些基本理论问题先行予以明确。从罚金刑在中外刑法上的历史沿革出发，发现其作为一种刑罚所具有的意义与价值。罚金刑作为一种财产刑，具有非监禁的性质，因此，其有避免短期自由刑的弊端，促进刑罚轻缓化，以及有利于犯罪人改造等方面的优点。罚金刑的设立目的、以及其在改造犯罪人方面的积极作用，应当在罚金刑执行制度的构建中予以贯彻。第二章和第三章对我国罚金刑执行裁量机制和执行机制原则与构想的完善分别进行了阐释。在罚金刑裁量机制的完善中，不论是立法机关还是司法机关应当重视罚金刑的替代功能，而不是一味地强调罚金刑的惩罚功能。我国目前的刑事立法中，大量运用罚金刑的并科制，这样以来，罚金刑更显附加性的意味，其依附在其他刑种之中，罚金刑的刑罚价值以及效果大打折扣。我国应当考虑在罚金刑的立法中扩大罚金刑适用范围，这样就会给罚金刑的裁量留下更为广阔的适用空间。在罚金刑的裁量机制中，对于被告人进行经济状况的调查也是非常有必要的，这样能够在关于罚金刑的裁量中充分考虑被执行人的财产状况，避免罚金刑裁量的倚高，给罚金刑的执行带来隐患。总之，罚金刑裁量机制是罚金刑执行的前提，合理的罚金刑判决会为罚金刑执行奠定良好的基础。罚金刑执行机制的完善首先应当明确罚金刑的执行原则，罚金刑的执行原则是罚金刑执行机制完善应当遵循的根本。本文在第三章首先对罚金刑原则的相关内容进行了介绍，并列举了罚金刑的不同原则：如合法执行原则、合理执行原则、自主缴纳和强制执行相结合原则以及罚金刑的个别化执行原则。其次，本文选取执行机制中我国目前在立法中并未予以明确的问题进行了探讨。第一，罚金刑的财产保全制度能够有效抑制被执行人转移财产，保障执行机关的顺利执行；第二，罚金刑执行标的应当进一步明确。最后，本文对日额罚金制着重进行了介绍和分析。日额罚金制在国外的刑事立法中对于缓解罚金刑执行的弊端有着较好的现实效果。虽然日额罚金制的适用较为复杂，也需要一系列的配置制度予以保障，但是我们不应否定该种制度的优势。我国目前虽然并未建立和推广该种罚金刑的执行方式，但是在现有的一次性缴纳无法改善罚金刑执行困境的时候，有必要打开视野，从执行方式入手寻找罚金刑执行的完善路径。第四章探讨的是罚金刑缓期制度的问题。罚金刑缓期执行制度是指，对判处罚金的罪犯，在其具备一定条件的前提下，在一定期间暂缓罚金刑的执行，缓刑期内没有发生法定撤销缓刑的事由，则不再执行原判罚金的一种刑罚制度。罚金刑缓期执行制度在外国存在相关的立法例。而且罚金刑缓刑制度存在多方面的价值。罚金刑是一种刑罚轻缓化之下产生的刑罚种类，缓刑制度的适用实际上也有利于刑罚轻缓化的达成。而罚金刑缓刑制度，其是对一种轻缓化的刑罚种类所进行的一种轻缓化的执行方式，因此，罚金刑缓刑制度在价值取向上仍然是刑罚轻缓化的具体体现。所以罚金刑缓刑制度符合刑罚轻缓化的价值追求，符合当前世界刑罚制度发展的总体趋势。而且，罚金刑缓刑制度与我国刑罚的目的相契合，不仅具有使得罪犯能够感受到刑罚的惩罚功能，有利于对罪犯自身的教育与改造，从而达到特殊预防的目的。而且能够维护刑罚的严厉性与严肃性，使得社会一般人有感于刑罚的惩罚性质而不敢实施犯罪行为，进而达到一般预防的目的。此外，罚金刑缓刑制度对于司法实践中大量存在的罚金刑执行难、罚金刑由亲属代为缴纳等问题具有积极的消解作用。对于罚金刑缓刑制度，理论上存在肯定说与否定说的不同见解，但是，基于罚金刑缓刑制度存在的优点，应当考虑予以构建。我国构建罚金刑缓刑制度的路径选择，应当考虑到当前的立法规定现状，在对现有法律规定进行最小规模的变动的前提下，来设置我国的罚金刑缓刑制度。对此，将罚金刑设置为主刑，而需要对《刑法》规定有罚金刑的大多数条款进行全面的修正的方法并不妥当。较为稳妥、可行的方法是废止《刑法》第七十二条第三款的规定，使得附加刑也能够适用缓刑制度，进而为罚金刑作为附加刑而适用缓刑制度扫清障碍。在增设罚金刑缓刑制度之后，还需要具体完善其下位规则。例如，在缓刑考验期、罚金刑缓刑的考验内容、罚金刑缓刑的撤销等具体制度构建时，应当考虑到罚金刑自身所具有的特征来进行。而不能完全适用与自由刑的缓期执行制度完全相同的方式，来执行罚金刑的缓期执行。本文第五章为罚金刑易科制度的介绍和分析。首先对罚金刑易科制度进行了基础理论的诠释。并且详尽了介绍了国外立法罚金刑易科制度的不同模式。其次，我国对于罚金刑易科制度存在较大争议，可见罚金刑易科制度在我国面临巨大的阻力。本文支持肯定说的观点，并对否定说的主张进行了回应。第三，本章对罚金刑与短期自由刑进行了相近的比较，并认为罚金刑易科自由刑具有合理性。最后，本章还对我国确立罚金刑易科制度进行了模式选择，相对来说，罚金刑易科短期自由刑更为符合我国刑罚的特点，并能够对我国罚金刑执行的完善起到推动作用。第六章探讨的是未成年人罚金刑适用与执行的问题。未成年人罚金刑的适用与执行的问题，不仅在我国，在其他国家和地区的刑事司法实践中也是存在的。就我国而言，未成年人在适用罚金刑的范围上较为广泛。在立法方面，就未成年人罚金刑适用的主体范围来看，《刑法》并没有进行相应的限制。因此，在司法实践中，不论是有自己财产的未成年人，还是没有自己财产的未成年人，都存在适用罚金刑的可能。而就可以对未成年人判处的罪名来看，由于已满十六周岁的行为人可以构成刑法分则规定的所有犯罪，所以已满十六周岁不满十八周岁的未成年人实施刑法分则所规定的能够判处罚金刑的犯罪，就都符合适用罚金刑的条件。在司法方面，未成年人被判处罚金刑的比例也不在少数，由此引发未成年人罚金刑适用与执行的问题大量存在。由于未成年人一般不具有自己的独立财产，所以就不具有执行罚金刑的受刑能力。实践中往往由未成年人亲属代为缴纳罚金或者产生刑罚空判现象，这不仅不利于刑罚目的的实现，也有违罪责自负原则。完善未成年人罚金刑的适用与执行制度，解决未成年人罚金刑适用与执行中存在的问题，应当从立法与司法两方面入手。要根本解决未成年人罚金刑适用与执行中存在的问题，则需要我国立法作出相应的调整，借鉴他国立法例，应当考虑设置未成年人适用刑罚的专门规定，而不是与成年人采用相同的刑罚适用规则。而在立法尚未进行调整的情况下，也应当在现行立法之下，完善未成年人罚金刑的适用。理论上就未成年人适用罚金刑存在肯定说与否定说的不同见解，但是两种观点难免失之片面。一方面，基于未成年人往往不具有独立财产的特点，不能全面肯定罚金刑的适用。另一方面，基于罚金刑自身所具有的优点，不能一概否认对未成年适用罚金刑。而应当根据未成年人自身的情况，进行分类别的限制适用。即结合未成年人是否具有独立的财产，以及应当判处罚金刑的方式，进行是否判处罚金刑的具体判断。更多还原

【Abstract】 Fine penalty in criminal law in our country belongs to the supplementarypunishments, but the fine punishment in the criminal judicial practice is applicablemore punishments. Our country fine punishment for performing difficult problemsexist, are already well known facts.so as not to bring too much pressure to theexecution of fine penalty.Fine penalty is a kind of accessory punishment in China’scriminal law,yet,it is one of those which applied much in the criminal judicial practice.In our country,it is well known that fine penalty execution is a big difficulty to solve.How to solve the problem of fine penalty enforcement difficulty, enables the courtsentenced punishment to get a correct execution, theoretically need a positive response.The introduction part that our fine penalty execution of criminal judicial practice sodifficult,as a whole has carried on the summary, the research significance of finepenalty execution difficult problem. In this paper, the research of fine penaltyexecution is a difficult work.In the research,I will set the main characteristics as a mainobject. However, as a kind of punishments, study on the fine penalty execution systemis necessarily based on the basic theory of punishment and guidance. Retribution penaltheory and purpose theory of punishment tends to reconcile the merger doctrine whichleads the mainstream of modern criminal law theory. Our country criminal lawlegislation and theory has no exception. And punishment theory, the most fundamentalpart is based on what kind of penalty according to on the criminal punishmentjustification.The first chapter is problem-based research,that guided by the modern aims ofthe penal merger doctrine. In addition, the introduction part of the fine punishmentshould be clearified first. From the history of the fine punishment of Chinese andforeign criminal law, we should see it as a punishment full of meaning and value. Finepunishment as a kind of property punishment is to avoid the disadvantages ofshort-term freedom penalty,also can promote the anamnesis of severe punishment, andtake the advantage of transforming the sinner, etc. The establishment of pecuniarypenalty purpose, as well as its positive role in transforming a criminal offence, should be enshrined in the reconstruction of the fine punishment execution system.Chapters2and3for our fine punishment executive discretion and executionmechanism of perfect interpretation, respectively. In the perfection of mechanism ofpecuniary penalty discretion, fine punishment should be paid great attention to both thelegislature and judiciary of alternative functions, rather than blindly to highlight of thefine punishment punishment function. The present criminal legislation in our country,as a large number of applying fine punishment and division system.So the finepunishment have more additional meanings.The attachment in other mitigation, finepunishment penalty value and effect. Our country should be considered in the finepunishment legislation to expand fine punishment scope, it will leave finepunishment’s discretion a wider space. In the discretion of fine punishment mechanism,the state of the economy for the defendant investigation is also very necessary, it candiscretion of pecuniary penalty, in full consideration of the person subjected toexecution of the property status, also avoid pecuniary penalty discretion on high andbringing the execution of fine punishment. In short, fine punishment discretionmechanism is the precondition of fine punishment execution. Reasonable penaltypunishment decision will lay good foundation for the fine punishment execution.The improvement of the fine punishment enforcement mechanism should c theexecution of fine punishment‘s principle, the execution of fine punishment principle isthe fine punishment enforcement mechanism perfecting the fundamental which mustbe followed. This article in the fourth chapter firstly introduces the related content offine punishment principle, and lists the different principles of fine punishment.Such aslegal enforcement principles, the principle of reasonable execution, independent payand enforcement principle and the combination of fine punishment principles ofindividualized execution. Secondly, this article selects execution mechanism in ourcountry in the legislation. Firstly, fine punishment, the transfer of property preservationsystem can effectively restrain the person subjected to execution property, ensure thesmooth operation of the executing organ; Secondly, the fine punishment executionmark should be further defined. Finally, in this paper, the daily amount penalty systemis emphatically introduced and analyzed. Foreign criminal legislation for alleviatingwill give the advantages of fine punishment execution.The fourth chapter discusses the issues of fine penalty reprieve system.The finepenalty reprieve system is a kind of system of criminal penalty that to a criminal sentenced to a fine, under the premise of meeting certain requirements in its, in acertain period to suspend the execution of fine penalty,in the probation period there isno statutory cancellation of probation for will no longer execute the judgment of finepenalty.The fine penalty reprieve system has related legislation in the foreigncountries.And the fine penalty reprieve system exists various value.Fine penalty is akind of punishments under the mitigation of penalty, probation system is actuallyhelpful to achieve the mitigation of penalty.Fine penalty reprieve system, it is a kindof mitigation of penalty by a way of the implementation of the mitigation,therefore,fine penalty on the value orientation of probation system still is the embodiment of theanamnesis of severe punishment.So fine penalty reprieve system in accordance withthe value of the pursuit and meets the general trend of the development of the penaltysystem in the world.Besides, the fine penalty reprieve system corresponds with thepurpose of the penalty in our country, not only has the function of allowing criminalsto feel the punishment of penalty,which is conducive to their own education andreform of criminals, so as to achieve the purpose of the special prevention,but also tomaintain the severity of the punishment and seriousness, making social average personaware of penal punishment nature and does not dare to commit a crime, then reach thepurpose of general prevention.In addition, the fine penalty reprieve system to theproblems of fine penalty execution difficulty in the judicial practice and fine penalty ispaid by relatives plays a positive role in digestion.There are two different kinds ofassertions, including affirmative theory and negative theory for the fine penaltyreprieve system,based on the advantages of the fine penalty reprieve system, however,we should consider to build it.The path choice of constructing the fine penalty reprievesystem in our country, the legislation should consider the current situation and theexisting legal provisions of the smallest change under the premise of to set up the finepenalty reprieve system of our country.That conduct a comprehensive method ofcorrection of setting the fine penalty as a kind of principal penalties in which havemost of the terms are provided by criminal law is not appropriate.The safe and feasiblemethod is to repeal the provisions of the third item of article seventy-two of thecriminal law to make supplementary penalties can also apply reprieve system, and thenhelp applying for the fine penalty as a supplementary penalty reprieve system clearaway obstacles.After adding fine penalty reprieve system, it also needs to perfect itsspecific rules.For example, in the construction of the reprieve period,the content of the test of fine penalty reprieve and the revocation of fine penalty reprieve systems, thecharacteristics of the fine penalty itself should be taken into consideration withoutcompletely performing the fine penalty reprieve in the same way of applying tofreedom penalty reprieve system.The fifth chapter for pecuniary penalty permitted system is introduced andanalyzed. First of all to the fine punishment permitted system has carried on the basictheory of interpretation. And detailed introduces the fine punishment permitted foreignlegislation system of different patterns. Secondly, for the fine punishment permittedsystem in our country there is a big controversy, visible fine punishment permittedsystem in our country is facing huge resistance. This paper support certainly saidopinions, and said to deny claims of response. Third, this chapter to the finepunishment are compared with those of the similar of short-term freedom penalty, andthat fine punishment permitted freedom penalty rationality. Finally, this chapter also toour country, the mode of establishing the system of fine punishment permitted,relatively speaking, fine punishment permitted of short-term freedom penalty moreaccord with the characteristics of punishment in China, and can promote theimprovement of our country fine punishment execution.In this paper, the sixth chapter discusses the issues of minors fine punishmentexecution. Minors fine punishment execution problem, not only in our country but alsohave criminal judicial practice in other countries and regions. In terms of our country,the minors are more widely in the application of the fine punishment scope. As theaspect of legislation, the body of the fine punishment for minors has no limitation. Injudicial practice, therefore, both have their own property of minors, or their propertywithout the minors. On minors can be sentenced to the crime, which reaching to theage of16,the offender can constitute all crime stipulated in the specific provisions ofcriminal law.And when someone has reached the age of16but under the age of18,can be sentenced to a fine punishment of the crime, which will meet the requirementsof applicable fine punishment. In terms of justice, the proportion of minors that wassentenced to a fine punishment are not in the minority, so it perform difficult.Generally speaking,as a minor does not have its own independent property, so theyhave no ability to perform the fine punishment punishment. So the minors relativeshave to pay the fine or penalty empty sentence phenomenon, this is not only conduciveto the realization of the penalty purpose, also against the principle of accountable. To improve the minors’ fine punishment execution system, to solve the problem of minors’fine punishment execution difficulty should be proformed from the both legislation andjustice. To solve fine punishment execution fundamental problems, you need to makecorresponding adjustment in legislation in our country, draw lessons from nationallegislation, and to consider setting a minor punishment special provisions, rather thanwith adults use the same punishment rules. And in the case of legislation has not yetadjusted, there should also be under current legislation.Then to Improve the finepunishment of minors. As in one hand, based on the characteristics of minors whooften do not have independent property, should not fully sure pecuniary penalty applies.On the other hand, based on the fine punishment has the advantages of its own, itcannot be denied to minor fine punishment. Whether the combination of minors hasindependent property, or whether for specific judge sentenced to a finepunishment.,they should be sentenced to a fine punishment.更多还原