【作者】 陈丹；

【导师】 夏勇；

【作者基本信息】 中南财经政法大学 ， 刑法学， 2018， 博士

【摘要】 附加刑具有独特的预防犯罪功能、补充主刑不足的功能、防止刑罚过剩的功能以及实现刑罚经济性的功能,因而是我国刑罚体系中不可或缺的一部分。研究附加刑对于完善我国刑罚体系至关重要。刑事政策是刑法的灵魂与核心,附加刑作为刑法一部分要接受刑事政策的指导。宽严相济刑事政策是我国的基本刑事政策,附加刑的设置、适用和执行都要贯彻宽严相济刑事政策的基本要求。附加刑对宽严相济刑事政策的贯彻有两方面的体现,一是具体附加刑刑种的制定、适用和执行要符合宽严相济刑事政策的基本要求,二是附加刑整体的设置也要有利于宽严相济刑事政策的实现。附加刑中宽严相济刑事政策的贯彻并不容易。就具体附加刑刑种而言,纵向上需要在立法、司法与执行三个方面,横向上需要在适用范围、适用方式、数额(刑期)等多方面贯彻宽严相济刑事政策基本精神。附加刑在纵向上和横向上只有部分符合宽严相济刑事政策的要求都不算真正贯彻了宽严相济刑事政策,只有纵向横向都实现了宽严相济刑事政策的基本要求,才算真正贯彻了宽严相济刑事政策。因此需要对具体附加刑刑种从纵向和横向进行全面审视,找出其中违背宽严相济刑事政策的地方,然后以宽严相济刑事政策为指导进行完善。附加刑整体上对宽严相济刑事政策的贯彻很大程度上依赖于附加刑刑种设置。推进附加刑整体对宽严相济刑事政策的贯彻需要进一步丰富我国附加刑种类。除了导论外,本文共有五章,各章主要内容如下:第一章“宽严相济刑事政策与附加刑”。本章的主要目的在于确立本文的研究视角和框定本文的研究对象。本章分为三节。第一节对刑事政策的概念、宽严相济刑事政策的概念、宽严相济刑事政策的重点以及宽严相济刑事政策的定位进行了概括性梳理。指明了宽严相济刑事政策中“刑事政策”概念不同于西方国家的刑事政策概念。第二节对附加刑概念的起源、我国附加刑的概念、国外附加刑种类以及我国附加刑种类进行了梳理。我国目前只有罚金刑、没收财产刑和剥夺政治权利刑三种附加刑种类。第三节对宽严相济刑事政策与附加刑的关系进行了梳理。宽严相济刑事政策与附加刑的关系可分为一般关系和特殊关系。宽严相济刑事政策与附加刑的关系遵循政策与法律的关系、刑事政策与刑法的关系以及刑事政策与刑罚的关系。附加刑对于实现宽严相济刑事政策“宽”、“严”、“济”等各方面都有积极的意义。第二章“宽严相济刑事政策指导下的罚金刑”。本章分为三节。第一节对我国罚金刑的历史演变进行了梳理。我国罚金刑最早起源于原始社会时期的“赎刑”,后经过奴隶社会、封建社会、革命战争时期、建国初期、1979年刑法、1997年刑法等多个阶段的演变,最终形成了目前我国刑法中的规定。第二节以宽严相济刑事政策为视角对我国罚金刑进行了审视,找出其中存在的问题。我国罚金刑违背宽严相济刑事政策的地方主要表现为:罚金适用方式中存在“该宽没宽”、“不该严而严”现象;罚金数额中存在“宽严失衡”现象;罚金执行中存在“该宽没宽”、“该严没严”现象。第三节以宽严相济刑事政策为指导提出完善我国罚金刑的建议。这些完善建议包括:增加单处罚金立法规定,提高单处罚金司法适用,改革“必并制”罚金为“得并制”罚金;借鉴美国经验构建一个具有普遍适用性、灵活性与稳定性兼具的罚金数额标准;从罚金裁量阶段和罚金执行阶段充实罚金“从严”执行制度,改革罚金“从宽”执行制度。第三章“宽严相济刑事政策指导下的没收财产刑”。本章分为三节。第一节对我国没收财产刑的历史演变进行了梳理。我国没收财产刑经历了奴隶社会、封建社会、革命战争时期、建国初期、1979年刑法以及1997年刑法等多个发展阶段的演变,最终形成了当前的规定。从历史角度来看,我国没收财产刑发挥着比罚金刑更大的打击和预防犯罪的作用。第二节以宽严相济刑事政策为视角对我国没收财产刑进行了审视,找出其中存在的问题。我国没收财产刑违背宽严相济刑事政策的地方主要表现为:没收财产刑适用方式中存在“明严实宽”、“宽严失衡”现象;没收财产刑适用范围存在立法规定“严”,司法适用“宽”现象;没收财产刑裁量中存在“明严实宽”,“宽严失衡”现象;当前没收财产刑与罚金刑轻重关系定位下存在“宽严失衡”现象。第三节以宽严相济刑事政策为指导提出完善我国没收财产刑的建议。这些完善建议包括:理性审视没收财产刑与罚金刑轻重关系;将“必并制”没收财产刑适用方式改为没收财产刑与罚金刑选处适用方式;缩小没收财产刑适用范围;采用“先调查,后裁量”的没收财产刑裁量程序。第四章“宽严相济刑事政策指导下的剥夺政治权利刑”。本章分为三节。第一节对我国剥夺政治权利刑的历史演变进行了梳理。剥夺政治权利刑是民主发展到一定阶段的产物。我国剥夺政治权利经历了从仅作为刑罚方法到同时作为专政措施和刑罚方法再到作为刑罚方法同时具有浓厚政治色彩的历史演变。第二节以宽严相济刑事政策为视角对我国剥夺政治权利刑进行了审视,找出其中存在的问题。我国剥夺政治权利刑违背宽严相济刑事政策的地方主要表现为:可以剥夺政治权利的适用范围存在“宽严不统一”、“宽严失衡”现象;剥夺政治权利刑刑期存在“宽严不统一”、“宽严失衡”现象;剥夺政治权利执行中存在“不该严而严”现象。第三节以宽严相济刑事政策为指导提出完善我国剥夺政治权利刑的建议。这些完善建议包括:将剥夺政治权利刑的适用范围统一在被判处10年以上有期徒刑的犯罪分子中;将剥夺政治权利刑的刑期细化为5个量刑档次;明确剥夺政治权利刑的执行重点,采取多种更加宽松的执行措施,构建剥夺政治权利刑执行保障制度和执行激励机制。第五章“宽严相济刑事政策指导下附加刑种类之扩展”。本章分为两节。第一节对我国附加刑种类扩展的必要性进行了探讨。宽严相济刑事政策“宽”、“严”两个方面都对进一步丰富我国附加刑种类提出了需求。第二节对如何扩展我国附加刑种类进行了具体构想。主要包括:明确当前我国刑法中存在的不具有附加刑之名,却发挥着附加刑作用的处罚措施的附加刑地位,涉及驱逐出境、职业禁止、禁止令;增加以犯罪单位为适用对象的附加刑,包括没收财产刑、剥夺名誉称号、限制业务范围;梳理了对完善我国附加刑具有价值的荣誉类型,复兴我国历史上曾经存在过的以剥夺荣誉为内容的附加刑,主要是指剥夺军衔;对我国历史上存在的部分附加刑以及其他国家存在的附加刑对于丰富当前我国附加刑体系的价值进行了评价,主要涉及剥夺军人政治荣誉和剥夺亲权两种。更多还原

【Abstract】 Supplementary penalty has four unique fuctions which are the fuction of preventing crime,fuction of supplementing principal punishment,fuction of preventing excessive punishment and fuction of realizing penal economy.Supplementary penaly is a necessary part of China’s criminal penalty system.The study of supplementary penalty benefits the improvement of China’s criminal penalty system.Criminal policy is the soul and core of criminal law.As a part of criminal law,supplementary penalty need to accept the guidance of criminal policy.The criminal policy of combining punishement with leniency is the basic criminal policy of our country.The establishment,application and enforcement of supplematry penalty must implement the basic requirements of the criminal policy of combining punishement with leniency.Efforts in two aspects can be made to realize the implementation of the criminal policy of combining punishement with leniency in supplementary penalty.First,the formulation,application and enforcement of specific supplementary penalty must conform to the basic requirements of the criminal policy of combining punishement with leniency.Second,the overall provision of supplementary penalty must be also conducive to the realization of the criminal policy of combining punishement with leniency.It is not easy to realizing the criminal policy of combining punishement with leniency in supplementary penalty.As far as the specific supplementary penalty is concerned,it is necessary to implement the criminal policy of combining punishement with leniency in the three aspects,legislation,justice and enforcement in the vertical direction.In the horizontal direction,it is necessary to implement the basic spirit of the criminal policy of combining punishement with leniency in terms of scope of application,application method and amount(penalty period)etc.Only part of the vertical and horizontal compliance with the requirements of the criminal policy of combining punishement with leniency does not really implement the criminal policy of combining punishement with leniency.Only when the vertical and horizontal aspects have all achieved the basic requirements of the criminal policy of combining punishement with leniency,can we truly implement the criminal policy of combining punishement with leniency.Therefore,it is necessary to conduct a comprehensive review of the specific supplementary penalty from the vertical and horizontal perspectives,figuring out where the criminal policy of combining punishement with leniency is violated.And then improve supplementary penalty with the guidance of the criminal policy of combining punishement with leniency.Implementation of the criminal policy of combining punishement with leniency in the whole supplementary penalty system depends to a large extent on the specific supplementary penalties.Advancing the implementation of the criminal policy of combining punishement with leniency in the whole supplementary penalty system requires further enriching the types of supplementary penalties.In addition to the introduction,this article has five chapters.The main contents of each chapter are as follows:The first chapter is "The Criminal Policy of Combining Punishement with Leniency and the Supplementary Penalty".The main purpose of this chapter is to establish the research perspective of this paper and to frame the research objects of this paper.This chapter is divided into three sections.The first section summarizes the concept of criminal policy,the concept of the criminal policy of combining punishement with leniency,the focus of the criminal policy of combining punishement with leniency,and the status of the criminal policy of combining punishement with leniency.It points out that the concept of "criminal policy" in the criminal policy of combining punishement with leniency is different from the criminal policy concept of Western countries.The second section sorts out the origin of the concept of supplementary penalty,the concept of supplementary penalty in China,and the types of supplementary penalty in some other Countries and China.At present,there are only three types of supplementary penalty which are fines,assets forfeiture and deprivation of political rights.The third section sorts out the relationship between the criminal policy of combining punishement with leniency and supplementary penalty.The relationship between the criminal policy of combining punishement with leniency and supplementary penalty can be divided into general relationship and special relationship.The relationship between the criminal policy of combining punishement with leniency and supplementary penalty follows the relationship between policy and law,the relationship between criminal policy and criminal law,and the relationship between criminal policy and criminal penalty.Supplemantary penalty has positive significance for the realization of all aspects(including the "Punishment" aspect,"Leniency" aspect and the banlance of these two aspects)of the criminal policy of combining punishement with leniency.The second chapter is "Criminal Fines under the Guidance of the Criminal Policy of Combining Punishement with Leniency".This chapter is divided into three sections.The first section sorts out the historical evolution of China’s criminal fines.China’s criminal fines originated from the "redemption" in the primitive society period,and later evolved through various stages such as slave society,feudal society,revolutionary war,early founding of China,1979 criminal law,and criminal law in 1997,after which the current regulation of criminal fines.The second section examines criminal fines in China from the perspective of the criminal policy of combining punishement with leniency,figuring out the problems.Criminal fines violates the the criminal policy of combining punishement with leniency in several aspects.As for the application methods of criminal fines,it should be lenient but actually is not,and it should not severe but actually is.As for the amount of criminal fines,the relationship between "leniency" and"punishement" is unbalanced.As for the enforcement of criminal fines,sometimes it should be lenient but actually is not,and sometimes it should be severe but actually is not.The third section put forward some improvement suggestions of cirmial fines in China under the guidance of the criminal policy of combining punishement with leniency.These suggestions include increasing the legislation of criminal fines as the only punishment for criminals,increasing the judicial application of criminal fines as the only punishment for criminals;reforming the regulation of criminal fines as a necessary punishment for ciminals into the regulation of criminal fines as a possible punishment for criminals;drawing on the experience of the United States to construct a standard of fines amount with universal applicability,flexibility and stability;Enriching severe fine enforcement measures and improve lenient fine enforcement measures in both sentencing and enforcement stages.The third chapter is "Assets Forfeiture under the Guidance of the Criminal Policy of Combining Punishement with Leniency".This chapter is divided into three sections.The first section sorts out the historical evolution of assets forfeiture in China.China’s assets forfeiture has experienced the evolution of slavery society,feudal society,the revolutionary war period,the funding of China,the 1979 criminal law and the 1997 criminal law,and finally formed the current regulations.From a historical point of view,China’s assets forfeiture has played a greater role in combating and preventing crime than fines.The second section examines assets forfeiture in China from the perspective of the criminal policy of combining punishement with leniency,figuring out the problems.Assets forfeiture violates the the criminal policy of combining punishement with leniency in several aspects.As for the application methods of assets forfeiture,it is severe on the surface but actually not and the relationship between "punishment" and"leniency" lost its balance.As for the scope of the assests forfeiture,the legislation is severe but the application is not.As for the sentencing of assets forfeiture,it is severe on the surface but actually not and the relationship between "punishment" and "leniency"lost its balance.The current concept of the relationship between criminal fines and assets forfeiture can result unbalance betwwen "punishment" and "leniency".The third section put forward some improvement suggestions of assets forfeiture in China under the guidance of the criminal policy of combining punishement with leniency.These suggestions include rational review of the relationship between assets forfeiture and crimial fines;reforming the regulation of assets forfeiture as a necessary punishment for ciminals into the regulation of allowing discretion in chosing between assets forfeiture and criminal fines;narrowing of the scope of assets forfeiture;and adopting "survey first,sentence next" procedure in assets forfeiture sentencing.The fourth chapter is "Deprivation of Political Rights under the Guidance of the Criminal Policy of Combining Punishement with Leniency".This chapter is divided into three sections.The first section sorts out the historical evolution of China’s deprivation of political rights.The deprivation of political rights is a product of the development of democracy to a certain stage.China’s deprivation of political rights has experienced a historical evolution from a mere punishment method to a dictatorship and a method of punishment to a punishment with political overtones.The second section examines the deprivation of political rights in China from the perspective of the criminal policy of combining punishement with leniency,and figuring out the problems.Deprivation of political rights violates the the criminal policy of combining punishement with leniency in several aspects.As for the scope of application of deprivation of political rights,the standards of "punishment and leniency" in different cases are different,and the relationship between "punishment" and "leniency" lost its balance.As for the period of deprivation of political rights,the standards of"punishment and leniency" in different cases are different,and the relationship between"punishment" and "leniency" lost its balance.As for the enforcement of deprivation of political rights,sometimes it should be severe but actually is.The third section put forward some improvement suggestions of deprivation of political rights in China under the guidance of the criminal policy of combining punishement with leniency.These suggestions include unifying the application scope of deprivation of political rights among criminals sentenced to penalty more severe than 10 years in prison;refining period of deprivation of political rights into five sentencing degrees;figuring out the enforcement priorities of depriving political rights,adopting more relaxed enforcment measures,establishing of guarantee systems and incentive mechanisms.The fifth chapter is "Expansion of the Types of Supplementary Penalty under theGuidance of Policy of Combining Punishement with Leniency".This chapter is divided into two sections.The first section discusses the necessity of the expansion of the types of supplementary penalty in China.Both the "punishment" and "leniency" aspects of the policy of combining punishement with leniency have raised the demand for further enriching the types of supplementary penalty in China.The second section gives a concrete idea of how to expand the types of supplementary penalty.It mainly includes clarifying the supplementary penalty status of some punishment measures without the name of supplementary penalty but actually functions as supplementary penalty in current Criminal law,mainly including deportation,occupational prohibition,and prohibition order;adding some new supplementary penalties mainly focusing on organization crimes,including assets forfeiture,deprivation of honorary title,restrictions on the scope of business;figuring out those deprivation of honor penalties which are meaningful to the enrichment of China’s supplementary penalty system and reviving the supplementary penalty that existed in the history of our country,mainly refering to the deprivation of military ranks;Evaluating some supplementary penalties exsting in the history of China and current in other countries and figure out the value of thses supplementary penalties in enriching China’s supplementary penalty system,which mainly refers to the deprivation of military political honor and deprivation of parental rights.更多还原