先秦儒家和法家关于犯罪预防思想比较研究

【作者】 贾剑虹；

【导师】 汪汉卿；

【作者基本信息】 安徽大学 ， 法律史， 2002， 硕士

【摘要】 引言 犯罪是一社会历史现象。随着社会的发展、文明的进步，犯罪是越来越成为一个全球性的普遍的社会难题。在中国，从古至今，无数的思想家围绕此问题进行了深入的思索。先秦儒家与法家一方面总结了前人预防犯罪的思想，并作出了重大发展，使其系统化，再进一步具体化；另一方面，二者最终由对立走向融合，并在其后二千余年的时间里发挥了重要的、甚至是不可替代的作用，因此尤其值得我们关注。 一、先秦儒家与法家关于犯罪预防思想的历史发展 (一)儒家与法家关于犯罪预防思想的形成与发展 1 我国古代犯罪预防思想萌芽于夏、商和西周时期。这一时期的犯罪预防思想以“代天行赏罚”和“礼刑并用”、“德主刑辅”为其特征，尽管尚不系统，但却形成了我国古代关于犯罪预防思想的轮廓。 2 战国时期，“百家争鸣”，对犯罪预防思想的探索作了进一步推动。先秦儒家和法家关于犯罪预防的思想正是在这样的条件下形成与发展的。 3 秦儒家关于犯罪预防的思想理论奠基于孔子(视人性相近)，发展于孟子(认为人性善)，成熟于荀子(视人性恶)。儒家认为，人性是相近的，并且后天因素对人性的影响很大，可以改变人性；犯罪的原因是多方面的，因此，预防犯罪的措施也是综合的，应当以礼为治、德主刑辅、用刑持中、发展经济、富民教民。 法家关于犯罪预防的思想理论奠基于商鞅、发展于韩非。法家认为，人性是“趋利避害”的，人人皆挟自心；人的本性是不可改变的，犯罪主要是人性使然；预防犯罪必须以法治民、专任刑赏、重刑轻罪、弱民强国。 (二)先秦儒家和法家关于犯罪预防思想走向融合 随着政治上统一局面的即将出现，儒家与法家关于犯罪预防的思想理论走向融合，法与礼、德与刑、富民与教民等终于共容于一体。 二、先秦儒家和法家关于犯罪预防思想的比较 (一)关于犯罪预防思想的理论基础比较 1 人性论。儒家认为人性相近(善或恶)，但是后天的教育、环境以及个人是否努力提高自己等诸多因素对人性起着不可忽视的影响作用，使人性或多或少发生着改变，从而对人犯罪与否起着至关重要的作用；法家认为人性是“趋利避害”的，是“恶”的，并且人的这种本性不可能通过后天教育等因素改变，犯罪主要是山于人性使然。 2犯罪原因。儒家认为犯罪的原因是多方面的，既有经济、政治等客观原因，又有人自身的主观原因，因此，预防犯罪的措施也应是综合性的；而法家认为，人之所以犯罪是山于人具有“趋利避害”的本性，人的这种本性使人追求富贵的欲望和行为到死才会停止，人的这种欲望和行为与犯罪有着直接的联系。囚此，预防犯罪应顺应人的本性，以刑赏为手段。 （二）关于犯罪预防思想的主要观点比较 1“为国以礼”与“制民以法”。儒家认为应当以礼治国，通过正名、践行“孝”、“忠”来达到预防犯罪、稳定社会秩序的目的；而法家认为，只有以法治民，通过法律确定各人的不同的权利和义务以及各级官吏的职权等才能有效预防各种犯罪。 2“德主刑辅”与“专任刑赏”。在德与刑的关系上，儒家主张“德上刑辅”，认为应当重视教育，以道德教育手段来预防犯罪，刑罚只是辅助性举措，不可能象德教那样起到从根本上预防犯罪的效果；法家则认为，山于人的本性是不可能改变的，因此道德教育毫无意义，只有摒弃儒家所讲的“德”，专任刑与赏，尤其是刑罚手段，才能最终防止犯罪发生。 3“刑罚适中”与“重刑止奸”。在刑罚的适用卜，儒家强调慎刑、罚刑相当，期望通过“刑罚适中”发挥刑罚的预防犯罪作用：法家咯持重刑厚赏，尤其强调重刑对预防犯罪的作用，甚至认为只有“重刑轻罪”、“刑用于将过”，才能从根本上杜绝犯罪。 4“为民制产”与“弱民强国”。在儒家看来，人民的利益和国家的利益是一致的，没有人民的富裕，就没有社会的安定以及国家的富强，所以，统治者应采取措施解决百姓的生活问题，这才能为预防犯罪奠定物质基础；法家却将民穷、民富均视为犯罪的诱因，因而主张采取措施使民众既不会长期处于穷困，义不能久居于富足，从而疲于耕作，而不至于犯罪。三、先秦儒家和法家关于犯罪预防思想的评价 1人性论的评价。无论是坚持人性善还是坚持人性恶。都是不科学的。前者可 〕 5能产生忽视法制建设的消极后果，而后者将无视教育预防的作用，片面求助刑罚，使刑罚暴力走向极端化。 2 治国之具与犯罪预防的关系评价。儒家所坚持的礼与法家所侣导的法都是维护统治阶级的特权的，因此不可能很好地发挥其预防犯罪的作用，但是他们主张确定各主体的权利和义务，尤其法家主张通过明确官吏的职权以预防包括职务犯罪在内的各种犯罪的观点却是很有价值的。 3 德、刑与犯罪预防关系评价。道德教育和刑罚更多还原

【Abstract】 Crime is a social and historical phenomenon. With the development of social and civilization, crime is becoming a global social problem, Many ideologists, from antiquity to today , have given a deep thought about it in China. The Confucianists and the Legalists in the preceding Qin Dynasty period (they were abbreriated to "the Confncianists"and "the Legalists"in the following chopters),for one hand, separately concluded the former thought about anticrime, had a great development and made it a systemtic and specific one; on the other hand, they mixed together in the end after long opposition to each other and had a important and unreplacement affect. So they worth particular notice. I The Development of the Confucian and the legalistic Ideologies about Anticrime1 The Formation and Development(1) The Chinese ancient thought about anticrime shoots in Xia Shang and West-Zhou dynasty. Although it was not systematic, it formed the outline of the Chinese ancient thought about anticrime.(2) Various ideologies appeared in the Spring-Autumn and Victorious-Nation period and promoted the research on the problem of anticrime. The Confucian and the Legalistic ideologies about anticrime formed and developed in such surroundings.(3) Confucius laid a foundation for the Confucian ideology about anticrime, Mencius developped it and Hsun-tzu made it more perfect. The Confucianists thought that human nature was similar and surrounds had a important affect on it and changed it, that causes were various to crime, so the measurement for anticrime was multiple, that we should govern the country by Li ,give penalty fairly, develop economy, rich the people and teach them , and that De was important than penalty.Shang-yang laid a foundation for the Legalistic ideology about anticrime and it was developped by Han-Fei. The Lagalists thought that human nature was evil and unchangable and all thought for themselves, that human nature was the main cause to crime, that we must govern the people by law, rely on penalty and award, give a heavy penalty to a slight crime, and make the people weak and country strong .2 The Mix of the Confucian and the legalistic ideologies about AnticrimeWith unitary state’s coming, the two ideologies mixed. Law and Li ,De and Penalty,etc. mixed together in a ideology about anticrime. II The Comparison of the confusian and the Legalistic Ideologies About Anticrime1 The Comparison of the Theoretical Foundation of the Ideologies About Anticrime.(1) The Theory of Human Nature . The Confucianists thought human nature similar. But many things including teaching and surrounding had a great affect on human nature and changed it more and slightly . So these things had a important affect on whether a person made crime. However, the Legalists thought human nature evil and unchangable .(2) Causes to crime. The Confucianists thought causes to crime were various including economical, political and other causes , so the measurement also should be multiple. However, the Legalists thought that the main cause to crime was the evil human nature . According to human nature ,we should take the measurement of penalty and award against crime.2 The comparison of the main viewpoint of anticrime(1) The Confucianists thought that the governor should govern the country by Li to prenvent fromcrime.The Legalists thought that law had to be used to against crime.(2) The Confucianists maintained that De was important than penalty.Teaching about De should be given specific notice in preventing from crime.Penalty was unimportant for anticrime.The Legalists held that because of the unchangable evil human nature ,the governor had to abandon De and used penalty and award only , especially penalty , to prevent from crime.(3) The Confucianists hold that penalty should be used prudently and mediumly . And penalty should be accordant with crime.The Legalists,however,maintained that in order to prevent from crime,a heavy penalty had to be brought to a slight crime.(4) The Confucianists更多还原