论刑法的谦抑精神

【作者】 黄丹；

【导师】 汪明亮；

【作者基本信息】 复旦大学 ， 法律， 2012， 硕士

【摘要】 刑法的谦抑精神是现代刑法研究中使用频率较高的一个用语,刑法谦抑性的理念也逐渐影响各国刑法改革措施。毫无疑问,刑法谦抑精神对我国传统的刑法观念造成了较大的冲击,刑法谦抑精神理论的探讨和实践应用,会进一步转变刑法的功能,使其更好地保障人权,对法治社会的构建有着重要作用。目前,不同时期的刑法学者从不同角度对刑法谦抑精神进行了研究,然而就我国刑法界而言,一方面,刑法谦抑的观念远未深入人心,另一方面我国只有少数学者抽象地论述了刑法谦抑精神的基本要求。本文试图从刑法谦抑精神的本质、概念、历史渊源、法理依据、社会依据、价值蕴含、实现途径以及对我国刑法的启示等方面进行论述。全文除引言和结语外共分五个部分约3.3万字：第一部分论述了刑法谦抑精神的本质及概念。刑法的谦抑性首先应当是人们对刑法的一种价值诉求,是一种观念、精神。因此本文着重从刑法的谦抑精神出发进行论述。笔者认为,刑法谦抑精神,是指国家在制定和执行刑事法律的过程中,应按照一定规则控制刑法的范围、程度及行刑人性化,适当地调整自身的严厉性,以实现保护法益和保障人权的目的一种价值诉求。第二部分介绍了中西方刑法谦抑精神的历史渊源,由此可以看出刑法谦抑精神形成与发展的历史轨迹。在西方,人文主义的近代刑法思想、天赋人权和主权在民、人性论、个性解放、博爱、自由、法律面前人人平等等人道主义思想相继出现,使刑法谦抑精神有了深刻内涵。十八世纪中叶以后,谦抑精神得到系统的表述和普遍的认可。在中国,早在原始社会末期有“刑”之初,实行的就是“慎刑”、“轻刑”和“刑期于无刑”的思想。到了奴隶社会和封建社会,法律以刑为主,刑法严酷,重刑主义思想占据重要的地位,在这样的历史背景下,“明德慎罚”、轻刑等思想初露端倪。第三部分分析了刑法谦抑精神的理论根基。这也是本文的核心内容。一方面主要从刑法的保障法地位、对刑法机能的认识转变、刑法自身的局限性等法理角度进行论述,另一方面,社会结构、政治、经济、文化等社会因素也是影响刑法谦抑精神的重要原因之一。第四部分重点介绍了刑法谦抑精神的价值蕴含。笔者认为刑法的谦抑精神应该包括三个方面的内容：一是刑法的紧缩性,它是指刑法调控范围以及刑罚手段的运用是有限的,而不是无穷的；二是刑法的补充性,刑法作为最严厉的法律制裁手段,决定了它在维护社会秩序上的辅助性地位；三是刑法的经济性,这种趋势在立法和司法中都有不同的体现。第五部分提出了刑法谦抑精神的实现途径以及结合我国的实际探讨中国刑法的完善。一是罪之谦抑,即非犯罪化。二是刑之谦抑,包括非刑罚化和轻刑化。我国刑事政策的基本思想都体现出了非犯罪化和非刑罚化的内涵。最后以结束语的形式从中国目前的法制进程角度进一步强调了刑法谦抑精神的重要意义。更多还原

【Abstract】 The restraining spirit of criminal law is a term that has been widely used in the study of modern criminal law. The idea of the restraining criminal law gradually influences criminal law reform measures of various countries. There is no doubt that the restraining spirit of criminal law produces a considerable impact on our traditional criminal law ideas, the study of the theory of the restraining spirit of criminal law and the practice, will further change the function of criminal law, make it better safeguard human rights, play an important role in the construction of the society ruled by law.The criminal law scholars in different decades researched the restraining spirit of criminal law from different perspectives. However, the present status of criminal law is concerned, on the one hand, the idea of the restraining criminal law is not popularized, on the other hand, only a few scholars abstractly discuss the basic requirements of the restraining spirit of criminal law. The essential, concept, history, legal basis, society basis, value, realized methods and the enlightenment of our country criminal law of the restraining spirit of criminal law will be discussed in this paper.This paper, except introduction and postscript, has five sections,40,000words.The first section is about the essential and concept of the restraining spirit of criminal law. The restraining criminal law is pursued as a kind of value to the criminal law by people, and it’s a kind of idea, spirit. Therefore, this paper discusses from the restraining spirit of criminal law. In my view, the restraining spirit of criminal law, is pursued as a kind of value, which means in the process of the formulation and implementation of the criminal law, our country should control the scope and level of the criminal law according to certain rules and humanized execution, appropriately adjust its own stringent, in order to protect law profit and safeguard human rights.The second discusses Chinese and Western history of the restraining spirit of criminal law. Then it shows that the formation and development of the restraining spirit of criminal law. In Western, the ideas, including the modern idea of criminal law of humanism, natural rights, popular sovereignty, a treatise of human nature, individual liberation, fraternity, liberty, equality before the law, appeared one by one, which produced the profound historical origin of the emerge of the restraining spirit of criminal law. The restraining spirit of criminal law was systematically expressed and generally accepted until the middle of the18th century. In the end of Chinese primitive society, at the beginning of the criminal law, the ideas including "cautious punishment","light punishment", and "sentence to no punishment" were carried out. This was an important characteristic of punishment thought in the history of our country. In slave and feudal society, the laws were basically about criminal, and the punishment was harsh, the ideas of Severe-Penalty Doctrine took an important position, in such history background, the ideas including "bright virtue and careful punishment", light punishment started to appear.The third analyzes the theoretical basis of the restraining spirit of criminal law. It is the core content of this paper. For one thing, mainly discusses from various perspectives of jurisprudence, including the criminal law protection status, change of understanding on the function of the criminal law, the limitation of the criminal law, and so on. For another thing, social factors, including the foundation of social structure, political base, economic base, cultural base and policy, influence the restraining spirit of criminal law.The fourth introduces the value of the restraining spirit of criminal law. In my opinion, the restraining spirit of criminal law includes three parts:first is the tightening of criminal law, it means the regulation range of criminal law and the use of punishment means are limited; second is the complementarity of criminal law, criminal law is the most strict legal sanction, which determines the auxiliary status in maintaining social order; third is the economy of the criminal law, this tendency has different embodiments in both legislative and judicial.The fifth section suggests the realized methods of the restraining spirit of criminal law and discusses the perfection of Chinese criminal law considered the practical situation. One is the restraining of crime:decriminalization, the other is the restraining spirit of the punishment, including non-penalization and light-penalization. The basic ideas of Chinese criminal policy all embody the connotation of decriminalization and non-penalization.Finally, it further stresses the importance of the restraining spirit of criminal law from the angle of our country current legal process.更多还原