监禁刑现代化研究

【作者】 廖斌；

【导师】 何秉松；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2005， 博士

【摘要】 本文主体内容分为五部分。分别从监禁刑的涵义、监禁刑的历史发展与特点,监禁刑的价值、现代化与监禁刑现代化之分析、我国监禁刑的内容的现代化、行刑的现代化等方面进行了系统论述。 第一章,监禁刑的发展历史与特点。文章分析了监禁刑的含义,指出它应该包含剥夺人身自由、时间、特定的行刑场所、劳动等要素。文章对中国与西方监禁刑的发展历史进行了比较分析,指出我国古代的监禁刑及其理念比西方的监禁刑产生的要早,并且理念至今都有较大的启示意义,但这种在封建制度下的监禁刑因受制于生产力发展水平,决定了它是不能与现代社会监禁刑同日而语的。在近代晚清社会,由于西方文化的进入,晚清政府也被迫走上监禁刑现代化之路,而半封建半殖民地的封建社会制度就决定了其外发型监禁刑现代化改革之路只能是归于失败。当代中国的监禁刑发展是成就与问题并存,但整体上,我们已初步建立了与现代化相适应的监禁刑体系,但现代化之路仍需我们不断探索。西方国家在商品经济发展的基础上,通过资产阶级的启蒙思想灌输与资产阶级革命,这种内发型现代化之路,完成了其早期监禁刑现代化。到了现代垄断资本主义时期,由于人道主义思想和对人权观念的重视,轻刑化思想得到了体现,监禁刑则更多地体现了对犯罪人的教育和生活的改善、人道化氛围的增加。西方各国都在不同程度上体现了这些方面的内容。但是到了二十世纪九十年代以后,西方国家针对现代社会新类型的严重犯罪,又出现刑罚“趋重”的现象,监禁刑的惩罚性功能体现得更加突出,“轻轻重重”的刑事政策所表现的是更多地向“重重”的方向发展。这也印证了现代化是一动态的变化过程。 第二章,现代监禁刑的价值。研究监禁刑的现代化,就必须确定现代监禁刑的价值。刑罚根据综合论的提出,是刑罚价值观现代化的基本标志。在刑罚根据综合论的影响下,监禁刑的价值也从最初的单纯强调报应发展到重视威慑,到重视剥夺犯罪人的再犯罪能力,再发展到重视犯罪人的再社会化。在以教育刑主义为核心的现代刑罚根据综合论的指导下,监禁刑的内涵与执行方法都逐渐丰富,成为最适应刑罚综合论需要的刑罚方法。文章指出,尽管监禁刑本身可能存在缺陷,但是监禁刑仍然具有重要价值。监禁刑由于其执行方式和执行内容的多样性以及时间上的可分性,因而成为罪刑相当原则最基本的刑罚载体,从而实现报应正义。在自由日益成为人类最基本的存在价值的情况下,监禁刑由于其剥夺或限制自由的基本特征而具有强烈的惩罚性与谴责性,从而使得监禁刑有利于实中国政法人学博圣:学位论文监禁刑现代化研究现一般顶防;在教育刑主义的影响下,监禁刑丰富了行刑内涵,逐渐成为教育刑主义的主要载体,促进犯罪人的再社会化;监禁刑剥夺犯罪人的自由,将其监禁于特定设施,从根本上消除了犯罪人的人身危险性。在整个刑罚体系中,惟有监禁刑能够满足现代综合刑罚根据论的需要,实现刑罚的各种价值,因而尽管监禁刑存在这样那样的弊端,但是这只能成为监禁刑现代化的理由而不是废除监禁刑的借口。 第三章,现代化与监禁刑现代化。现代化是指传统社会向现代社会的转变过程。“它是多层面同步转变的过程,是涉及到人类生活所有方面的深刻变化,概括起来,现代化可以看作是经济领域的工业化,政治领域的民主化,社会领域的城市化以及价值观念领域的理性化的互动过程。”现代化意味着向传统的挑战,并产生相应的后果,它可以是“内发型”和“外发型”两种发展过程的现代化。现代化作为社会系统的一种变迁过程,科学与科学化是其不断前行的不竭动力;民主与民主化是其构建政治制度的基础和价值追求;对个人主体性的尊重必然会体现人文主义精神和人道主义观念的渗透。我们也必须清醒地认识到,现代化不等于西方化。监禁刑现代化就是指监禁刑适应现代社会的一种变化更新过程,它要求监禁刑要适合于现代社会控制犯罪和改造犯罪人的要求,其价值理念、刑罚的设定、调整与实际执行应当与现代社会相协调,以符合现代社会和谐发展的需要。监禁刑的现代化包括监禁刑制刑、量刊、行刑的现代化,其核心就是寻找和建立能同时满足“对犯罪的报应与预防,对犯罪人的惩罚与改造”这一综合刑罚目的的监禁刑制度。它在客观要求上,体现着三个相互联系的现代社会的法治精神的过程:一是程序与内容的民主化;二是制度的科学化,它包括形式内容(即规范本身)的科学化,还包括实质内容一一规范的实际运行科学化;三是规范与实施的人道化。从监禁刑这“三化”的目标上看,就是追求监禁刑不断地与现实社会相协调,最终实现社会体系整体的现代化发展。在现代化过程中,要注意对传统文化影响的扬弃,要注意国际化对监禁刑现代化的影响。 第四章,论我国监禁刑制刑的现代化。文中针对相对确定刑刑期存在幅度过大、法定量刑情节粗疏,提出缩小刑期幅度、细化犯罪情节、规范量刑情节等改革以保证监禁刑量刑真正落实监禁刑的民主化精神。针对制刑中,现行监禁刑刑种之间不协调所反映出的问题,建议监禁刑刑种的设置走单一化道路,并辅之以行刑多元化的制度。 第五章,监禁刑的行刑现代化。监禁刑现代化最终在行刑现代化中得以完成,它包更多还原

【Abstract】 The theme, imprisonment, of this dissertation is divided into five parts: the definition and characteristics of imprisonment, the development of imprisonment, the value of imprisonment, modernization and imprisonment modernization, modernization of the content of imprisonment in China, and modernization of imprisonment execution.The first chapter discusses the development and characteristics of imprisonment. It points out the definition of imprisonment and its basic elements: the deprivation of personal liberty, the length and special place of its execution, and labor work etc. This parts also makes comparison of the imprisonment history in China and in the west, indicating that imprisonment and its ideas in ancient China still inspiring appeared earlier than the west, but it can’t be compared to the modern imprisonment due to the feudal background and low productivity of the time. With the invasion of the western culture in late Qing dynasty, the government was compelled to carry out the modernization of imprisonment, but it was doomed to be failure because of the semi-feudal and semi-colonial social system. And In modern China, preliminarily we have established imprisonment system in a whole accommodating to the modernization, but we still have long way to go in its full fulfillment. The earlier modernization of western countries was based on the development of commodity economy, influenced by bourgeois enlightenment thoughts and its own bourgeois revolution. In the modern monopolistic capitalism time, the thoughts of light sentence were reflected because humanitarian thoughts and human rights ideas were attached more importance, and the imprisonment incarnated further for the humanitarian atmosphere such as offenders’ education and better lives. All these were embodied in some countries to different degrees. However, in 1990s,due to the emergence of some new forms serious crime, the western countries tended to aggravate criminal penalties, which emphasized the punitive aspect of imprisonment. In all, the modernization of imprisonment has experienced a dynamic development.Chapter two discusses the value of the modern imprisonment which is essential to the study of imprisonment modernization. With the influence of punitive grounds’ synthetic ideas representing the modernization of criminal penalty notion, the value of imprisonment has experienced the development from simple retribution to deterrence, and to the deprivation recidivism, and then to the resocialization of criminals. Under the guidance of synthetic ideas centering on doctrine of educational punishment,imprisonment and its execution develops very quickly and gradually become the most adaptive criminal punishment of the ideas. It is also pointed out that notwithstanding its deficiencies, imprisonment is still of great value, it is the basic punishment method of the principle of adaptation of crime and punishment of the retribution concept owing to the diversity of its execution forms and separability of execution length. And since freedom has become the basic value of human being, imprisonment can effectively prevent crimes for it deprives and restraints freedom, forming its strong deterrence. And imprisonment affected by moralization notion has enriched criminal punishment execution, and gradually become the main method of moralization punishment accelerating the resocialization of criminals. It deprives criminals of freedom, confines them in specific places, eliminates personal risk fundamentally. In the whole penal systems, the imprisonment alone meets the needs of synthetic punishment, and realizes the separate values of criminal punishment. The deficiencies of its own constitute reason of the modernization, rather than the abolishment, of imprisonment.The third chapter focuses on modernization and the modernization of imprisonment. Modernization refers to the transform from traditional society to modern society, "it’s a course of synchronous transform course of social multi-players concerning the profound changes of human life in all aspects, including更多还原