刑事政策系统论

【作者】 许秀中；

【导师】 何秉松；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2004， 博士

【摘要】 目前，世界上多数国家包括中国，犯罪问题十分突出，表现为犯罪率总体上升，犯罪结果更加严重，新型犯罪不断增加，传统犯罪类型出现新特点，传统意义的控制犯罪的刑法或刑罚显得无能为力，以刑事法律为核心的预防和控制犯罪的刑事政策也收效甚微。因此各国都力图从刑事政策的新角度寻找预防和控制犯罪的新方法。本文试图从系统论的角度对刑事政策进行比较全面地系统研究，希望能够为预防和控制犯罪，维护社会稳定做出努力。本文的线索或思路主要是围绕刑事政策目标的追求，以现代西方刑事政策理论和实践为参照系，从研究刑事政策系统的要素入手，对刑事政策系统的结构、功能、主体、客体、环境以及刑事政策系统运行过程和刑事政策系统的演化等进行深入探讨，以期勾画出刑事政策系统的存在和运行态势，或说通过对刑事政策系统的静态和动态进行综合分析，试图寻找一条实现预防和控制犯罪，维护社会稳定、保证社会秩序，最终实现自由和正义的科学之路，并应用于中国的刑事政策实践。本文追求的是整个刑事政策系统的民主、法制、科学、优化，最终实现高效和公正以及人权保障。本论文分三大部分共八章：第一大部分（即第一章），围绕刑事政策的概念界定进行阐述，意在确定刑事政策的内涵、外延、范畴和边界，为全面研究刑事政策系统奠定基础。本章首先考察分析了中外关于刑事政策的定义；紧接着对与刑事政策密切相关的公共政策概念进行了研究；在此基础上，对刑事政策涉及的主要要素和关系作进一步分析，整合出本文的刑事政策概念。本章是整个论文的基础章。第二大部分（包括第二、三、四、五、六、七章），对刑事政策复杂巨系统及系统要素（其子系统）进行深入研究。以刑事政策系统的要素入手，对刑事政策系统的结构、功能、主体、客体、环境以及刑事政策系统运行过程和刑事政策复杂巨系统的演化等进行深入研究，通过对刑事政策系统的静态和动态的综合分析，以期勾画出刑事政策系统的存在和运行态势。第二章研究刑事政策系统总体概述，分析了刑事政策系统的概念、特点；刑事政策的静态系统和刑事政策的动态系统。第三章研究刑事政策系统的要素、结构和功能，主要对刑事政策系统的要素、结构和功能进行分析，提出刑事政策系统的基本要素应该包括静态要素和动态过程要素两大部分。刑事政策静态要素主要包括：目标、主体、客体、措施或手段。刑事政策动态过程要素主要包括：决策、执行、评估、调整及保障的信息和控制要素（环节）。在分析要素的基础上，结合中外刑事政策的理论研究与实践，分析了刑事政策系统的主要结构形式和结构类型以及刑事政策系统的主要功能，并分析了增强<WP=5>系统功能的条件。第四章研究刑事政策系统的主体、客体和环境，本章就刑事政策系统中最基本的要素：主体和客体以及主体作用于客体的环境进行深入分析。结合中外理论研究和现实情况，提出刑事政策主体的不同划分标准和存在的不同形式，主要以国家权威的拥有和拥有程度为标准。在客体研究上，尽量扩大刑事政策系统的客体，但客体确定的依据主要是犯罪态势、犯罪人及其行为，以及被害人。对环境的研究主要考虑无论是刑事政策主体还是客体都不断地与环境发生相互联系和相互作用。环境对刑事政策系统具有重要影响作用，同时刑事政策系统也反作用于环境。本章研究对制定和实施刑事政策具有重要作用。第五章研究刑事政策系统的运行，针对刑事政策系统的运行过程进行动态研究。主要分析了刑事政策系统运行的环节：决策、执行、评估和调整或终结等，贯穿于刑事政策系统运行过程的信息与控制另有专章研究。本章对运行过程的研究主要是分析了各环节运行的原则、步骤和影响因素等；同时对刑事政策系统运行的内在规律进行了探索，提出了刑事政策系统运行的规律主要包括利益规律、效力规律和生命周期规律，进一步揭示了刑事政策运行的本质特征。第六章研究刑事政策系统的信息与控制，主要对贯穿于刑事政策系统运行过程中的两个重要因素或称两个子系统——信息和控制进行深入研究。刑事政策系统运行过程从某种角度上说是对刑事政策信息进行收集、传递、加工、使用、反馈的过程。对客体信息的掌握是制定刑事政策的前提，信息的公开化和共享是民主决策的基础。控制贯穿刑事政策运行过程的始终。信息控制是控制的最重要形式之一。第七章研究刑事政策系统的演化，首先归纳阐述了系统演化的基本理论，特别是复杂巨系统的自组织理论；接着从刑事政策理论的历史演化、刑事政策系统各要素、结构、功能、运行过程等的演化进行综合分析；并就刑事政策系统的自组织演化进行了探索性研究。在此基础上，结合犯罪态势和系统环境的发展，对刑事政策系统的演化趋势进行了大胆推测，为制定长期科学合理的刑事政策提供参考依据。第三大部分（即第八章），主要讨论我国现行刑事政策系统的构建问题。首先对我国刑事政策系统状况进行简要分析；其次对国内外刑事政策系统进行比较研究，找出问题之所在；然后对我国社会治安综合治理的总刑事政策和宽大与惩办相结合、严打刑事政策以及矫正刑事政策等基本刑事政策进行系统分析，提出完善我国刑事?更多还原

【Abstract】 The crime problems are becoming prominent in many countries besides China, which have the new characteristics of the overall increase of the criminal rate and new types of crimes, the traditional types of crimes present new peculiarity, the criminal law and penalty on the traditional mean for controlling the crimes appear incapable and we need do more research on the adjustment on the controlling manner centering around the criminal law. Therefore each country is trying to find new methods in preventing and controlling the crimes from the angle of the criminal policy. For a long period of time, due to the actual discrepancies in the country mentioned above which leads to the difference between the understanding and comprehend of the criminal policy, and the effectiveness of the criminal in each country is not so outstanding as we think. This article tries to do an overall systematic research on the criminal policy from the angle of systematic theory. The clue and thinking method of the article centers around the pursuit of the aim of the criminal policy, with studying the systematic factors of the criminal policy, it will deeply probe into the structure, functions, main body, object, condition, the processing procedure and evolvement of the criminal policy system, so that it can outline the exist and movement state of the criminal policy system or analyze in a comprehending way its static and dynamic states, and try to find a new scientific way to prevent and control crimes, to safeguard the social stability, to ensure the social system and achieve the freedom and justice in the end. The main aim of the article is to seek for the democracy, legal system, science and optimization of the whole criminal policy system, and ultimately achieve high efficiency, justice and the protection of human rights.The article consists of three parts and eight chapters.The first part (the first chapter) centers around and set forth the definition of the terms of the criminal policy and criminal policy system, which tends to confirm the connotation, extension, category and limit of the criminal policy system and set a basis for the overall study of the criminal policy system. This part consists of the first chapter. It firstly reviews and analyzes the definition of the criminal policy system home and abroad; then it studies the concept of the public policy closely connected with the criminal policy. It also further analyzes the main factors and relationship involving the criminal policy and by the mean of the systematic opinion to educe the concept of criminal policy to produce the concept of criminal policy system of the article. Such chapter is the basis of the whole article.The second part (including the second, third, forth, fifth, sixth and seventh chapter) deeply studies the complicated system and system factors (refers to the subsystem) of the criminal policy. Beginning with the factors of the criminal policy system, it penetrates into the structure, functions, main body, object, condition, the processing procedure and <WP=7>evolvement of the criminal policy complicated and huge system, so that it can outline the exist and movement state of the criminal policy system or analyze in a comprehending way its static and dynamic states by the way of integrated analysis of the static and dynamic states of the criminal policy system. The second chapter studies the criminal policy in a general way, and analyzes the concept and characteristics of the criminal policy system, the static and dynamic states of the criminal policy system. The third chapter mainly studies the factor, structure and function of the criminal policy system. The chapter mostly analyzes the factor, structure and function of the criminal policy system, and puts forward the basic factors of the criminal policy system should include the two big parts: the static and dynamic states. The static factors of the criminal policy system mainly include: aim, main body, object, measure and instrument. The dynamic processing factors (tatches) of the criminal policy sys更多还原