社区矫正制度研究

【作者】 王维；

【导师】 徐静村；

【作者基本信息】 西南政法大学 ， 诉讼法学， 2006， 博士

【摘要】 目前，我国最高司法机关联合制订的规章中认为，社区矫正(communitycorrection，community-based correction)是与监禁矫正相对应的行刑方式，是指将符合非监禁刑适用条件的罪犯置于社区内，由国家的刑罚执行机关在相关的社区组织的协助下，在判决、裁定或决定确定的期限内，矫正其犯罪心理和行为恶习，并促进其完全复归社会的非监禁刑罚执行活动。社区矫正是积极利用各种社会资源、整合社会各方面力量，对罪行较轻的、主观恶性较小、社会危害性不大的罪犯或者经过监管改造、确有悔改表现、不致再危害社会的罪犯在社区中进行有针对性管理、教育和改造的工作，是当今世界各国刑罚制度的一种发展趋势。本文以中外矫正制度改革为背景，以我国刑事诉讼法的再修正为契机，以恢复性司法及复归社会理论为基础，以审前程序及审判后程序的分流为落脚点，运用比较分析和实证分析的方法，研究探讨社区矫正的基本原理和发展规律，并在分析我国社区矫正工作的现状和存在问题的基础上，提出了完善我国社区矫正制度的具体设想。全文由导论及五章正文构成。导论部分阐述了研究的目的、对象与进路。本文的研究目的——探讨实现刑罚目的的多重方式与刑事程序的合理分流。刑罚执行程序的发展与演进，昭示这样一条规律：越来越多的国家与地区开始抛弃严厉的刑罚执行方法，淡化单纯的惩罚结果，更多地关注如何矫治违法与犯罪者的心理与行为。需要引起关注的是，在西方，越来越多的国家重新评估监禁矫治的效果，转而倾向非监禁矫治，许多国家非监禁刑矫治的适用比例远远超过监禁刑矫治。我们是不是应当改革我们传统的以惩罚为核心价值的矫治方式。本文的研究对象——社区矫正制度与刑事诉讼制度的联系。社区矫正研究可以打通刑事诉讼法与刑法学两个学科之间的界域，使整个刑事理论与实务有机地结合起来。社区矫正的关键问题是被矫正对象的社会危害性与人身危险性。而社会危害性与人身危险性同样是刑事诉讼与刑法学关注的核心问题。所以，研究此问题有助于推动与促进刑事一体化理论的发展。本文研究进路——借鉴外国经验，发展与改造我国既有制度。本文的研究重点在于对制度安排以及制度运行的重构。但是由于论文涉及到叙述与评价西方社区矫正制度的产生、发展与建构中国的社区矫正制度问题，本人不得不交代的是：在叙述与评价西方的社区矫正制度的发展史时，在行文中尽量做到叙述材料的真实性及评价标准的客观性，以免因资料的失真或标准的主观而不能全面认识西方社区矫正制度的内在生长机理及外在运行机制。在分析西方社区矫正制度与建构我国未来社区矫正制度时，在行文中尽量注意两种制度法律文化背景的差异，以免直接地移植或嫁接后的水土不服。第一章为外国社区矫正制度的产生与发展。本章主要对社区矫正的产生与发展脉络进行了宏观的概括。试图探寻社区矫正制度产生与发展的基本线索与外部环境。由于社区矫正制度是一个舶来品，而近代的社区矫正制度又是起源于美国，故而本章先从美国社区矫正的理念的产生谈起，分析了社区矫正理念兴起的原因。正是矫正复归理论的勃兴促使人们价值观发生了变化。适用社区矫正不仅仅出于“仁慈”，不是将严厉的、漫长的刑期缩短的方略，而是对某些特定的被告人，做出即便最初就将其释放也不具有人身危险的判断时，与其让这样的人等到刑满后没有任何制约地回到社会，不如让他未服完刑之前，将其提前从行刑设施转移到社区，通过保护观察的指导监督给予本人自觉成为守法公民的机会。在此铺垫下，对社区矫正制度在美国的萌芽、确立、发展以及在发展过程中受到阻力，进行客观地勾勒与阐释。文章指出，缓刑的适用、缓刑制度的确立以及专业缓刑官的产生标志着美国社区矫正制度的萌芽；而美国联邦政府财政的支持才是该制度在美国最终得以确立的原因。之所以使美国政府愿意出资支持该制度，是因为监狱的爆满使财政经费大幅度增加，州政府的行刑设施的运作经费由1984年的59亿美元增加至1996年的207亿美元。面对如此庞大的行刑成本，使得很多反对社区矫正的人士不得不改变立场，与监禁矫正相比，社区矫正不得不成为政府最明智的选择。本章除了阐释美国社区矫正制度历史以外，还重点研讨了大陆法系国家日本社区矫正制度的产生与发展。在明治维新后的日本刑事法律中，采用了一项非常有特色的矫正制度，即出狱人的保护事业，在此基础上又发展为更生保护——社会内处遇(也可以认为是“广义的社区矫正”)。进入20世纪以后，日本的社区矫正以适用对象的广泛性以及对非行少年的特殊关照性而颇具特色，在世界各国中具有广泛的影响，值得我们借鉴。另外，日本的保护司制度也是颇具特色的。与这种低犯罪发生率有关的最重要因素之一，或许就是日本特殊的社区矫正机构的建立，这种非官方机构是小而紧密的群体，它能够有效地控制其他成员的行为，在这种强有力的约束之下，犯罪率自然降低。另外，它能够有效约束在社区内服刑的人员，避免再次犯罪。正是因为社区矫正制度本身具有特殊价值及其经济性与人道性，促使联合国在全世界范围内提倡与支持社区矫正制度，一些地区性国际组织在各自的成员国内也发起了支持社区矫正的宣言。社区矫正制度在世界范围内普遍受到重视。第二章是社区矫正制度的基本原理部分。本章对社区矫正制度的理论基础、基本原则、性质、功能、发展评估以及存在的问题进行详细的探讨。文章首先论述了社区矫正制度理论基础。指出保障人权的理念、恢复性司法的理念、刑事司法谦抑与节俭化的理念、犯罪学上的标签理论、深化的复归理论、行刑社会化的理念是社区矫正制度理论基础，上述理论从不同的角度解释社区矫正制度的内在合理性。其次，文章论述了社区矫正制度的基本原则，即程序至上的原则、重新回归社会的原则、服务于社区发展的原则以及矫治为主、惩罚为辅的原则。在此基础上分析关于社区矫正性质两种具有争议性的观点，其争议的根源在于如何理解社区矫正在社区活动中的地位与作用。笔者以为，从我国的实际出发，目前的社区矫正还是定性为一种非行刑方式比较妥当。再次，文章指出开展社区矫正工作具有重要意义。一是有利于积极探索改革和完善具有中国特色的刑罚执行制度；二是有利于充分利用社会资源，提高对罪犯的教育改造质量，最大限度地化消极因素为积极因素，维护社会稳定；三是有利于合理配置行刑资源，降低行刑成本，增强刑罚效能：四是符合世界刑事法制度的发展趋势，体现了社会的文明进步。第四，文章探讨社区矫正制度的人道价值与效益价值。指出社区矫正体现了一种宽容的精神，体现了人性关爱的理念；社区矫正可以节省国家的刑事司法资源，还可以节省社会在救济出狱人方面所需的资源。最后，文章指出，同任何一种制度一样，社区矫正制度也不是只有有利的一面而没有缺点的完美措施。一方面，社区矫正制度的实施导致社会控制网络的扩张，另一方面，社区矫正在使用中会产生歧视现象。还可能带来其他弊端。关键在于如何克服这类措施的弊端，将其消极的副作用降到最低限度。对于社区矫正来说，我们可以通过审前的认真审查、危险性的评估等科学的手段，准确地甄别被矫正对象的人身危险性和再犯的可能性，为准确地使用社区矫正提供技术支持。第三章运用比较的方法探讨了审前程序中的社区矫正制度。文章首先阐述美国的审前释放制度，认为审前释放是刑事程序中分流的第一道措施，审前释放占据重要的位置，许多传统和创新的方案都允许在审判前将嫌疑人从看守所中释放出来。随着审前释放方式在过去20年中的发展，旨在帮助被告和保护公众安全的审前转处办法也应运而生。如果被告能成功地完成这些社区矫正方案之一，那么，其犯罪指控就可能被撤销。审前转处方案主要有以下三种类型：调解、延迟起诉(或暂缓起诉)和处理街头犯罪的替代措施。无论是调解，还是暂缓起诉都是案件分流的可行办法，一方面避免刑事被告人遭受牢狱之苦，同时也减轻刑事司法的负担。对于审前释放、审前转处的人实施社区矫正，确保被释放后其行为得以矫治是这一制度的关键，也是分流成功的体现。其次，文章讨论了在我国建立暂缓起诉的可能性，以及如何对符合暂缓起诉的人实施社区矫正。在我国审前程序中，可以分流的措施有取保候审制度以及劳动教养制度，如何改革我国的取保候审制度，如何改造我们的劳动教养制度，把它们与社区矫正制度结合起来是本章探讨的一个重点。笔者认为：由于一部分人在起诉前或审判前因取保候审就可以在社区内接受矫正，其部分恶习得到一定的矫治，这使得他们可能获得暂缓起诉(如果实施这一制度的话)及不起诉或缓刑的机会增大，也就是说，如果检察官或法官认为那些被取保候审的罪行不严重的嫌疑人在社区内已经矫治其行为，已经悔过自新，可以根据他们的具体情况作出暂缓起诉或缓刑的决定或裁定，继续在社区内接受矫正。使这些人分流出刑事追诉系统，既减轻了刑事司法的压力，又可以避免使这些人遭受牢狱之苦。另外，在社区矫正的规模得到大大扩张之后，它所占有的司法资源必定会成比例地增长，此时，如果仍旧保留劳动教养制度，在经济效益上是不合算的。正像监禁刑与社区矫正的关系是此消彼长一样，劳动教养与社区矫正的关系也是此消彼长的，社区矫正的扩张，必然导致劳动教养的收缩乃至取消。第四章为中外审判后程序中的社区矫正比较。本章重点研讨以下几个问题，即：一是判决宣告前的被告人人格调查制度，该制度对于审判后程序的社区矫正的发展是至关重要的。社区矫正能否取得成功，在很大程度上取决于被告人是否适合于社区矫正，而要判定被告人是否适合于社区矫正，则有赖于建立科学的人格调查制度；二是缓刑与社区矫正，具体来说二者的关系是：缓刑制度是实施社区矫正的前提与基础，社区矫正是保证缓刑制度得以实施的有效措施与保障。纵观国外的缓刑制度，我们可以看出，无论是缓刑的确定即判决前的调查制度，还是缓刑的执行制度以及缓刑的考察制度，离不开社区矫正制度，离开了社区矫正，缓刑无法执行，或者缓刑成为无罪释放的代名词；三是假释与社区矫正制度，在论述国外假释制度的基础上，对完善我国假释制度提出了若干具体设想：四是探讨社会服务令作为一种刑罚方法的内涵以及理论基础，并结合我国的具体情况提出设置社会服务令的可能性。第五章为健全我国社区矫正制度的具体设想。本章首先从宏观上论证了我国社区矫正工作及制度存在的缺陷。然后论证建立我国社区矫正制度的必要性以及可行性，并对健全我国的社区矫正制度应确立的基本理念及基本原则进行了初步的探索。接着就我国近期内健全我国的社区矫正制度提出了具体的设想。文章认为，健全我国社区矫正制度既要根据我国的基本国情，又要借鉴外国经验来进行。既要随着刑事诉讼法理论研究的深入而展开，也应当随着我国民众对司法民主的要求逐步推进。建构我国的社区矫正制度应该分三步走：第一步为确立我国社区矫正制度的阶段，第二步为发展我国社区矫正制度的阶段，第三步为完善我国社区矫正制度的阶段。三步走的目的是考虑到法治发展水平循序渐进的需要，同时也不至于在实践中造成太大的困难。具体来说第一步最重要的是制定《社区矫正条例》；第二步最重要是修改刑事诉讼法、刑法以及监狱法，使之规范社区矫正制度；第三步是待到时机成熟之时，制定专门的《社区矫正法》。更多还原

【Abstract】 Community correction, also called community- based correction, refers to non-imprisonment criminal penalty correspondingly functioning as imprisonment which rectifies the psychology and behavior abuse of the conditioned criminal in the community in session of making judgment by special State agency, together with the assistance of related social group, non-governmental organization and social volunteer, to smooth the social order. Community correction, as an internationally developing trend of criminal system, aims at educating and adjusting the criminals with mild crime, light malignancy and social endangerment or repentant and harmless to the society after the education and adjustment.In this article, the author, taking the criminal correction systems reform background of China and other countries, catering to the second amendment of China’s Criminal Procedure Law, basing on criminal pretrial procedure and criminal trial procedure and targeting at redounding the social theory, analyzes the basic principle of community correction, its development in case law, particularly American community correction system and the problems of China’s community correction and its improvement with comparative analysis and practical analysis methods. The article is constituted by introduction and five chapters.The introduction includes research goal, object and clue. The research purpose of this article is to diversify criminal penalty. The development and evolution of penalty executing procedure makes clear that more and more countries and areas start to abolish the severe penalty, concentrating less on the single penalty result and more on correcting criminal’s psychology and behavior. In the West, more and more countries reappraise the imprisonment effect and favor non-imprisonment rectification, and many countries’ on-imprisonment corrections go far beyond the imprisonment correction. We should realize it and rethink reforming China’s traditional punishment-based criminal correction; The object of this article is the relationship between community rectification system and the criminal procedure system. Studying community correction can help us establishing a bridge between the secondary course of criminal procedure law and criminal law for community correction is concerned with both criminal procedure and criminal law. The key of community rectification is the criminal’s social harm and personal fatalness, which is also the essential issue of criminal procedure and criminal law. Therefore, studding community correction can promote the criminal integration theory; the clue of this article is by profiting from the foreign experience, to reform and to develop China’s existing criminal system. The focus of this article is the system arrangement and the system explanation in practice. In considering the narration of and comment on the form and phylogeny of western community correction, its dissection and the construction of China’s community correction system, the author, when narrating and commenting on the phylogeny of western community correction, endeavors to achieve the authenticity of material narration and the objectivity of comment standard, in order to avoid unilaterally understanding the intrinsic growth mechanism and the external operational mechanism of west community correction due to the materials distortion or the subjective standard; While dissecting the west community correction and constructing China’s community correction, the author works hard to differ the cultural background of the two legal systems to avoid the maladjustment because the direct transplant and graft.The first chapter is the formation and the development of community correction system. In this chapter, the author broadly summaries the formation and the development of community correction system, attempting to inquire its basic clue and the external environment. Because the community rectification system is adopted from other countries, and the modern community rectification system is originated from US, in this chapter the author begins from the idea emergence of the American community correction and analyzes its reason. It is the emergence and development of community correction theory that changes people’s value to penalty execution. The community rectification is not merely for benevolence, and not to shorten the severe and long prison term, also not the repayment to the correction result of penalty execution or the benignity, but is to transfer certain special accepted criminals to the community from the imprisonment place before the penalty execution session when making non-person-danger judgment even if release them at the beginning,, and give them opportunities of becoming law-abiding citizens through the instructive inspection of protective observation. Under the above, the author objectively outlines and explains the formation, the establishment, the development, as well as the resistance in the developing process of community correction system in USA. The author points out that, the application and establishment of probation system and the formation of specialized probation official symbolize the formation of American community correction; but it is the US federal government’s financial support which finally established the system in USA. This is because that the out-numbered prisoners in jail largely increased the financial funds, for instance, the penalty execution funds of the state governments increased from 5,900,000,000 US dollars in 1984 to 20,700,000,000 US dollars in 1996 which made many people who opposed community rectification change the standpoint. And the community rectification is the government’s most advisable choice compared with the imprisonment correction.Besides the history of American community correction, the author studies the formation and development of Japanese community correction in civil law. In Japan’s Meiji Restoration criminal law, there was a very specific community correction system, namely the afar-jail criminal’s protection which developed into rebirth protection--execution in community (also may be regarded as a broad community correction). In the 20th century, Japan’s community rectification is characteristic of the universal criminals and the special care to non-jailed youth which, being worth us profiting from, had widespread influence in the various countries. Moreover, Japan is also typical of protection judicial system. Perhaps one of the most important factors of low crime rate is the establishment of Japanese special community rectification organization which, as a small and tightened unofficial organization, can effectively control the member’s behavior and the serving criminals in the community to avoid committing crimes again. Thus, under this powerful restraint, the crime rate reduced naturally.It is the special value, the efficiency and the. humanity of community correct which makes the United Nations advocates and supports community rectification system in the world, and some regional international organizations initiate the manifesto of supporting the community ratification in their respective member countries. The community correction system draws a worldwide focus.The second chapter is the basic principle of community rectification system which concerns with the rationale, the basic principle, the nature, the function, the development evaluation and the problems of the community rectification system. In this chapter, the author firstly elaborated the rationale of the community correction, pointing out the theory basis of the human rights protection idea, the recoverable judicature idea, the criminal judicature modest and thrifty idea, the criminology label theory, the deepened recoverable theory, and the socialization idea of execution which explained the intrinsic rationality of community correction system from different aspects. Next, the author elaborates the basic principle and nature of community correction, namely the procedure priority principle, the returned to society principle, the service to the community development principle, primarily correction and secondarily penalty principle. Above all, the author analyzes two disruptive viewpoints on community correction nature which root in how to understand the position and the function of community in community activity. The author is inclined to define the community as non-imprisonment in considering China’s reality.And then, the author mentions the significance of community correction. Firstly, it is beneficial to positively reform and improve Chinese- characterized penalty execution system; Secondly, it is conduced to fully use society resources, enhance the education to the criminal and maximally transform the negative factor into positive factor to maintains the social stability; The third is the reasonable disposition of penalty execution resources, reduces its cost, and improve the penalty function. The forth one is that it caters to the world criminal law system developing trend and manifests the social civilization progress. And next, the author analyses the humanity and benefit values of community correction system, pointing out that the community rectification manifests the tolerance, the idea of human consideration as well as saves the criminal judicature resources and the resources of relieving afar-jailed persons. As a coin has two sides, community correction system has its weak points, such as expansion of society control scope, discrimination and others. The key solution is overcoming them to reduce the negative effect as possibly it can be. Regarding the community correction, we can accurately screen the personal fatalness and the possibility of recommitment through earnest examination, fatalness appraisal and other scientific methods before the trail, to provide the technical support for accurate community correction implement.The third chapter is the pretrial procedure of community correction system with comparative measure. Firstly, the author stated the pigtail release system of USA which, taking a great place in the criminal procedure, is the first criminal procedure, and that many traditional and innovative plans provide releasing the suspects from the lockup before the trial. With the recent 20 years development of pretrial release, the pretrial penalty transform raised in purpose of helping the defendant and protecting public safety. If the defendant can successfully complete one of these community correction measures, his or her crime indictment may possibly be relieved. There are mainly three types of pretrial penalty transform, namely the mediation, the detention prosecution (or postponed prosecution) and the substitution measure of punishing street crime, that among them both the mediation and the detention prosecution are distributor measures aiming at avoiding the accused person suffering the hardship of imprisonment and lightening the criminal judicature burden. The essential point of community correction is to rectify the pretrial released and penalty transformed persons to guarantee the rectification of their behaviors after the release, which also assure the successful transform. And next, the author analyzes the possibility establishing postponed prosecution the possibility, and its community correction way.In the pretrial procedure, the distributor measures are bail-for-trial system and the education-through-labor system, and how to reform the two systems as well as their combination with community correction system is a key point of this chapter. The author thinks that, because some people can be rectified in community before the prosecution and trial in aspect of bail-for-trial, achieving certain abuse correction, Thus, they can obtain more opportunities of postponed prosecution (if implement this system) and non-prosecution or probation opportunity. In other words, if the prosecutor or judge think that the accused person with light crime in bail-for-trial has been corrected in the community, he or she can be postponed for prosecution and continue to accept the correction in community. Therefore, transferring them away from the criminal prosecution procedure both reduce the criminal judicature pressure and avoid the accused suffering from the hardship of imprisonment. Moreover, as the widely practice of community correction, its judicial resources can be proportionally increased, which makes the education-through-labor system economically unworthy. Just as the relationship between imprisonment punishment and the community rectification, the education-through-labor holds the inverse proportion of increase and reduction with community correction which the expansion of community rectification causes the education-through-labor inevitably reduced or even abolished.The fourth chapter is the community correction comparison of post-trail procedure between China and other countries. This chapter focused on the following issues: the. first is the accused person’s personality investigation system fatal to the community correction development of post-trail procedure. Because the success of community correction relies greatly on the accuser’s personality which depends on the establishment of scientific personality investigation system; the second is the probation and the community rectification in relation of that the probation system is the premise and foundation of community correction which guarantees the probation system effectively implemented. Looking over the overseas probation systems, we may find that the determination (i. e. the investigation system before decision), execution and inspection of suspension sentence are connected with community correction system which are otherwise unable to be carried out or become the substituted name of free setting with no guilt; the third is the parole and the community rectification system, of which the author proposes a lot for its development in China. The forth is the content and rationale of social service command in terms of criminal punishment, and the possibility of constructing it in China.The fifth chapter is the tentative plan of improving China’s community correction. At first, the author generally analyzes the weak point of China’s community correction system and its practice, the necessity, feasibility of community correction in China, explores its basic idea and principle and plans its construction in the near future. The author suggests that points that the establishment of China’s community correction system should bases on China’s situation while adopted from other countries’ experience which develops with the advancement of criminal procedure law theory and people’s request for judicial democracy. And considering the gradual development of law and its practice, the author suggests three steps for constructing China’s community correction, i. e. its establishment, development and improvement which, specially and importantly, are constituting Community Correction Ordinance, revising the Criminal Procedure Law, the criminal law and the prison law to standardize community correction system and constitute Community Correction Law when conditions are satisfied.更多还原