【作者】 王顺安；

【导师】 何秉松；

【作者基本信息】 中国政法大学 ， 刑法学， 2007， 博士

【摘要】 社区矫正是在社区对罪犯予以行刑监督、教育改造和帮助服务活动的总称,是20世纪七八十年代以来世界各国不断进行刑罚制度的改革、践行联合国刑事司法准则所倡导的行刑社会化、个别化和科学化的基本原则与要求的承诺,结合本国国情所尝试的一种最为有效、最为人道、最为文明、最为经济的处理犯罪行为和犯罪人的刑事(罚)执行方式。根据中国最高人民法院、最高人民检察院、公安部、司法部《关于开展社区矫正试点工作的通知》的规定,社区矫正是与监禁矫正相对的行刑方式,是指将符合社区矫正条件的罪犯置于社区内,由专门的国家机关在相关社会团体和民间组织以及社会志愿者的协助下,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,并促进其顺利回归社会的非监禁刑罚执行活动。从2003年7月10日正式开展的社区矫正试点工作,是将罪犯放在社区内,遵循社会管理规律,运用社会工作方法,整合社会资源和力量对罪犯进行教育改造,使其尽快融入社会,从而降低重新犯罪率,促进社会长期稳定与和谐发展的一种具有中国特色的行刑和矫正活动。本文采用思辨的、实证的、历史的、比较的综合方法,从刑法学、犯罪学、行刑学和矫正学的科技整合视角,对社区矫正的若干理论问题进行了深入的研究与分析,并在此基础上提出了社区矫正的立法建议与思考。全文共分10章,每章的核心内容如下:第一章,“社区矫正的基本范畴及科学内容”。全面梳理了有关社区矫正的三大范畴——社区、矫正、社区矫正,并对社区矫正相关概念的内涵与外延进行了深入的研究与探讨,对社区矫正的特征尤其是本质特征进行了归纳、总结和分析。作者认为,我国目前的社区矫正是一种狭义的仅只针对现行刑法、刑事诉讼法和监狱法所规定的五种类型罪犯开展的社区矫正的试点工作,是社区矫正的初级阶段。科学社区矫正的定义应当放在整个防治违法犯罪体系中予以审视和理解,其对象不仅包括已决的5种罪犯,还应包括在整个刑事诉讼过程中不需要羁押但仍应作为社区监督和矫正的未决犯,甚至是未纳入刑事司法系统的劳动教养人员尤其是少年收容教养人员,以及强制戒毒和强制教育的人员。这是本论文所有问题研究的定位前提,也是不断完善和充实社区矫正试点工作的逻辑起点。第二章,“社区矫正的性质和地位”。社区矫正的性质本身就存在变化发展和不确定性,因此是目前中国社区矫正理论与实务最大的理论难题。从联合国刑事司法准则和各国的刑事法律规定来看,社区矫正的性质比较宽泛,既包括审前的强制措施,又包括审中和审后的非监禁刑种、刑制、刑罚变更执行方式,甚至还包括刑满释放人员的保护性措施,也就是说,社区矫正包含了非监禁刑罚执行、刑罚适用与刑罚执行及变更执行制度,以及保安处分的内容和成分。但从我国官方所确定的社区矫正性质而言,仅只是非监禁刑罚执行活动,属于狭义社区矫正性质。作者研究认为,在现行法律框架下的社区矫正试点工作的性质,在目前试点阶段可以定位为非监禁刑和非监禁措施的行刑与矫正活动,其地位与监禁刑的监狱行刑与矫正相并列。但是,待社区矫正试点工作成熟之后,其性质应向广义的国际通行的刑事制裁与措施执行活动的认定标准靠拢。关于社区矫正的地位,若定位于非监禁刑的执行,那么其地位属于刑罚执行活动;若定位于刑事制裁措施,那么可定位于刑事执行。从人类刑罚及执行方式的发展规律来看,普遍存在由生命刑、肉刑及执行为主的模式向监禁刑及执行为主的模式的转变,再由监禁刑及执行为主的模式向非监禁刑及执行为主的模式的转变,每一次转变都是向更人道、更文明、更经济的方向迈出了一大步。我国目前社区矫正的地位还很低,与中国作为联合国常任理事国和泱泱文明大国的地位不符,因而有必要扩大社区矫正的试点规模,尽可能快地将我国的监狱行刑与矫正为主的模式,转向监狱行刑矫正与社区行刑矫正并驾齐驱的地位,最后希望向更人道、文明的社区行刑矫正为主的模式靠近。第三章,“国外社区矫正的历史、现状及特点分析”。主要是对国外的社区矫正的历史发展进行史学性质的挖掘和整理。同时,深入探讨了社区矫正诞生的理由及历史背景、条件,着重对社区矫正的发展现状进行研究,对美国、英国、加拿大、澳大利亚、法国、日本的社区矫正状况及特点进行了分析,尽可能地展现出英美法系和大陆法系国家在社区矫正方面的相同点与不同点,为我国借鉴与学习西方发达国家先进的社区矫正的理念与制度提供参考的平台。第四章,“中国社区矫正的历史、现状及特点分析”。主要分析了清末法律改良背景之中的非监禁刑的诞生,尤其是现代刑法的宠儿——缓刑、假释的引进与发展历程。对新民主主义革命时期与社区矫正的做法也做了相应的介绍,针对新中国成立以后的监外执行刑罚、制度和矫正改造工作进行了详细的介绍、描述,尤其是对社区矫正试点工作以来,始终走在前沿的上海、北京、江苏和浙江模式进行了归纳总结,并提炼出各自的特点,对此问题的研究与分析,有利于社区矫正试点工作的评价及深化。第五章,“社区矫正的理论基础”。在理论依据方面,重点论述了四个方面的内容,一是刑罚目的理论的演进——社区矫正发端的刑罚理论基础;二是监禁刑的缺陷及刑法谦抑主义思想——社区矫正的刑事政策基础;三是对提高刑罚执行效益的追求——社区矫正产生的经济性选择;四是“大社会”观念和以人为本的人文主义精神——社区矫正产生和存在的社会思想基础。在此基础上,进一步论证和阐释了开展社区矫正工作的必要性、合理性和可行性。作者的初步结论是,在中国开展社区矫正不仅必要,而且合理,但应根据我国具体国情而有的放矢,有计划、有步骤地渐进展开,否则其可行性将打上问号。第六章,“社区矫正的指导思想、基本原则、目的和任务”。本章是学术界关注较少,但是非常重要的社区矫正的基础理论问题。作者花了很大的精力与气力对中外社区矫正的指导思想、基本原则、目的和任务,进行了较深入的研究和探讨。指导思想的研究除了微观的操作层面的分析外,着重对宏观层面的马克思辩证唯物主义的哲学指导思想、人是可改造的指导思想及构建和谐社会的指导思想等进行了探讨。关于社区矫正的基本原则,作者在依循联合国刑事司法准则的基础上,对中国社区矫正试点工作中的规定予以了探讨。关于社区矫正的目的、任务,作者初步认为中国社区矫正工作的目的在继续保持刑罚及刑罚执行一贯所追求的预防犯罪这一总目的、总目标的前提下,也应采纳国外对社区矫正目的更为实际的看法和追求,即保护公共安全、帮助罪犯重返社会、更好地运用资金、减少行刑成本。社区矫正的任务可以归纳为三个方面的内容:行刑与监管、教育与改造、帮助与服务。第七章,“社区矫正的种类与适用”。社区矫正不是一个刑种。而是一种非监禁刑和监禁刑替代措施及行刑和矫正活动的集合。与国外社区矫正的种类相比较而言,我国目前所使用的社区矫正的种类(管制刑、剥夺政治权利刑、缓刑、假释、暂予监外执行)过于单调与不足。因此,应与时俱进,借鉴国际社会上社区矫正的做法,结合中国的国情,创制更为广泛、有效的社区矫正类型。在社区矫正使用范围方面,详细地分析了社区矫正的适用数量、适用对象、适用范围,指出了我国社区矫正适用量小的原因、适用对象狭窄的症结以及适用空间、时间上的问题,大胆地提出了单位(法人)犯罪的社区矫正和社区矫正的行刑时效制度的建构。第八章,“社区矫正的组织机构及工作人员”。关于社区矫正的组织机构,作者针对现行法定的社区矫正执行主体的不合理和组织机构的欠缺性进行了点评,对试点地区的社区矫正实际工作主体及组织机构进行了评价,研究结论是,社区矫正工作应有专门的自上而下的执行机构,司法所在社区矫正工作中具有不可替代的功能作用,应予以肯定与推广。关于社区矫正工作人员,主要介绍了国外社区矫正工作人员、社会工作者、志愿者的构成及工作要求,评价了我国社区矫正工作人员的试点模式,对我国社区矫正工作者的性质、素质条件、工作状况和工作条件进行了实证调查分析。建议尽快建立专门的社区矫正工作者队伍,尤其是社区矫正官、缓刑官、假释官制度。第九章,“社区矫正的利与弊”。任何刑罚及其制度都是相对的善,绝对的恶,但力图通过小恶换大善,实现社会的公平与正义。为了避免社区矫正试点工作的盲目性和“一窝蜂”似的热捧与肯定,作者客观地分析了社区矫正的利与弊,并认为社区矫正的利大于弊,因此应开展社区矫正。但是,社区矫正的弊也不应该忽视,否则会失去公正,危害公共安全,损害被害人的利益,甚或诱发犯罪。研究结论是,社区矫正工作应兴利抑弊,扬长避短,以保障社区矫正试点工作的顺利开展。第十章,“社区矫正的立法建议”。由于中国社区矫正没有专门的法律规范,散见于现行刑法、刑事诉讼法、监狱法、未成年人保护法、预防未成年人犯罪法、人民警察法中的法律规定,又非常简单,不便操作,所以社区矫正立法势在必行。作者在点评了国内外社区矫正立法状况的前提下,提出了修改与完善现行刑法、刑事诉讼法和监狱法的建议,并倡导制定《中和人民共和国社区矫正法》或者更完整的《刑事执行法》或更宏伟与独创的《矫正法》。结束语:“社区矫正的评估与前瞻”。中国从正式开展社区矫正试点工作已经快四年了,为了更好地推广社区矫正工作,完善社区矫正制度,首先要对过去的社区矫正的工作成绩与经验教训,予以总结、评估,并科学地作出前瞻性的展望。为此,作者从八个方面进行了研究,即:意义深远的矫正实践、毁誉参半的社区矫正、健康发展的中国试点、成就斐然的初创工作、不可忽视的种种问题、难以逾越的法律障碍、曙光初现的研究成果,以及展望未来的美好愿望。人类很少敢于向对普通人一样对待囚犯,但是他每这样做一次都会由于其勇敢而受到褒奖。国际领域内的社区矫正就是这样一种力量将囚犯视为普通人并在不剥夺自由的社区环境中将其重新社会化,成为合格的社会公民。中国的社区矫正尽管起步较晚,但因其文化底蕴深厚、政府重视和公众欢迎,已经迈出坚实的实践探索的第一步,并期待着社区矫正立法与完善的法治建设的第二步。我们坚信,中国的社区矫正事业因其“勇敢”的人性化实践探索和法治化立法完善,定会赢得国人乃至世人的褒奖与赞美!更多还原

【Abstract】 Community correction, floorboard of execution supervision, educational reconstructions and assitance on the criminals in the community, is based on the worldly punishment institutional refomation and is outcome of implementing socialliazed, individualized and scientific execution principle sparkpluged by UN Criminal Justice Rule. Comumunity correction is the most effective, the most humanlized, the most civilized and the most economical criminal execution manner according to our national situation. Comumunity correction is the corresponding concept of imprisonment correction according to the“Notice of Carrying Out Experimental Community Correction”from the Supreme Court of China, the Supreme Prosecute of China, the Public Security Bureau and the Justice Burea, and means to locate the qualified criminals into the community and correct their criminal phschology and vice action by special departments with assistance of relative castle and social voltuneers in the determinated period, in order to achieve their rehabilitation . The expemental community correction starting from 10th july, 2003 is to locate the criminals into the community and educate them with social management principles by social resoures, making them rehabilitate as soon as possible and reducing the re-commite rate. Community correction is a characterized execution to enhance longterm stabilization and harmonious development. In this article, the author uses dialectic, demonstrational, historical,and comparative methods to research and analyze the therotical problems on community correction in the aspects of criminal, criminology execution and correction, and then arouses legislation suggestions on community correction.This article is composed of 12 chapters, as follows:Chapter one, Basic Scope and Content of Community Correction. Fully analylizing three scopes related the community correction: community, correction and community correctin, embedly reseach on the intention and extention concept of community correction, and sums up the characters of community correction. The author reckons community correction in our country at present is only narrow sense concept of experimental community correction which aims at five kinds of criminals stated by present criminal law,criminal prosecution law and execution law and is in the elementary phase of community correction. The scientific concept should be defined in the whole system of criminal prevention. The objects consist of not only the five kinds of crimainals mentioned above, but also undecided criminals which need supervision and corrections but no detaining, even those labor cultivational people especially youngsters and people forcely abstained from drugs in the criminal lawsuit process. This is the oritentional precondition of this article and also is the logic start of consummating and enriching experimental community correction.Chapter two, Character and Status of Community Comminity. The Character of commity correction itself is changeable and incertituded, thus it is the largest problem both in theory and practice. From the UN Criminal Justice Rule and worldly criminal laws, the character of comminity correction is wide, which includes forceful measures before pre-trail, non-imprisonment punishements and criminal alteration execution in trail and afer trail, even also includes protectional measures of released people, that is, comminity correction includes non-imprisonment criminal execution, punishment application and criminal alteration execution, as well as public security ensurement. But for the comminity correction defined officially, it is only non-imprisonment activity and is narrow sensed comminity correction. In the author’s mind, the character of community correction in the frame of present law can be oritentated into correction activities of non-imprisonment criminal and measurements, and it is paralleled with imprisonment criminals and corrections. But after the comminity correction gets mature, it should be more close to the wide international criterion. If the community correction is defined to be non-imprisonment exexcution, it is punishment action; and if it is defined to be criminal adjudication measure, it is criminal execution. From the development rule of the punishenment we can find that, the punishement always changes from death and corporal punishment to imprisonment, and then to the pattern of non-imprisonment, during which, each change is a large step of more humanlized, more civilized and more economical. The community correction in our country at present is at a low position and not goes with our status, thus it is necessary to enalrge the size of the experimental comminity correction and try best to turn the present imprisonment mode into imprisonment & comminity correction mode and be more close to more humanlized, more civilized mode.Charter three, History, Actuality and Character of foreign community correction. The author neatens the history developments of foreign community correction in historical aspect, meanwhile, embededly research the reason, the backgrounds and the conditions of the naissance of community correction, emphasizedly research on the actuality of foreign community correction, and then characters the community correction of the USA, British, Canada, Austrilia, France and Japan, in that conclude the samenesses and differrences between civil law system and common law system, which can show us a flat to learn advanced ideas of community correction in foreign coutries.Chapter four, History, Actuality and Characters of Chinese Community Correction. The author mostly analyses the naissance of community correction after law reformation in the later of Qing dynasty, especially the indraught ,development of probation and parole. The author also introduces relatively the community correction of the period of new democracy revolution and detail the non-imprisonment execution and correction in the period after the building of People’s Republic of China. The author especially concludes and abstracts the each characters of shanghai, beijing, jiangsu and zhejiang, which are the representational area since carrying out expemental community correction. The research and analysis will favor the evaluation and deepen of the expemental community correction.Chapter five, Theoretical Basis of Community Correction. In the theoretical basis, the author reckons there are four parts: the first is the evolvement of punishment’s object theory, which is the theorital basis of naissance of community correction; the second is the limitation of imprisonment execution and the limitation of criminal law, which is the political basis of community correction; the third is pursuing improve effectiveness of punishement, which is the economical choice of community correction; the fourth is the big-social concept and humanism priciple, which is the social antilogy basis of community correction. And then, the author reasons further the need, rationality and feasibility of community correction, makes a fringe summarize that it is necessary and rational for china to carry out community correction, but the community correction should be developed have a defenite object view of chinese sitution in a steped plan, otherwise the feasibility of community correction will be questioned.Chapter six, Guidance, Principle, Aim and Mission of Community Correction. This problem is very impertant basic theorical problem though it is in low attention in academe, the author spends much effort to research and discuss the the guidance, principle, aim and mission of community correction in china and foreign countries. Concerning on guidance, the author emphasized the research of macroscopical guidance of Marxism, the idea that man can be corrected and constructing harmonious society except the microcosfic research. In the research of priciple of community correction, the author discusses the provision of expemental community correction following the UN Criminal Justice Rule.on the problem of aim and mission of community correction, the author reckons that the aim of chinese community correction should adopt the more actual idea in foreign community correction such as guarding the society, rehebilitation, better management of funds and reducing the execution cost in the case of the sum aim of prevengting criminal. The community correction consists of three parts: execution and supervision, education and reconstruction and assistance.Chapter seven, Kinds and Application of Community Correction. The community correction is not a kind of punishment, it is a congregate of non-imprisonment and imprisonment substitute measures, execution and correction. Relative to the kinds of foreign community correction, the present community correction kinds consists of control punishment, depriving political rights, probation, porale and temporaty outside imprisonment execution, which is too humdrum and lack. So we should create more broad, effective kinds according to our situation by using for reference the modus operandi of natioanal community correction. The author also detail analyses the number, object and scope of application, points out the reason of the small number of application, the narrow object of application and the problem of space, time, boldly reckons construction of the unit criminal’s community correction and the institution of execution espiracy.Chapter eight, Departments and Workers of Community Correction. Concerning on the departments of community correction, the author comments the illogicality and deficiency of departments stated by present law, evaluates the worker system in expemental community correction, and then concludes that the community correction should form the executive special superincumbent departments, justice office play a unsubstitute impotant function role in community correction, which should be affirmed and spreaded. Concerning the workers, the author mainly introduces the structure, demand of correction workers, social workers and volunteers in foreign community correction, evaluates the experimental mode in our country, and then do some demonstatical diagnoses on the character, diathesis condition, work status and work condition. At last, the author advises that we should establish special community correction workers ,especially correction officers, probation officers and porale officers.Chapter nine, Benefit and Fraud of Comminity Correction. Any publishment and its system is comparatively good and definitely evil, but we try to make the good farly exceed the evil and achieve justice. In order to avoid the blindness and overladen fever, the author objectively analyzes the benefit and fraud of community correction, and reckons the bebefit is much grester than the fraud, thus comminity correction should be popularized. Meanwhile, the fraud of community correction also should not be negelected, in order not to loose justice or harm public security. In all, we should popularize its bebefit and prevent its praud to guarantee the smooth development of experimental comminity correction.Chapter ten, Legislation Suggestion on Community Correction. There is no special law for commmunity correction. It is occasionally seen in some laws like present crminal law and execution law, and hard to execute, thus legislation is a must. Based on comment on international comminity correction legislation, the author put forward some suggestion on modificating present criminal law and prison law, and parkplug to establish“Comminity Correction Law of People’s Republic of China”or more integrated“Criminal Execution Law”or more original“Correction Law”The end, Evaluation and Prospect of Community Correction. It is nearly 4 years since we start community correction in China. In order to popularize and improve community correction, we need to study and sum up the work in the past years and scientifically prospect the future of comminity correction. For which, author studies from 8 aspects: meaningful correction, comminity correction with praise and blame, healthy experimental, fruitful elementary work, inneglectable problems, troublesome obstacle, hopeful harvest and wonderful wishes to the future.People seldom dare to treat criminals as ordinary mankind, however, each time they do it, they will achieve praise for their braveness. In the international field, community correction is a power to treat criminals as ordinary people and make them rehabilitate with freedom and then become regular citizens. Although we start comminity correction late in China, with profound culture basis, the regard of the government and public reception, we have strided the first practical groping step, and we expect the second step of comminity correction legislation and improvement. We firmly believe that, with its“brave”humanlized practicle and legislation improvement, community correction in China will surely achieve harvest and praise both nationally and internationally.更多还原