【作者】 葛磊；

【导师】 陈兴良；

【作者基本信息】 北京大学 ， 刑法， 2007， 博士

【摘要】 近年来,在刑罚进化论的命题下,中国刑罚体系的改革成为一个热点问题,而社区矫正制度的移植被理论界与实践界寄予厚望,以望成为解决中国刑罚体系中诸多问题的灵丹妙药。然而,论及刑事制裁体系的进化,学者们更多地关注于人道主义精神等社会道德观念的外化及刑罚理念发展对其的影响,鲜有人在西方诸国各个时代的宏大历史背景下对刑事制裁体系演进的本质进行研究。本文以福柯所称的“权力技术”作为基本分析工具,以系谱学的研究方法从18世纪以来各国刑事制裁体系的发展轨迹中,探寻推动这些制度演变的种种原因,以期阐明刑事制裁体系的历史演进规律与本质,并且对中国目前的刑事制裁体系的改革与社区矫正制度的建设提出一些意见。本文的第一部分研究了监禁刑为中心的刑事制裁体系取代中世纪公开酷刑的历史。从18世纪欧洲各国的刑罚改革中可以发现,监禁刑在很多地方与当时刑法家们所提出的刑罚理念并不一致,而且监禁刑的实践早于这些刑罚理论的产生。事实上,公开酷刑的隐退是因为这种公开的权力运作方式在当时的历史条件下引发了社会混乱,而监禁刑的产生是对社会中早已普遍存在的规训机制的一种模拟,并且符合了第一次社会分工以来社会的集体意识状态。本文的第二部分别描绘了欧洲大陆法系国家保安处分制度的在立法上与现实中的发展过程。大量的保安处分措施,特别是通过剥夺自由以防卫社会的保安处分措施是在监禁刑产生的年代与监禁刑相继出现的,远早于教育刑理论的提出和大规模的保安处分立法。它们在严格意义上的刑罚之外,与监禁刑一起构成了一个宏大的“监狱连续统一体”,共同发挥着对从最严重的犯罪行为者到轻微的社会越轨行为者的规训机能。而保安处分立法的根本原因在于资本主义发展到垄断帝国主义阶段的严重社会问题使政府需要一种比监禁刑更方便、有效地实现社会控制的刑事制裁措施。而教育刑理论的提出为保安处分名正言顺地纳入刑法规范作出了合理化的解释。第三部分是全文的重点。在对社区矫正及其相关概念、特征以及中国社区矫正的官方定义中存在的问题进行了分析之后,本文进一步探讨了社区矫正与监禁刑的关系,指出它们都是一种规训的权力技术实现方式,但却是两种不同的规训方案。接着本文论述了社区矫正产生和发展的两大历史条件:一为规训社会的成熟,具体表现为监视社会的强化规范化裁决的普遍应用和检查制度的发展;二为社会更加趋近于“有机团结社会”,从而具备与社区矫正这种轻缓的刑事制裁措施相适应的集体意识状态。然后,本文在近现代美国社会、经济、政治背景下考察了各个时期社区矫正制度及其相关的缓刑、假释产生发展的原因。在此基础上,本文对晚近年代犯罪控制策略的变迁进行了深入分析,揭示出两极化刑事政策下社区矫正制度在刑事政策宽松层面所发挥的刑罚机能。最后本章对社区矫正的性质进行了说明,认为在英美国家,社区矫正已经是一类新型的刑事制裁措施而非刑罚执行方法,而大陆法系国家二战后发展起来的非剥夺自由的保安处分措施与社区矫正有异曲同工之妙。延续于前文的思路,本文在最后一部分对中国的刑事制裁体系的改革与社区矫正的发展进行了分析。本文认为中国刑事制裁体系最大的问题不是出自刑罚体系内部,而是刑罚体系之外,还存在着处分符合犯罪构成要件该当性的轻微违法行为的行政制裁体系,在罪刑均衡的原则下,轻刑不能适用于比较严重的危害行为,因而现有的刑罚方法不能发挥出两极化刑事政策宽松层面的机能,刑事制裁体系在整体上呈现出重刑化倾向严重、刑罚方法单一、适用方式机械、社会化程度低的特征。在介绍了社区矫正在中国的试点情况及存在的问题之后,本文重点探讨了社区矫正在中国的社会基础问题。最后,本文对中国刑事制裁的改革提出了分两步走的构想:第一步是完善社区矫正制度及其基础建设;第二步是在社区矫正具备推广适用的条件之后,全面推进中国刑事制裁体系改革:取消犯罪概念的定量因素,从诉讼程序方面缓解讼源,将针对符合犯罪构成之行为的行政制裁措施剥离出去,把社区矫正作为一类刑事制裁方法纳入刑事制裁体系之中,实现两极化刑事政策。更多还原

【Abstract】 In recent years, under the“Criminal Punishment Evolution”theory, the Criminal Sanction system reform has become a hot issue. And the transplant of Community Correction system is high hoped to solve many problems of the Chinese Criminal Sanction system as a panacea. However, when addressing the evolution of criminal sanctions, Scholars pay more attention to the influence of the humanitarian spirit and development of the penalty theories. But some people study the nature of the evolution of criminal sanctions on the grand historical background in Western countries all times. With the Pedigree methods to study and the basic analysis tool which called "the Power of Technology" by Foucault, this paper hope to find the reasons of the advancement of Criminal Sanction system in its development path since the 18th century. And the purpose is to make some comments to it which reforming the system of Chinese current Criminal Sanction system and building the Community Correction system.Chapter 1: The Imprisonment replaced the cruel and exoteric criminal sanctions system in the history of medieval in the 18th century. From European penal reform, it can be found that a sentence of Imprisonment is so different from the theories addressed by the scholars at this times, Moreover, as early as in the practice of these penalties was earlier than these theories. In fact, the changes of the criminal sanctions system because the cruel and exoteric criminal sanctions system caused social unrest at the time. The sentence of Imprisonment is the result of the simulation of discipline mechanism Prevalent in the community, and it suit the collective consciousness Since the first division of society.Chapter 2:This part is about the history of Security Measure in the law and in the practice. A lot of security measures appeared consecutively in the age of Imprisonment. The measures are mostly earlier than the educating punishment theory and large-scale legislation of security measure. They composed a grand "Continuous Jail Continuum " with Imprisonment Punishment, and disciplined the actors from the most serious crimes to the minor transgressions . In the imperialist stage, the governments need a new sanction measure to solve the serious social problems with capitalist development, which must be more effective and convenient than the old criminal sanction system .This is the most important reason about the security measure coming into law. The educating punishment theory backed the new legal penal system, and gave them a proper explanation. Chapter 3: Building and advancing of community corrections. This is the core of this dissertation, and this Chapter is divided into six parts: (1) summary of community corrections; (2) the relations about Imprisonment and community corrections; (3) The social conditions of Community Correction: Mature of“discipline society”changes of the collective consciousness; (4) study of the reasons which Community Correction building and advancing in American history with the Pedigree methods;(5) Recent changes of crime control strategy and the functions of Community Correction in bipolar criminal policy; (6) The essence of Community Correction: a sort of punishment sanction measure, rather than methods of penalty executionChapter 4: How to reform the Punishment Sanction system in China. Along with the way in the previous article, this chapter analyzed the problem of the Chinese Punishment Sanction system reform and the development of the Community Corrections. At first, this chapter analyzed the problems that exist in the Chinese Punishment Sanction system, and introduced the practice of Community Correction in some place. And then, this paper focused on the social base of Community Correction in China. Finally, this chapter discussed the way which to reform Chinese criminal sanctions system, and A two-step proposal was given.更多还原