宋代官吏渎职犯罪与惩治研究

发布时间：2018-08-18 13:03

【摘要】：本文主要研究宋代官吏渎职犯罪法律的相关问题。渎职犯罪，是指国家机关工作人员滥用职权、玩忽职守、徇私舞弊或者利用职权侵犯公民人身权利、民主权利，妨害国家机关的正常活动，致使公民的人身权利、民主权利受到侵害，国家和人民利益遭受重大损失或者国家机关信誉遭受严重损害的行为。法学上，渎职既包括故意，又包括严重过失。官吏渎职犯罪区别于其它犯罪的基本特征为：第一，犯罪主体必须是国家公职人员。非公职人员可以成为渎职罪的共犯，但是不能构成独立犯渎职罪；第二，犯罪客体必须涉及公共利益；第三，渎职罪的核心含义是“不尽职并造成损失”。此外，渎职罪的实施与官吏的职务有关，包括但不限于以权谋私及玩忽职守。在中国古代，渎职犯罪的主体应为领取国家俸禄的职官，客体为封建国家的正常公务活动，主观方面分为故意与过失，客观方面则对国家权力造成了威胁或损害。宋代渎职犯罪有着特殊的时代背景。中国古代各级官吏们以“青天父母”自居，那么父母为民做主是理所应当的事情，在这样的背景下，百姓的权利意识自然会被受到压制，官吏的侵权渎职也就不可避免。宋代官吏们利用职权对宗族进行扶植，在统治阶级看来也是正常的事情，这本身就是一种渎职犯罪。宋代一些“豪横”在地方势力非常强大，他们挟持官吏，迫使其渎职犯罪。宋代官员任期短且实行任用回避的制度，使得地方官还未深入地方政务，便被调离他任，官员即便想有所作为，也受种种客观条件所限制，被久居于当地的胥吏所利用，，不知不觉的渎职犯罪。宋代大量的胥吏俸禄很少，甚至没有俸禄，迫使他们想尽各种办法养家糊口，通常会出现官被吏欺和官吏同流合污的情况，这些都加大了官吏渎职犯罪的几率。宋代优待士大夫，对士大夫阶层极为宽容，在这种背景下，一些自身素质不高的士大夫便不惧怕渎职犯罪所带来的惩处。宋代商品经济的发展和义利观的变化，上至公卿大夫，下至草民百姓，争相逐利，趋利性是人的本性，如果没有合理的制度规范以及道德引导，官吏的渎职犯罪将更加的复杂化。宋代官吏渎职犯罪的高发领域主要集中在军事、司法、经济、监察及官员的选任与管理等领域。宋代惩治渎职犯罪的趋势，具体来说，宋太祖太宗的时候，对渎职犯罪的惩治还是比较严格。仁宗时对官吏渎职犯罪的惩处逐渐减轻。神宗、哲宗时候惩治官吏渎职犯罪总体偏轻。南宋惩治官吏渎职犯罪总体从轻。为了惩处渎职犯罪，宋代统治者制定了细密的法令，但是由于宋代渎职法令执行不严，惩贪偏宽等原因，渎职罪屡禁不止。宋代惩治渎职犯罪的法律中，划分公罪与私罪、劝导与惩戒相结合等立法理念值得后世借鉴与学习。对中国古代官吏渎职犯罪及惩治的研究不仅可以为洞察中国传统官僚制度的内在逻辑与有效管理、运作机制提供一个新的视角，而且也为中国当代法律改革提供了有益的参考价值。中国传统法律中的官吏渎职罪惩治立法给当代中国留下了一份理论与实践相结合的丰富遗产，对我们建设有中国特色的社会主义法律体系有借鉴和启迪的作用。
[Abstract]:This paper mainly studies the related problems of the law of official malfeasance in Song Dynasty.Malfeasance refers to the abuse of power, dereliction of duty, malpractice for personal gain, or the use of power to infringe upon the personal rights and democratic rights of citizens, impair the normal activities of state organs, resulting in infringement of their personal rights and democratic rights, and infringement of the state and state organs. In law, dereliction of duty includes both intent and gross negligence. The basic characteristics of dereliction of duty crime differ from other crimes are as follows: first, the subject of crime must be a state official. It can constitute an independent crime of dereliction of duty; secondly, the object of the crime must involve the public interest; thirdly, the core meaning of the crime of dereliction of duty is "failing to do one's duty and causing losses". In addition, the implementation of the crime of dereliction of duty is related to the official's duty, including but not limited to the power for personal gain and dereliction of duty. The official and the object are the normal official activities of the feudal state. The subjective aspect is divided into intent and negligence, while the objective aspect threatens or damages the state power.
The crime of dereliction of duty in the Song Dynasty has a special background of the times. In ancient China, officials at all levels regarded themselves as "parents in the sky", so it is a matter of course for parents to make decisions for the people. Under this background, the people's awareness of rights will be suppressed naturally, and the official's infringement and dereliction of duty will be inevitable. In the Song Dynasty, some "tyrannical" local forces were very strong. They held officials and forced them to commit crimes of dereliction of duty. The short term of office and the system of appointment and avoidance of officials in the Song Dynasty made local officials dismissed before they went deep into local government affairs. Even if they want to do something, they are limited by various objective conditions, used by local officials for a long time, and committed crimes of unknowingly dereliction of duty. In the Song Dynasty, the scholar-bureaucrats were given preferential treatment and were extremely tolerant of the scholar-bureaucrats. Under this background, some scholar-bureaucrats with low quality were not afraid of the punishment brought about by the crime of dereliction of duty. If there is no reasonable system and moral guidance, the malfeasance crimes of officials will be more complicated.
In the Song Dynasty, the high incidence of dereliction of duty was mainly concentrated in the military, judicial, economic, supervisory and the selection and management of officials. The trend of punishing dereliction of duty in the Song Dynasty, specifically, Taizong of the Song Emperor, punished the crime of dereliction of duty more strictly. It is generally lighter to punish government officials for dereliction of duty.
In order to punish malfeasance, the rulers of the Song Dynasty formulated detailed decrees, but because of lax enforcement of malfeasance decrees, punishment of corruption and leniency, malfeasance was repeatedly prohibited.
The research on the crime and punishment of malfeasance of officials in ancient China can not only provide a new perspective for the insight into the internal logic and effective management and operation mechanism of traditional Chinese bureaucracy, but also provide a useful reference value for the reform of contemporary Chinese law. It has left a rich legacy of combining theory with practice, which can be used for reference and Enlightenment in the construction of socialist legal system with Chinese characteristics.
【学位授予单位】：河北大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D929;D924.393;K248

【引证文献】