社区矫正基本问题的法经济学分析

发布时间：2018-03-14 10:47

  本文选题：社区矫正　切入点：法经济学　出处：《吉林大学》2015年博士论文　论文类型：学位论文

【摘要】：20世纪以来，融合了传统缓刑（probation）、假释（Parole）、出狱人保护与中间制裁(intermediate sanctions)等刑罚运用、社区制裁与犯罪预防措施的社区矫正(Community correction)，已经取代了自由刑，成为运用最广泛的刑事惩戒与矫正措施。而社区矫正在我国的发展却不尽人意，自2003年试行社区矫正以来，社区矫正才在我国得到应有的重视。目前专门的社区矫正立法已经提上日程。但是，由于理论研究的匮乏、研究方法的单一，我们对社区矫正的性质、作用原理、运行模式等基本理论问题的认识仍然存在模糊之处。20世纪中期以后，法经济学（Law and Economics）蓬勃发展，运用经济学的研究方法与分析工具研究社区矫正的产生、发展、性质、职责边界等基本问题，会对我们把握社区矫正发展规律，完善我国社区矫正立法，构建中国特色社区矫正制度提供有益的启示。 当我们将社区矫正看成是满足社会治安需要的公共物品时，专门用于实施社区矫正的国家机构、工作人员及其职权是向社会供给这一公共物品的重要资本。在法治国家里，这些资源的配置模式由相关法律制度决定。不同的制度安排意味着将承担不同的社会成本（social cost）。社会成本问题，是推动制度改进的关键因素。 社会成本理论肇始于对经济活动的负外部性现象的关注。交易成本（transaction cost）理论为解决以负外部性为主要内容的社会成本问题提供了更为先进、更为多元的方式。由于交易成本的存在，一定程度上允许负外部性的存在是有效率的。制度成本（institution cost）涵盖了负外部成本和交易成本。从制度对资源配置的作用与制度运行的机会成本角度看，制度成本基本上等同于社会成本的概念。 制度的经济分析要考察现制度运行的社会成本，而新制度预期对现制度直接投入成本的节约，对现制度负外部性的避免及对资源的重新安排可以产生的不同于现制度运行的直接收益，就是现制度运行的社会成本。新制度的运行成本由直接投入的生产性成本、新制度运行的负外部性和丧失的旧制度运行的直接收益组成。如果新制度运行的社会成本与制度变迁成本的和小于现制度运行的社会成本，制度的改进就应该发生。 社区矫正的产生与演进规律是总结社区矫正性质与特点的基本依据，对这一问题的理解，关系着社区矫正立法对社区矫正性质与范围的界定。法经济学刑罚威慑理论(Deterrent theoty)为研究这一问题提供了一个全新的视角。通过回顾刑罚威慑理论的发展历程，我们发现，社区矫正的演化过程正是对刑罚威慑理论从等价威慑到边际威慑（marginal deterrence）和最优威慑（optimizing deterrence）变迁的适应与诠释。在最优威慑理论的影响下，目前的社区矫正绝不是简单的对传统自由刑执行方式的改变，而是在考量社会成本的基础上，，对自由刑这种治安类公共服务产品的部分否定与创新，这种新兴的治安类公共物品必然带有刑罚的印记，同时也要具备非刑罚、非惩戒以及社会帮扶的属性，因此社区矫正的性质必然是多元的。 从经济学视角来看，社区矫正是与监禁矫正协同并立的、可满足社会治安效用的公共物品。社区矫正同样具有抑制犯罪的威慑力，其是刑罚威慑体系的组成部分。将社区矫正适用于社会危害不十分严重的犯罪，及人身危险性不高的罪犯可有效拓展刑罚的边际威慑力。然而，社区矫正的威慑力对犯罪危害程度相当的人会存在差异。对于不受社会道德约束，偏好非法行为模式的群体而言，社区矫正的威慑力，一般不足以抵消犯罪收益对他们的犯罪激励；而对于道德资本可以成为其人力资本全部的群体而言，过强的威慑力并不符合社会效用最大化目标。 国家司法行政资源的使用由一系列相关法律制度进行安排，某个领域的资源新增或重新配置，就可能改变原有资源配置的运行环境，从而可能使原来有效率的配置模式变得无效率。在现行的司法行政体系中融入或构建社区矫正，不能只限于考虑社区矫正领域的局部均衡，没有整个司法行政体系的整体均衡，局部的均衡仍然要改进。对某一制度的经济分析，应当以追求整体效率最大化为目标。是否需要变更总体的司法行政资源配置，这是我们站在追求整体最优效果立场所必须考虑的。 站在司法行政体系的整体看，公安机关、人民法院、人民检察院的司法行政边界与司法行政机关的职责边界是互动的，而且司法行政机关的职责边界应当继续扩大。在公安机关看守所、法院执行局应当划归司法行政机关管理，并构建由司法行政机关统一管理的司法警察系统的前提下，县（市）级社区矫正机构应当提升为一个综合执法机关，并实行市（地）以下垂直管理。社区矫正机关应当负责包括：强制隔离戒毒、社区戒毒与康复、非羁押强制措施犯罪嫌疑人监管、安置帮教、社区矫正在内的多项职责，并派驻司法行政机关管理的司法警察协助履行上述职责。
[Abstract]:Since twentieth Century, the integration of traditional probation, parole (probation) (Parole), protect and intermediate sanctions (intermediate sanctions) and application of punishment, punishment and community crime prevention measures of community correction (Community correction), has replaced the freedom penalty, become the most widely used criminal punishment and correction and community correction measures. In the development of our country is unsatisfactory, since 2003 since the trial of community correction, community correction to get enough attention in our country. At present the special community correction legislation has been put on the agenda. However, due to the lack of theoretical research, the research method is single, we on the nature, community correction principle, understanding of the basic theory the mode of operation there are still problems in fuzzy.20 since the mid-20th century, the economics of law (Law and Economics) development, application research and analysis tools of economics research methods The basic problems such as the emergence, development, nature and duty boundary of community correction will provide us with a useful inspiration for us to grasp the development rule of community correction, improve our community correction legislation and build community correction system with Chinese characteristics.
When we will meet the community correction as social security needs of public goods, specifically for the implementation of the national organization of community correction, staff and authority is important to social capital to the supply of public goods. In the rule of law, the resource allocation mode is decided by the relevant legal system. Different institutional arrangement means take different social cost (social cost). The problem of social cost, is the key factor to promote the improvement of the system.
Social cost theory focuses on the phenomenon of negative externalities began to economic activity. The transaction cost (transaction cost) to provide a more advanced theory to solve the problem of social cost with negative externalities as the main content, more diverse way. Due to the presence of transaction costs, there is a certain degree of negative externality is allowed the efficiency of the system cost (institution cost) covers the negative external cost and transaction cost. From the operation system of the allocation of resources and the opportunity cost of system perspective, the concept of system cost basically equal to the social cost.
The system of economic analysis to study the social cost of system operation, and the new system is expected to directly into the current system of cost savings, the current system of negative externality of resources and avoid re arrangement can produce different from the direct income current system operation, that is the social cost of system operation. The operation of the new system from the cost of direct investment in production costs and direct benefits to the operation of the new system the negative externalities and the loss of the old system. If the cost of social cost and new institutional operation and is less than the social cost of system operation, system improvement should occur.
Generation and evolution law of community correction is a summary of the basic properties and characteristics of the basis of community correction, the understanding of this issue, the relationship between community correction legislation to define the nature and scope of community correction. The law and economics of penalty deterrence theory (Deterrent theoty) provides a new perspective for the study of this problem through the development. The history review, we found that the deterrent theory, the evolution process of community correction is the deterrent theory from equivalent deterrence to marginal deterrence (marginal deterrence) and best overawing (optimizing deterrence) and adapt to changes. In the interpretation of overawing theory, the community correction is not simply the traditional execution of freedom penalty mode change, but in consideration of the social cost, and innovation on the part of negative freedom punishment the security of public service products, this kind of new rule Public goods must have the imprint of penalty. At the same time, they should possess the attributes of non penalty, non disciplinary and social assistance. Therefore, the nature of community correction is necessarily multiple.
From the economic point of view, the community correction is synergistic with prison correction independent, can meet the social utility of public goods. The community correction also inhibit crime deterrent, is part of its deterrent system. The community correction is applied to social harm is not very serious crimes, and personal danger is not high criminals can effectively expand the marginal penalty deterrent. However, the community correction deterrent to crime harm a person will be different. For social morality, the illegal behavior preference model groups, community correction deterrence, is generally not enough to offset the proceeds of crime of crime and for their moral incentive; capital can become the human capital of all groups, had a strong deterrent force does not accord with social utility maximization goal.
Make arrangements for the use of judicial and administrative resources of the state by a series of related laws, a new or re allocation of resources in the area, it will be possible to change the running environment of the original allocation of resources, which may make the original allocation efficiency of model becomes inefficient. Or into the construction of community correction in the administration of justice in the current system, can not be limited to consider the partial equilibrium in the field of community correction, the overall balance without the entire judicial administrative system, the local equilibrium remains to be improved. The analysis of a system of the economy should be in pursuit of overall efficiency maximization as the goal. If you need to change the allocation of resources of the General Administration of justice, this is we must consider standing in the pursuit of the best overall position effect.
Stand in the whole judicial administrative system, the public security organs, the people's court, the people's Procuratorate of the judicial administrative boundary boundary and the judicial administrative organs of the duty is interactive, and the boundary of the judicial administrative organ responsibility should continue to expand. The public security organs in the detention center, the court of the Executive Board shall be placed under judicial administrative organs and construction management, by the premise of judicial the system of unified management of judicial and administrative authorities under the county (city) level of community correction institutions should be promoted to a comprehensive law enforcement agencies, and the implementation of the city (the ground) following vertical management. Community correction shall be responsible for including compulsory detoxification and rehabilitation, community rehabilitation, non custodial coercive measures of criminal suspects supervision, resettlement community correction, including a number of functions, and the presence of the judicial administrative organs of the judicial police to assist the management to carry out these duties.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D926.8


本文编号：1610870