我国缓刑适用研究

发布时间：2018-09-01 16:21

【摘要】：缓刑制度一般被认为始于美国人奥古斯塔斯，其首次将“probation”一词引入刑法之中，形成了向法院具保使法院有条件释放并监督犯罪人的现代缓刑制度。从诞生之日至今，虽然缓刑制度的精神内核并没有发生实质性的变化，但是随着时代的进步与适用国情的不同，缓刑制度的内容与组成部分发生了诸多的进步与变化，近年来，尤其是《刑法修正案（八）》颁布以来，我国缓刑制度从法律层面与实践层面均有了长足的进步，从法律层面上来讲，增加了禁止令、社区矫正等重要内容，极大的丰富了缓刑适用的内容与过程；在实践领域，随着社区矫正的全面铺开，缓刑的监督与执行也更为全面细致有法可依。但是较为遗憾的是，虽然我国缓刑适用的司法实践进入了更高的发展阶段，但是相应的缓刑适用理论却相对滞后，近年来相关的专门研究文章也相对较少，研究成果也不丰富，这导致现有的缓刑适用的基本概念的厘定与理论体系的架构不能适应现今缓刑实践的现状，因此很多缓刑适用中产生的新情况与新问题得不到解决，严重制约了缓刑的正确、合理的适用；而很多缓刑适用的相关研究者更习惯于从问题研究的角度出发，在没有一个完整的话语环境的前提之下进行个别问题的研究，其结果就是头疼医头，脚疼医脚，各自为战，甚至导致很多解决方案之间互相矛盾。针对上述理论研究的不足，笔者试图通过对《刑法修正案（八）》颁布后的我国缓刑适用进行全面的梳理，把既有的缓刑适用理论与新的实践相结合，为我国缓刑适用搭建统一的概念体系与理论体系贡献一份力量。有鉴于此，本文从最基础的缓刑的法律性质出发，力求从更大的视角即刑事责任的要求的角度，通过刑事处置模式的重新思考，探求缓刑制度的本质。本文在对比分析我国现有的缓刑理论的基础上，认为现有的把缓刑视为刑罚或是刑罚执行方式的理论，不足以解决缓刑适用过程中的理论问题，所以本文回归到刑事法律关系中最基本的要素——权利与义务的层面，通过重新梳理缓刑——刑事责任——法律责任的关系，把缓刑定性为刑事责任实现的一种方式，使得缓刑制度从刑罚制度的影响下解放出来，尽力消除刑罚制度因其严厉性所导致的重刑主义倾向，从而使缓刑制度本身所提倡的刑罚轻缓化、教育化的精神得到彰显，从而在整个刑事处置体系中发挥更大的作用。这种制度设计，不仅符合现代刑法中尊重权利、保障人权的理念，也与我国目前宽严相济的形势政策相吻合，具有较大的理论与实践意义。通过比较研究的方式把缓刑定义为刑事责任的实现方式，在此基础上对新形势下缓刑的基本精神内核加以遴选，从正义、人道、秩序三个角度解读缓刑适用的精神内核，为缓刑适用提供总体的方向与指导。在一系列基础概念明确的基础上，通过对缓刑形式条件以及实质条件的厘定，以及被害人在缓刑适用中的地位与作用的确定，明确缓刑适用的基础性要件——即缓刑适用的条件，为缓刑适用提供明确的指引。最后通过对缓刑执行制度的相应考察，以缓刑的执行机关、执行时间、执行内容等层面加以分别确认，明确缓刑执行中的各个要素，为缓刑适用的执行阶段提供更为明确的指导。既然从权利义务的角度来思考缓刑制度，那么被害人作为缓刑这个刑事法律关系过程中不可缺少的主体就成为本文论述的一个重点。被害人作为缓刑适用过程中的一个主体，也是犯罪行为直接侵害的对象，处于权利主体的位置，因此其地位应当被尊重，其诉求应当充分表达，其利益应当得到全面的保护，如果在缓刑适用过程中其权利遭到了侵害，那么被害人也应当享有充分的救济。遗憾的是，，我国目前有关缓刑的规定中并没有对被害人的上述地位与权利进行明确有效的保护，导致被害人一方在缓刑适用过程中逐渐被边缘化，这对于通过缓刑解决社会矛盾，缓解并消除基于犯罪产生的犯罪人——被害人之间的紧张状态产生了负面效果。故此，本文认为，缓刑适用过程中应当充分的尊重被害人的地位，并从制度设计上充分保障其权利的实施，使得缓刑适用过程与结果更加行之有效的结局社会矛盾。综上所述，本文的论述沿着缓刑适用的缓刑确立——缓刑执行的实践脉络出发，对相应环节中的核心概念加以确定与梳理，力求把缓刑适用中互相独立的概念与问题统一在相同的理论基础与精神内核的前提之下加以确定相应的内涵、解决矛盾，为新时代背景下我国缓刑适用的实践贡献一份力量。
[Abstract]:Probation was first introduced into the criminal law by Augustas of the United States to form a modern probation system guaranteeing the court's conditional release and supervision of offenders. In recent years, especially since the promulgation of the Amendment to the Criminal Law (8), the probation system in China has made considerable progress both in law and in practice. From the legal point of view, it has increased the weight of prohibition order and community correction. The main contents greatly enrich the content and process of probation application; in practice, with the comprehensive development of community correction, the supervision and execution of probation is more comprehensive and meticulous. But unfortunately, although the judicial practice of probation application in China has entered a higher stage of development, the corresponding theory of probation application is still applicable. But relatively lagging behind, in recent years, the relevant specialized research articles are relatively few, and the research results are not rich, which leads to the existing basic concept of probation application and theoretical system framework can not adapt to the current situation of probation practice, so many new situations and new problems in the application of probation can not be solved, seriously restricting. The probation is correct and reasonable, and many researchers are more accustomed to study individual problems from the perspective of problem research without a complete discourse environment, the result is headache, foot pain, fight each other, and even lead to many solutions contradictory. In view of the insufficiency of the above theoretical research, the author attempts to comb the application of probation in China after the promulgation of the Amendment to the Criminal Law (8). Combining the existing theory of probation with the new practice, the author will contribute to the establishment of a unified conceptual and theoretical system for the application of probation in China.
In view of this, starting from the legal nature of the most basic probation, this paper tries to explore the essence of the probation system from a bigger angle of view, that is, the requirement of criminal responsibility, through the rethinking of the criminal disposal mode. Based on the comparative analysis of the existing probation theory in China, this paper holds that the existing probation is regarded as a penalty or a penalty. The theory of the mode of execution is not enough to solve the theoretical problems in the application of probation, so this paper returns to the basic elements of the criminal legal relationship - the level of rights and obligations, by re-combing the relationship between probation - criminal responsibility - Legal responsibility, the probation is defined as a way to achieve criminal responsibility, so that the probation can be carried out. The system is liberated from the influence of the penalty system and tries its best to eliminate the tendency of severe punishment caused by the severity of the penalty system, so that the penalty of the probation system itself is mitigated and the spirit of education is highlighted, thus playing a greater role in the whole criminal disposal system. The concept of respecting rights and guaranteeing human rights in criminal law coincides with the current policy of Combining Leniency with severity, which has great theoretical and practical significance. In order to provide general direction and guidance for the application of probation, the author interprets the spiritual core of probation from three aspects of order. On the basis of a series of definite basic concepts, through the definition of the formal conditions and substantive conditions of probation, as well as the status and role of the victim in the application of probation, the basic elements of probation application, namely Finally, through the investigation of the probation execution system, the execution organs, execution time, execution content and other aspects of the probation are confirmed separately, and the various elements of the probation execution are clarified to provide more clear guidance for the execution stage of the probation application.
Considering the probation system from the perspective of rights and obligations, the victim, as an indispensable subject in the process of probation as a criminal legal relationship, has become a focus of this paper. The status of the victim should be respected, his appeal should be fully expressed, his interests should be fully protected, if his rights are infringed in the process of probation application, then the victim should also enjoy adequate relief. Effective protection leads to the marginalization of the victim in the application of probation, which has a negative effect on solving social contradictions through probation and alleviating the tension between the criminal and the victim based on the crime. In addition, it fully guarantees the implementation of its rights from the system design, which makes the probation application process and the result more effective.
To sum up, this paper proceeds from the practical thread of probation establishment-execution of probation, defines and combs the core concepts in the corresponding links, and strives to unify the independent concepts and problems in the application of probation under the premise of the same theoretical basis and spiritual core to determine the corresponding connotation. Resolving contradictions will contribute to the practice of probation in the new era.
【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D924.13

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