中国刑法现代化研究[田宏杰]

田宏杰

论文题目：中国刑法现代化研究

作者简介：田宏杰，女，1971年10月出生，1997年09月师从于中国人民大学赵秉志教授，于2000年07月获博士学位。


摘  要

时下正在历史性地展开的中国社会变革，实际上是要完成从传统社会向现代社会的历史转型，对于中国刑法而言，则是要实现形式合理性与实质合理性相融合、社会保护与人权保障相统一的现代刑事法治。法治内涵的丰富性和多样性，决定了中国刑法的现代化应当是从精神气质、制度设计到实际运作的超越和变革。这种超越和变革，既是传统在现代的延续，又是现代对传统的扬弃；既是对外国现代刑法文明的甄别与吸纳，也是与国际刑法的相互融合与转化，还是对中国刑法本土资源的发掘和创造性转称；既需要政府的主导，同时也离不开民众的参与；既是实体刑法的现代化，更是程序刑法的一场革命。可以说，中国刑法的现代化是一场波澜壮阔、气势磅礴的刑事法治革命，是一项恢宏的系统工程。本文的内容即依此架构。

第一章  历史回放：中西刑法现代化起源之比较考察

从逻辑学的意义来说，基本概念的辨析和分析工具的选择，是理论研究的基石。因而本文开篇即通过对现代化的解读，明确现代化的内涵就是传统与现代、世界性与民族性的统一，从而为本文进行中国刑法现代化的理论研究准备了基本的概念分析工具，在此基础上，进一步确立了本文的研究理路，即：首先，从市民社会的兴起入手，以期探西方刑法走向现代化的社会背景；其次，通过市民社会的变迁，揭示市民社会与政治国家的矛盾对立运动与西方刑法理论与制度变革之间的内在联系，展示西方刑法现代化的演进历程及其特色；再次，以市民社会为视角，对我国晚清时期的民间社会及其法制状况进行考察.最后，以西方市民社会与刑法现代化的关系为镜鉴，从宏观上勾勒出中国刑法现代化建设的轮廓，指出：形式合理性与实质合理性的统一、社会保护与人权保障的统一，是中国刑法现代化努力的目标。

第二章  信仰的培育与精神的超越——中国刑法现代化的灵魂

中国自清末就开始了以刑法为核心的现代法律文化的萌芽，但这种内在的刑法现代化的指向是在外来法律文化的冲击下才逐步成长起来的，因而不可争议地带有外发型的色彩。近代以来，中国古老的刑法传统逐渐式微，取而代之的是从西方引进的刑事法律价值——规范体系，但最终的事实证明，现代西方刑事法律制度的引进，并没有帮助我们实现刑法的现代化目标，相反，却导致了刑事法律文化的错位。其所以如此，关键就在于刑法的现代化是一个整体性的概念，它不仅需要组织设施、规范制度及其运行机制的现代化，更需要公民法律信仰的现代化。而公民法律信仰的形成过程，实际上就是法律神圣化的过程。而刑法的神圣业自于刑法正义的求得，因而必须对中国刑法的精神和价值取向进行调整，使中国刑法的现代化建设从传统的制度层面向精神层面跃迁。刑法现代化的过程，也就是刑法神圣化的过程。经过严密的分析论证，提出作者自己的看法：第一，在法定刑的配置方面，首先需要克服传统的重刑主义思想；其次应当在摒弃重刑化立法内容的基础上，按照罪刑均衡原则的要求，建立轻重适度的刑罚体系和法定刑幅度，使刑罚体系和法定刑幅度的设置、既与犯罪行为的社会危害性及其程度相适应，又足以遏制和预防犯罪，既不造成刑罚的浪费，也不致于出现刑罚资源的稀缺。只有这样，才能确保刑法的公平与合理。第二，罪刑均衡原则与刑罚个别化原则并不矛盾、相反、刑罚个别化原则是罪刑均衡原则的题中应有之义。第三，报应与特殊预防的统一，在偏重持殊预防的基础上，兼顾报应的要求，才是中国刑罚现代化的目的选择及其发展方向。

第三章  中国刑事立法的现代化

如果说现代精神的塑造，是中国刑法现代化的核心；那么，刑事立法的现代化就是接纳精神与实践的桥梁。刑事立法现代化的目标是要建立一个结构严密、层次分明、前后一致、相互联贯、和谐协调的刑事法律规范体系，衡量其现代化的标志则是罪刑法定原则的确立。故而，本章主要研究了以下问题：

首先，通过对现代刑事立法标志的罪刑法定原则在近代刑法中的缘起和演进历史的回顾，考察了罪刑法定原则的现代价值蕴含，指出：基于罪刑法定原则的要求，现代刑法的基本表徵应当是：谦抑性、及时性、公平性。其次，以罪刑法定原则为切入点，对我国刑事立法的现状进行了审视和检讨，指出：作为现代刑事立法的基本原则，确定性、合理性和明确性和严密性是罪刑法定原则的题中应有之义。文章提出了完善中国刑事立法的两点基本构想：

构想之一，转变刑事立法观念。在经验理性主义与建构理性主义的沟通已经成为世界刑事立法发展潮流的今天，以建构理性主义立法进路为主，同时合理地吸收经验理性主义尊重传统文化合理内容的精神，是中国刑事立法摆脱困境，走向现代化的根本出路；构想之二，完善刑事立法正当程序。通过对立法正当程序的回眸，指出：刑事立法的正当程序是对立法权异化和膨胀的有效防范和制约，因而刑事立法的正当程序应当由以下要素构成，即控权性、民主性、参与性、明确性、时效性。

第四章  中国刑事司法的现代化

法律是一种规范，毋宁说它是一种实践理性。如果说立法是这一实践理性的最初环节，那么，司法就是这一实践理性的最后保障。中国刑法的现代化当然离不开刑事立法的现代化，因为它需要一套规范刑事法治活动的科学的游戏规则，但这套规则的设立是否合理，能否得到遵循，关键还在于刑事司法活动的检验和完善。

首先，通过对刑事司法正义的解读和性质的拷问，指出：通过正义的刑事程序活动达到正义的刑事判决结果，是刑事司法正义的精义所在，也是刑事司法现代化的应有内涵，因而刑事司法正义是刑事程序活动正义与刑事判决结果正义的有机结合，其本质在于形式正义与实质正义的统一。其次，系统研究了刑事司法现代化的核心要素，指出：没有独立的刑事司法，就没有中国刑法的现代化。最后，立足于中国刑事司法现代化的目标，文章提出了建构中国刑事司法现代化的两大基本方略。

方略之一：加强刑事司法解释工作。建立一元多级司法解释体制，是中国刑事司法解释体制的现实选择；秉承客观解释论的理路，应当成为中国刑事司法解释的现代化选择.方略之二：建立中国的刑事判例制度。在对刑事判例的内涵、刑事判例与其他相关概念的界分进行系统研究的基础上，对刑事判例制度在司法实践中的功用进行了深入的实证考察，然后提出：建立中国的刑事判例制度，只能是成文法的补充，而不能取代成文法，

第五章  中国刑法现代化的模式设计

在最后一章，文章着重对中国刑法现代化的模式选择进行了深入的探讨。具体内容主要包括：

首先，关于中国刑法现代化的资源基础。通过对中国刑法传统在现代刑事法制建设中的意义的分析和解构，指出：中国刑法的现代化既不是对传统的抛弃，也不是对传统的固守，而是对传统的扬弃.其次，关于中国刑法现代化的道路选择。中国近百年来围绕现代化而发生的内部冲突，归根结底是本土性与世界性的冲突。考虑到法制国际化的核心是法律的移植问题，法制本土化的关键在于法律的继承，指出：不同国家、不同法系间的法律移植是完全可行的,中国刑法的现代化必须在立足于中国国情的基础上，走国际化的道路. 最后，关于中国刑法现代化的动力来源。文章提出：政府主导、社会参与，应当是中国刑法现代化动力资源的理智选择。

ABSTRACT

The current social transformation in China is to realize the transition from traditional society to modern one. As to the Chinese penal law, the transformation is to institute the rule of law which integrates the formal rationality and the actual rationality and uniforms the social protection and human rights safeguard. The rule of law is multi-dimensional and thus in return determines the course that the modernization of the Chinese penal law shall follow: surpassing and reforming. Surpassing and reforming mean the continuation of the tradition and the institution of modernity. They also suggest the examination and absorption of foreign civilization as well as the re-exploration and creative transformation of the native resource. Moreover, the modernization of the penal law is not only the modernization of the substantive penal law but also the revolution of the procedural penal law. T

Chapter Ⅰ: Historical retrospective: a comparative study of the modernization courses followed by Chinese and foreign penal law.

Logically, the definition of the basic conceptions and selection of the tools to analyze them are the foundation of any theoretical study. First, to outline the background against which the western penal law gets modernized from looking into the emergence of civic society with a view; then, to disclose the contradiction between the civic society and the political state and the interrelation between the western penal law theories and the institutional transformation in proceeding with examining the transformation of the civic society, then, to elucidate the emergence and its fate of the modernization of the penal law in the Chinese context by re-exploring the society and legal system in late Qing Dynasty form the civic society perspective. Lastly, to outline the course for the on-going penal law reform to follow in view of the relationship between the western civic society and the modernization of penal law, that is, the unification of formality reasonability and actual reasonability as well as that of social protection and human rights safeguard.

Chapter Ⅱ: Belief-cultivation and spiritual surpassing-the soul of the modernization of Chinese penal law.

Generally speaking, the modernization of legal system has two models-forced or motivated. The former refers to the model for modernization that is imposed by the foreign legal culture, the latter refers primarily to the model as a natural result of the development of the legal system. Therefore to foster the love of and loyalty for law among citizens is instrumental to the modernization of the Chinese legal system. For the subjects, the belief in legality—as sense of genuine identification and dependency is a combination of their psychological reactions about law such as reasons, sentiments and wills, and is thus crucial to the uniform observation of law. The modernization is in fact a course of the de-secularization of the penal law. Only the de-secularization of the penal law can arouse its love among citizens and secure their loyalty for it. The sacred characteristics of the penal law is not a result of its compulsory and deterrent forces, instead it results from the formation of its justice. The justice of penal law derives from equality, fairness and justification. Consequently, the chapter discusses the content of equality, fairness and justification, and relevant issues such as the relationship between aggravated punishment and alleviated punishment, and between the principle of suiting punishment to crime and the principle of individualization of punishment, and purpose of the penal punishment. After reconsidering the theories about traditional Chinese penal law, the chapter puts forward its viewpoints: 1) in the of statute punishment, the traditional idea of severe punishment is to be overcome. It is necessary to abandon the provisions concerning aggravated punishment is to be overcome. It is necessary to abandon the provisions concerning aggravated punishment and reconstruct a proper punishment system and appropriate span of statute punishments in line with crimes. 2) The principle of suiting punishment to crime and the principle of individualization of punishment are not contradictory, bur rather cohesive. 3) Is should be the purpose selection to unify retribution and special prevention, that is, retribution on the basis of special prevention.

Chapter Ⅲ: The modernization of the Chinese penal legislation.

If it can be argued that the formation of the modernization spirit is the core of the modernization of the Chinese penal law, the modernization of the penal legislation is the bridge linking the spirit and practice. The objective of the modernization of the penal law is to establish a well structured, clearly defined, cohesive and harmonious penal law system. The criteria for testing the modernization is the establishment of the principle of a legally prescribed punishment for a specified crime. The chapter is mainly concerned with the following issues: First, revealing the values embodied in the principle of a legally prescribed punishment for a specified crime. The chapter is mainly concerned with the following issues: First, revealing the values embodied in the principle of a legally prescribed punishment for a specified crime through a retrospective study of the emergence and evolution of the principle of a legally prescribed punishment for a specified crime in the history of contemporary penal law, that is, the characteristics of the modern penal law that is based on the principle of a legally prescribed punishment for a specified crime are submissiveness, promptness and fairness. Secondly, reexamining the status quo of the penal legislation in China from the perspective of doctrine of a legally prescribed punishment for a specified crime. The finding is: the doctrines of definiteness, reasonability, clearness and accuracy flow from the principle of doctrine of a legally prescribed punishment for a specified crime. Given the current penal code, the above requirements are met on the average, however, some provisions therein have not been designed to the requirements of the principle of doctrine of a legally prescribed punishment for a specified crime. The chapter puts forward two proposals based upon the above ideas: Proposal 1: To change the ideology of the penal legislation. Proposal 2: To perfect the due process in the penal legislation.

ChapterⅣ: The modernization of the Chinese penal justice.

Law involves a practical reasonability as well as a norm system. While legislation is the first step of the reasoning practice, justice is the final safeguard. The modernization of the Chinese penal law cannot be without the modernization of the penal legislation since it needs a set of scientific rules of game governing the penal activities; but it depends on the justice of penal law for testing whether the set of rules is reasonable and practicable. In this connection, it holds that no modernization of penal law can be achieved without the modernization of the justice of penal law. A study of the modernization of the penal law inevitably involves the study of the modernization of justice of penal law. Presently studies of the justice of the justice of penal law is mainly at the micro-level: First, a probe into the penal justice shows that it is and should be the essence of the penal justice to seek justified judgment through justified penal procedure. Therefore, the justice of penal adjudication is an organic combination of the justice of penal procedure and that of penal adjudicating practice. In other words, the unification of normative justice and practical justice is and should be the center of penal justice. Secondly, a systematic study of the key elements of the penal justice shows that no modernization of penal law can be achieved without an independent penal justice. An independent penal justice can be conceived from two perspectives: in broad sense and in narrow sense. However, these two perspectives share one thing in common, that is, the independence of judges is always an integral part of the independent penal justice in any cases.

Chapter Ⅴ: Designing the models for the modernization of penal law in China.

The modernization of the penal law ideology, that of penal legislation and that of penal justice inevitably involves the resource judgment, road selection and source of powers. First, the resource base for the modernization of the Chinese penal law. An analysis of the role of the Chinese traditional penal law in the contemporary legal construction in the penal field shows that the modernization of the Chinese penal law is neither to abandon the traditional Chinese penal law nor stick to the tradition. Secondly, the selection of roads. The debate among the legal circles concerning the modernization of Chinese penal law has been in fact the conflict between the universality and the localization. the chapter first discusses the theories about the implantation of law. The finding of the discussion is that it is practical to implant laws of other countries that belong to other legal system. Then the chapter finds it is necessary and imperative for Chinese penal law to implant foreign penal law for the purpose of modernization is to internationalize the penal law as well as imbedding in the national conditions of China, i.e., internationalization on the basis of the localization. Finally, a review of the recent efforts to modernize the Chinese penal law is made to assess the gains and loss and to speculate the outlook. Lastly, the power source of the modernization of the Chinese penal law. A comparative study of the power sources for the modernization of the penal laws in different countries, and a consideration of the status quo of the modernization of the Chinese penal law and the political, economic, social and cultural backgrounds against which the transformation of the penal law take place reveals that the governmental dominance and the social participation are the wise selection for the power sources. In order to coordinate the governmental dominance and the social participation ,we need to facilitate: the changeover of the penal procedures to make a way to the strengthening of the adversary; the changeover the closed way in adjudicating criminal cases to allow social participation and to bring the adversary into full play.