本文選題：社區(qū)矯正　切入點：法經(jīng)濟學(xué)　出處：《吉林大學(xué)》2015年博士論文　論文類型：學(xué)位論文

【摘要】：20世紀以來，融合了傳統(tǒng)緩刑（probation）、假釋（Parole）、出獄人保護與中間制裁(intermediate sanctions)等刑罰運用、社區(qū)制裁與犯罪預(yù)防措施的社區(qū)矯正(Community correction)，已經(jīng)取代了自由刑，成為運用最廣泛的刑事懲戒與矯正措施。而社區(qū)矯正在我國的發(fā)展卻不盡人意，自2003年試行社區(qū)矯正以來，社區(qū)矯正才在我國得到應(yīng)有的重視。目前專門的社區(qū)矯正立法已經(jīng)提上日程。但是，由于理論研究的匱乏、研究方法的單一，我們對社區(qū)矯正的性質(zhì)、作用原理、運行模式等基本理論問題的認識仍然存在模糊之處。20世紀中期以后，法經(jīng)濟學(xué)（Law and Economics）蓬勃發(fā)展，運用經(jīng)濟學(xué)的研究方法與分析工具研究社區(qū)矯正的產(chǎn)生、發(fā)展、性質(zhì)、職責(zé)邊界等基本問題，會對我們把握社區(qū)矯正發(fā)展規(guī)律，完善我國社區(qū)矯正立法，構(gòu)建中國特色社區(qū)矯正制度提供有益的啟示。 當(dāng)我們將社區(qū)矯正看成是滿足社會治安需要的公共物品時，專門用于實施社區(qū)矯正的國家機構(gòu)、工作人員及其職權(quán)是向社會供給這一公共物品的重要資本。在法治國家里，這些資源的配置模式由相關(guān)法律制度決定。不同的制度安排意味著將承擔(dān)不同的社會成本（social cost）。社會成本問題，是推動制度改進的關(guān)鍵因素。 社會成本理論肇始于對經(jīng)濟活動的負外部性現(xiàn)象的關(guān)注。交易成本（transaction cost）理論為解決以負外部性為主要內(nèi)容的社會成本問題提供了更為先進、更為多元的方式。由于交易成本的存在，一定程度上允許負外部性的存在是有效率的。制度成本（institution cost）涵蓋了負外部成本和交易成本。從制度對資源配置的作用與制度運行的機會成本角度看，制度成本基本上等同于社會成本的概念。 制度的經(jīng)濟分析要考察現(xiàn)制度運行的社會成本，而新制度預(yù)期對現(xiàn)制度直接投入成本的節(jié)約，對現(xiàn)制度負外部性的避免及對資源的重新安排可以產(chǎn)生的不同于現(xiàn)制度運行的直接收益，就是現(xiàn)制度運行的社會成本。新制度的運行成本由直接投入的生產(chǎn)性成本、新制度運行的負外部性和喪失的舊制度運行的直接收益組成。如果新制度運行的社會成本與制度變遷成本的和小于現(xiàn)制度運行的社會成本，制度的改進就應(yīng)該發(fā)生。 社區(qū)矯正的產(chǎn)生與演進規(guī)律是總結(jié)社區(qū)矯正性質(zhì)與特點的基本依據(jù)，對這一問題的理解，關(guān)系著社區(qū)矯正立法對社區(qū)矯正性質(zhì)與范圍的界定。法經(jīng)濟學(xué)刑罰威懾理論(Deterrent theoty)為研究這一問題提供了一個全新的視角。通過回顧刑罰威懾理論的發(fā)展歷程，我們發(fā)現(xiàn)，社區(qū)矯正的演化過程正是對刑罰威懾理論從等價威懾到邊際威懾（marginal deterrence）和最優(yōu)威懾（optimizing deterrence）變遷的適應(yīng)與詮釋。在最優(yōu)威懾理論的影響下，目前的社區(qū)矯正絕不是簡單的對傳統(tǒng)自由刑執(zhí)行方式的改變，而是在考量社會成本的基礎(chǔ)上，，對自由刑這種治安類公共服務(wù)產(chǎn)品的部分否定與創(chuàng)新，這種新興的治安類公共物品必然帶有刑罰的印記，同時也要具備非刑罰、非懲戒以及社會幫扶的屬性，因此社區(qū)矯正的性質(zhì)必然是多元的。 從經(jīng)濟學(xué)視角來看，社區(qū)矯正是與監(jiān)禁矯正協(xié)同并立的、可滿足社會治安效用的公共物品。社區(qū)矯正同樣具有抑制犯罪的威懾力，其是刑罰威懾體系的組成部分。將社區(qū)矯正適用于社會危害不十分嚴重的犯罪，及人身危險性不高的罪犯可有效拓展刑罰的邊際威懾力。然而，社區(qū)矯正的威懾力對犯罪危害程度相當(dāng)?shù)娜藭嬖诓町�。對于不受社會道德約束，偏好非法行為模式的群體而言，社區(qū)矯正的威懾力，一般不足以抵消犯罪收益對他們的犯罪激勵；而對于道德資本可以成為其人力資本全部的群體而言，過強的威懾力并不符合社會效用最大化目標。 國家司法行政資源的使用由一系列相關(guān)法律制度進行安排，某個領(lǐng)域的資源新增或重新配置，就可能改變原有資源配置的運行環(huán)境，從而可能使原來有效率的配置模式變得無效率。在現(xiàn)行的司法行政體系中融入或構(gòu)建社區(qū)矯正，不能只限于考慮社區(qū)矯正領(lǐng)域的局部均衡，沒有整個司法行政體系的整體均衡，局部的均衡仍然要改進。對某一制度的經(jīng)濟分析，應(yīng)當(dāng)以追求整體效率最大化為目標。是否需要變更總體的司法行政資源配置，這是我們站在追求整體最優(yōu)效果立場所必須考慮的。 站在司法行政體系的整體看，公安機關(guān)、人民法院、人民檢察院的司法行政邊界與司法行政機關(guān)的職責(zé)邊界是互動的，而且司法行政機關(guān)的職責(zé)邊界應(yīng)當(dāng)繼續(xù)擴大。在公安機關(guān)看守所、法院執(zhí)行局應(yīng)當(dāng)劃歸司法行政機關(guān)管理，并構(gòu)建由司法行政機關(guān)統(tǒng)一管理的司法警察系統(tǒng)的前提下，縣（市）級社區(qū)矯正機構(gòu)應(yīng)當(dāng)提升為一個綜合執(zhí)法機關(guān)，并實行市（地）以下垂直管理。社區(qū)矯正機關(guān)應(yīng)當(dāng)負責(zé)包括：強制隔離戒毒、社區(qū)戒毒與康復(fù)、非羈押強制措施犯罪嫌疑人監(jiān)管、安置幫教、社區(qū)矯正在內(nèi)的多項職責(zé)，并派駐司法行政機關(guān)管理的司法警察協(xié)助履行上述職責(zé)。
[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.

【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2015
【分類號】：D926.8


本文編號：1610870