论监狱功能的边界

发布时间：2018-04-04 14:20

  本文选题：监狱　切入点：功能　出处：《华东政法大学》2014年博士论文

【摘要】：探讨监狱功能边界的目的是要使人们对监狱功能的定位能回归理性，避免理论上的狂热和实践中的盲目，，使人们在审判之后能持续关注罪犯在狱内的惩罚与矫正效果，使人们能关注监狱本身而不因对行刑社会化的崇尚而忽视了监狱和监狱研究。本文的论证思路是分静态和动态两个层面来论述监狱功能的边界。静态层面立足监狱惩罚、纪律规训、教化、劳动，讨论各块本身的“价值”边界。动态层面以“国家－监狱警察－罪犯”为架构论述三者之间博弈，包括监狱组织管理上监狱与监狱警察的博弈、监狱警察与罪犯之间的博弈、罪犯在矫正上与国家的博弈等。静态层面的边界是基础，动态博弈是静态层面边界在实务中的延伸，二者并非截然分开。本文除了导言和结语，共分为六章。 导言包括问题的由来、文献综述、主要研究方法、论文的创新与不足四个部分。监狱制度的理想与现实困境之间的矛盾是问题由来的初衷。监狱制度的理想是既惩罚罪犯，又矫正罪犯。监狱的现实成效与制度理想存在偏差。当偏差产生时，人们很少考虑监狱制度的理想目标，而是指责实现方法的失误，欲得与不可得之间，形成了骑虎难下之势。文献综述包括三个方面，即国外对监狱行刑效果的研究情况、国内对监狱行刑效果的研究情况以及对若干借鉴理论的综述。主要研究方法分为定量研究与定性研究相结合的方法和借鉴文化研究方法。论文创新包括论证思路的创新和内容的创新。 第一章论述刑罚与监狱功能的关系。通过对刑罚演进的梳理，认为监狱功能的理论基础来自刑罚中的报应刑和目的刑学说。第一节论述监狱功能的报应刑理论解释及其在监狱中的实践。报应刑思想中，选取了近、现代刑罚理论中比较成熟、系统的康德的等量报应论和黑格尔的等价值报应论，阐述报应刑时代监狱功能的哲学基础。这一时期，监狱功能实务发展的时间跨度较长，在我国是从古代至清末狱制改良之前，在西方是从古代至十八世纪监狱改革之前。第二节论述监狱功能的目的刑理论解释及其监狱实践。目的刑思想中，介绍了边沁的功利主义思想、费尔巴哈的“心理强制说”、龙勃罗梭社会防卫思想、菲利刑事社会学思想和李斯特的教育刑思想，阐述目的刑时代监狱功能的哲学基础。这一时期，监狱功能实务发展的时间跨度在我国是从古代至清末狱制改良至今，在西方是从古代至十八世纪监狱改革至今。第三节论述现代监狱的运行与功能。首先，论述现代监狱的运行，包括现代监狱行刑模式、现代监狱制度的蓝本和现代监狱建筑与规训蓝本。现代监狱的行刑模式介绍了教育模式、医疗模式、正义模式和恢复性司法模式。现代监狱制度的蓝本介绍了奥本制、埃尔迈拉制和爱尔兰制。现代监狱建筑与规训蓝本介绍边沁的“圆形监狱”和监狱规训权力在“圆形监狱”中的运行。其次，论述刑罚与监狱、刑罚功能与监狱功能。刑罚的范畴大于监狱，现代监狱是自由刑的执行机关。刑罚功能与监狱功能两者，既有联系又有区别。刑罚功能立足于刑事制裁的宏观视角，以刑事制裁的整体为依托，是刑事制裁在国家治理中的总体效用。它以各类刑罚执行机关的执行效果为基础。监狱功能立足于监狱这一具体的刑罚机关，是指规训和再社会化被判处监禁刑罪犯的效用。监狱功能是刑罚功能的重要组成部分，刑罚功能的范畴大于监狱功能。监狱功能分为对罪犯产生作用的直接功能和对罪犯以外的人产生作用的间接功能。前者包括剥夺或限制再犯能力、惩罚、纪律规训、教化、劳动，后者包括安抚和警示。本文论述的是直接功能，包括惩罚功能、教化功能和劳动功能。第三，论述规训权力与监狱功能的边界，规训权力遭受到抵抗，阻止了监狱功能的实现，是权力意义上的监狱功能的边界。 第二章论述惩罚功能的目标期待与边界。第一节论述惩罚功能的传统目标与现实效果。第二节论述惩罚功能的边界，包括惩罚和规训纪律。惩罚的价值边界包括惩罚要素对惩罚的限制和惩罚没有触及犯罪的根源。正义、人道和秩序是现代监狱应当具备的基本要素，同时对监狱惩罚功能的发挥构成限制。监禁惩罚关注对罪责的执行，这种事后惩罚无法溯及犯罪的前因。监狱惩罚的实务边界指剥夺或限制再犯能力的效力有时间界线、监禁产生负作用、监禁惩罚的威慑作用有限。监狱规训纪律是惩罚在技术上的表现。规训纪律发挥作用需要具备时间和空间条件。纪律作用的总体能量限定在一定的区间，规训纪律对罪犯行为的调节、约束也只在一定的范围内起作用。规训纪律在造就狱内秩序的同时，容易掩盖实质。由于习惯和技术操作上的难度，道德在纪律考核中受到冷落。规训纪律的秩序效力只达于监狱这个特定的空间和罪犯刑期这段特定的时间，它对罪犯出狱之后产生的影响有限。在实务中，监狱警察对规训纪律的执行受到罪犯群体影响，部门利益的驱使损害了规训纪律的权威。规训运行的边界在监狱长和监狱警察两个层面的表现不同。监狱长难以对某个或某些犯人进行观察和持续观察。监狱警察没有足够的时间用于观察和记录犯人的行为。 第三章论述教化功能的目标期待与边界。第一节论述教化功能的传统目标与现实效果。第二节论述教化功能的价值边界和实务边界。教育的工具价值，是知识通过一定的方式所起的实际作用，如科学知识只有被学生掌握并被运用来解决问题，实现目的的过程。监狱教育工具价值的边界表现在它的作用受限于罪犯对教育的认可、教育对罪犯的塑造以及对罪犯出狱之后就业谋生的帮助。道德作用开始于它的实践性，而监狱道德教育实践性的缺乏是它对罪犯产生作用的边界。监管安全被摆在突出的位置，对监狱教化工作形成挤兑。监狱教育与教育原则存在冲突。监狱教育的行政强制性与启发性原则存在冲突；行刑制度、罪犯的个体情况和监狱的有限资源形成了对循序渐进原则的冲突；监狱教育在课堂形式、课程设计等组织管理中存在的客观困难对因材施教原则形成冲突。监狱教化的评估指向罪犯在狱内的“过去”表现，或者是以这种“过去”的表现来预测其未来重新犯罪的情况。教化评估的结果与罪犯释放之后的社会环境的衔接存在距离。道德教育的实务边界表现在德育内容与罪犯个体的匹配性不足，德育的最佳时期与罪犯年龄不符；监狱警察在管理与教育中存在角色冲突；监狱警察的道德示范性有限。这种客观冲突的背后是组织结构、功能及分工在实务中的混乱。 第四章论述劳动功能的目标期待与边界。第一节论述劳动功能的传统目标与现实效果。第二节论述监狱劳动功能的价值边界和实务边界。监狱劳动的价值边界包括劳动本身的边界和劳动改造理论的缺陷。按照涂尔干对社会团结的分类，监狱罪犯群体是一个类似于机械团结的社会。它的成员是罪犯，在身份上具有同质性。这个群体受到外界因素（国家）的强制干预，由压制性规范调整成员中的行为，压制性规范是这个群体的集体意识。在机械团结的背景下，监狱劳动具有人为性、强制性、功利性和报酬性特征，受这些特征的影响，监狱劳动对罪犯团结合作、责任意识、诚信品质、自立信心培养的作用受到局限。劳动改造理论缺陷主要有劳动创造人与劳动改造罪犯的时间条件不同；劳动创造人与劳动改造罪犯的内容不同；劳动创造人与劳动改造罪犯的衡量标准不同。监狱劳动功能的实务边界是罪犯在劳动中形成的消极状况。罪犯处于哪一种劳动状况，受外界因素的刺激而发生变化。罪犯个人或家庭的经济条件是调节罪犯劳动状况的杠杆。劳动消极状况产生于罪犯之间的歧视性对比，是对笨重而又低廉劳役的嫌弃，实质是对财富和社会尊敬的渴望。 第五章论述监狱组织管理的功能困境。本章讨论监狱组织管理功能困境中的两个问题，即监狱工作的失衡与绩效评估的异化和监狱科技的边界。实务中，“规范执法”挤占了“矫正罪犯”的空间，两者失去了平衡，这种现状产生于监狱组织管理的弊端。监狱是科层制组织，层级制的特征使下一层级受制于上一层级；人事任命自上而下，使下一层级的领导受制于上一层级的领导。“政治人”的升迁动机受上一层级及领导喜爱的影响。取悦领导是在升迁资本中占有不可替代的重要作用。在新媒体时代，新媒体舆论监督在监狱工作效果、公众监督和取悦领导之间形成了一种更加快捷的传递方式。新媒体舆论无法对专业性较强的“罪犯矫正”领域进行评判，它把目光聚焦于监狱的“规范执法”领域。因此，监狱上一层级更加注重下一层级的“规范执法”工作，下一层级取悦上一层级更加把重心放在了领导关心的“规范执法”领域，“规范执法”的组织目标经过层层放大，最终被无限放大，形成了对矫正罪犯工作的压倒性挤兑。这种状况导致了监狱绩效评估的重点不是监狱矫正罪犯的主业，而是转向了以监管安全体系为核心的规范执法工作。绩效评估出现偏差，必然导致问责出现偏差。这打击了监狱警察矫正罪犯的积极性。绩效评估的异化强化了监狱工作的失衡状态。 监狱科技在组织管理中产生困境的理论基础是法兰克福学派的科技批判理论。监狱科技化优化了警戒设施，在一定程度上实现了监狱工作效力的提高。然而，科技是一把双刃剑，科技在监狱中的应用遭遇了新的问题，使监狱科技面临组织管理上的困境。监狱科技是监狱规训罪犯的工具还是实体，性质不明。在矫正中，监狱科技与规训权力的交融并未实现对罪犯的真正规训。监狱科技化的同时弱化了监狱警察的能力、监狱科技中的监控使监狱警察对监狱产生了不信任，这些负面效应给监狱规训权力埋下了隐忧。监狱科技所面临的挑战是“关联环境”缺失的必然结果。 第六章论述罪犯群体权力与监狱功能边界。监狱中存在着仅有的两个群体，即监狱警察群体与罪犯群体。这两个群体既对立，又融合。罪犯群体权力产生的理论基础是社会交换理论。罪犯群体权力产生的内在动力是对有限资源的竞争与交换，狱内有限资源包括有限的物质资源、有限的司法奖励和有限的优越感。罪犯群体权力产生的外部条件是规训权力运行的局限与国家对规训权力的约束，表现在监控、生活管理、教育感化和劳动上。罪犯群体权力的产生是内在动力与外部条件共同作用的结果。在共同作用中，罪犯对有限资源的竞争要向监狱组织靠拢，依附于监狱官方的权威；监狱弥补“监狱警察—罪犯”两极社会中规训权力末端的不足，要借助向监狱组织靠拢的罪犯，以实现规训权力的无穷延伸。它有自己的载体和运行规律。罪犯群体权力具有依附性和相对独立性的特征。依附性表现为罪犯群体在两极社会中处于被支配地位。相对独立性表现为它有自己的规则；有自己的逻辑、方法和语言；讲究个人魅力与威望。罪犯群体权力对监狱功能的约束就产生于它的相对独立性，并受改造功利性的利益杠杆调节。罪犯群体权力的约束发生在监狱规定不明确之处，体现非暴力的特征。它对监狱功能的约束表现在规训纪律、有限资源的分配、监狱教化和监狱劳动上。 结语论述正义、理性与功利博弈状态下的监禁刑困境。结语中概述了论证思路，并明确指出国家、监狱警察与罪犯三者之间的博弈是正义、理性与功利之间的博弈。刑罚正义困境的内核是惩罚与矫正的不可调和，狱警理性产生了掩盖真实的“表面秩序”，罪犯功利调节了罪犯群体权力的指向。正义、理性与功利之间的博弈使现代监禁刑陷入了“名”与“实”相分离的困境。论文对监狱功能边界的讨论并不是要否定监狱的存在，至今监狱仍然是一种必要的存在。人们对监狱制度的美好理想应当被监狱功能边界的理性收服，对监狱目标和制度的修正应当考虑监狱功能的边界，否则只会使正义、理性与功利之间的博弈越发激烈，现代监禁刑的困境越陷越深。
[Abstract]:To investigate the function of prison boundary's purpose is to make people to prison function positioning can return to rational, avoid fads in both theory and practice blindly, so that people can continue to focus on the criminals in prison in the punishment and correction after the trial, so that people can pay attention to the prison itself and not because of the socialization of advocating and ignore the prisons and prison research. This article is divided into two static and dynamic perspectives on the function of the prison boundary. The static level based on the prison punishment, discipline discipline, education, labor, and discuss the block itself is the "value" in the aspect of dynamic boundary. "National prison police criminal" as the framework of the game between the three, including the organization and management of prisons and prison prison police game, the game between the prison police and criminals, criminals in the correction and the national game. The boundary is the basis for the static level, The dynamic game is the extension of the static boundary in the practice, and the two are not completely separated. In addition to the introduction and conclusion, this paper is divided into six chapters.
The introduction includes the origin of the problem, literature review, research methods, innovations and deficiencies of four parts. The contradiction between the ideal and the reality of the plight of the prison system is the origin of the mind. The prison system is ideal not only punish the criminals and criminal correction. The prison system into effect and realistic ideal when the deviation deviation. When people rarely consider the ideal goal of the prison system, they blame the realization method of error between desire and can not be formed, difficult reality. The literature review includes three aspects, namely foreign to the prison execution effect research, domestic research on prison execution effect and the review of the theory of reference the main research methods. Several methods for quantitative study and qualitative study and reference method of culture research. The innovation of this thesis include the demonstration innovation the innovative ideas and content.
The first chapter discusses the relationship between penalty and prison function. Based on the evolution of penalty sort, that the theoretical basis of the function of prison penalty from the purpose of retribution and punishment. The doctrine of retributive punishment theory to explain the first section discusses the function and practice of prison in prison. Retribution concept, selection of nearly mature, modern penalty in theory, the system of Kant's equal retribution theory and Hagel's value retribution theory, elaborated the philosophical basis of retribution punishment era prison function. During this period, the development of prison function practice and long time span in China before the ancient and the reformation of the prison system in the West in the late Qing Dynasty, from ancient times to eighteenth Century before the prison reform the second section discusses the function of the prison. The purpose of criminal theory and practice. The purpose of punishment in prison, introduces Bentham's utilitarianism, Feuerbach's "theory of psychological compulsion", the dragon. Rousseau thought of social defense, criminal sociology of education punishment thought Philip thought and Lester, describes the philosophical basis of objective function of prison punishment era. During this period, the function of the prison practice development time span in China is far from the ancient times to the end of the Qing Dynasty prison reform, in the west is far from the ancient prison reform. Third to eighteenth Century discusses the operation and function of modern prison. Firstly, discusses the modern prison operation, including the modern prison system, based on the modern prison system and modern prison construction and discipline. Based on the modern prison execution mode introduces the mode of education, healthcare, justice and restorative justice model. Based on the modern prison system the Auburn system, El Myra and the Irish system. Modern prison construction and discipline based on introduction of Bentham's Panopticon and prison disciplinary power in "round the prison" In the operation. Secondly, discusses the penalty and the penalty function and the function of the prison, prison. The penalty category is greater than the modern prison, prison is the executive organ of freedom penalty. The penalty function and the function of the prison, there are both connections and differences between the macro perspective. Based on the penalty function of criminal sanctions, to criminal sanctions on is the overall utility of criminal sanctions in the governance of the country. It is based on all kinds of penalty executive organ performance. Based on the function of the prison prison penalty refers to specific organs, discipline and re socialization was sentenced to imprisonment of criminals. The prison utility function is an important part of the penalty function, penalty function the category is greater than the prison function. The prison function is divided into indirect function directly affect the function of the criminal and the criminal people outside effect. The former includes deprivation or restriction of recidivism, punishment, discipline Discipline, education, labor, the latter including comfort and warning. This is a direct function, including the penalty function, education function and work function. Third, discusses the power of discipline and prison function boundary, disciplinary power suffered resistance, prevents the realization of the function of prison, is the power of the sense of prison function the boundary.
The second chapter discusses the goal and boundary of penalty function. The traditional goal and the reality effect of the first section discusses the function of punishment. The second section discusses the function of punishment boundaries, including punishment and discipline discipline. Punishment punishment includes the value of boundary elements on the punishment of restrictions and punishments origin did not touch the crime. Justice, humanity and order is basic the elements of modern prison shall have, at the same time as a constraint on the function of prison punishment. Punishment attention to crime execution, this punishment cannot be retroactive criminal antecedents. Practice refers to the effect of boundary of prison punishment and deprivation or restriction of recidivism is the time line, imprisonment have negative effects, the deterrent effect of punishment. The prison prison discipline discipline punishment in technology performance. Discipline discipline play a role requires time and space conditions. The overall effect is limited in energy discipline A certain interval, adjust the discipline discipline on criminal behavior, constraints only in a certain range of work. The discipline discipline in prison in order to create the essence. At the same time, easily concealed by habit and technical operation difficulty, morality is ignored in discipline evaluation. The discipline discipline effect of order in this particular space prison and criminals sentence this particular time, its impact on the criminals after the release. In practice, the prison police to discipline discipline by criminal groups, departments interests damage discipline discipline discipline authority. In two different boundary operation the level of prison and prison police. The warden to one or some of the prisoners were observed and continuous observation. The prison police don't have enough time to observe and record the prisoners.
The third chapter discusses the goal and boundary of the educational function. The first section discusses the traditional goal of the educational function and practical effect. The second section discusses the educational function and practical value boundary boundary. The tool value of education, the actual effect is by some way the knowledge, such as scientific knowledge only by students to master and be used to solve the problem, achieving the purpose of the process. The prison education tool value in its boundary is limited to the criminal of Education approval, education of criminals and criminals to create employment for a living. When he got out of the practical moral role began in it, and the prison moral education the lack of practice is that it has an effect on criminals the boundary. Safety supervision in a prominent position, the formation of a run on prison education work. There is a conflict of prison education and education. The principle of prison education administrative compulsory and Rev. There is a conflict of principles; criminal penalty system, limited resources and individual prison formed on the principle of gradual conflict; prison education in the form of classroom, curriculum design and other objective difficulties exist in organization and management of conflicts between the principles of individualized teaching. The evaluation to Prison Criminals in prison in the past. Or is this past performance to predict the future re crime. After the results of the assessment and education cohesion criminals free social environment exist. The practice of moral education from the boundary performance education and individual criminals in Germany, the lack of the best period of moral education and the criminal age; prison police there are role conflict in the management and education; the prison police moral demonstration. Behind this conflict is the objective function and organizational structure, division of labor in practice Chaos in the middle.
The fourth chapter discusses the goal and boundary of labor function. The first section discusses the goal of traditional labor function and realistic effect. The second section discusses the boundary value function of prison labor and practical boundary value boundary. The prison labor includes labor itself boundary and labor reform theory defects. Durkheim's classification of social unity in accordance with. The criminals group is similar to a mechanical solidarity society. Its members are criminals, have the same identity. This group by external factors (state) of the compulsory intervention by oppressive regulation of members of the bank, oppressive norm is the collective consciousness of the group. In the context of mechanical solidarity, prison labor is artificial, mandatory, utilitarian and compensation characteristics, affected by these characteristics, the prison labor of criminals in unity and cooperation, sense of responsibility, honesty, self confidence cultivation The effect is limited. Theoretical defect of labor reform mainly have the time and labor conditions and labor to create different criminals; content of labor to create and labor reform criminals are different; measure labor creates human and labor reform of criminals. The practice of different boundary prison labor function is formed in the labor of the criminal offenders in the negative situation. What kind of labor conditions, affected by external factors to stimulate and change. The criminal personal or family economic condition is the regulation of criminal work status lever. Contrast discrimination of labor produced in the negative situation among criminals, is bulky and cheap labour of the mind, is the essence of desire for wealth and social respect.
The fifth chapter discusses the function of the plight of prison management. This chapter discusses two problems in the plight of the prison organization management functions, namely imbalance and performance evaluation of prison work alienation and prison technology boundaries. In practice, "law enforcement" crowding out "criminal correction" of space, they lose the balance, this situation in the organization and management of the prison. The prison abuse is bureaucracy, hierarchy of features to the next level subject to a level of personnel appointment; from top to bottom, the next level of leadership is subject to a level of leadership. "Political man" by the upper level promotion motivation and leadership. Please enjoy leadership is an important role in the promotion of capital occupies the irreplaceable. In the era of new media, new media supervision work in prison, a more efficient transfer between the public supervision and to please the leadership New media public opinion. To the professional "criminal correction" field of evaluation, it focus on the prison "standardize law enforcement field. Therefore, the prison on the level of pay more attention to the next level of" norms of law enforcement work, the next level please a level more focus on leadership concerned about the "norms of law enforcement", "law enforcement" organizational goals through layers of amplification, was eventually formed an overwhelming unlimitedly, run on the criminal correction work. This situation leads to the prison of performance evaluation is not the focus of the prison correction criminal business, but turn to the safety supervision system as the core of the norms of law enforcement work. The performance evaluation of the deviation, will inevitably lead to accountability deviation. The enthusiasm of the prison police against criminal correction. The alienation of performance evaluation to strengthen the imbalance of prison work.
The theoretical basis of prison technology creates difficulties in organization management is the critical theory of the Frankfurt School of science and technology. Science and technology to optimize the prison guard facilities, to a certain extent in the prison work efficiency. However, technology is a double-edged sword, science and technology in prison be encountered new problems, leaving the prison

【学位授予单位】：华东政法大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D916.7


本文编号：1710325