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中文题名:

 当代中国反腐败刑事政策研究    

姓名:

 詹奇玮    

保密级别:

 公开    

论文语种:

 中文    

学科代码:

 030104    

学科专业:

 刑法学    

学生类型:

 博士    

学位:

 法学博士    

学位类型:

 学术学位    

学位年度:

 2020    

校区:

 北京校区培养    

学院:

 刑事法律科学研究院    

第一导师姓名:

 赵秉志    

第一导师单位:

 北京师范大学刑事法律科学研究院    

提交日期:

 2020-05-28    

答辩日期:

 2020-06-22    

外文题名:

 RESEARCH ON CRIMINAL POLICY ANAINST CORRUPTION IN CONTEMPORARY CHINA    

中文关键词:

 反腐败刑事政策 ; 有腐必反 ; 依法反腐 ; 标本兼治 ; 注重预防 ; 刑事立法 ; 刑事司法 ; 综合防控    

中文摘要:

立足于以往的腐败治理实践和已有的学术研究成果,对当代中国反腐败刑事政策开展研究,具有科学有效指引腐败惩治与预防工作的现实意义和提升反腐败刑事政策研究的时代性、系统性的理论意义。反腐败刑事政策中的腐败,在本质上是一种剥削现象,主要表现为代表国家机构履行职责或具备一定身份的行为主体,通过滥用公共权力的方式使自己或他人获得不正当利益的行为。作为反腐败刑事政策的主要对象,“腐败犯罪”是一种违反刑法规定,由具备从事公务的身份或指责的主体,通过滥用公共权力的方式实施的严重侵犯公职的不可收买性、公务的公益性或公共财物不可侵犯性的行为,它的外延小于职务犯罪,包含贪污贿赂犯罪,与渎职犯罪在范围上存在一定重叠。不同时期、不同国家的学者对“刑事政策”的基本含义存在不同认识,但总体上可以归纳为最广义、广义、狭义和最狭义四个层次。当代中国反腐败刑事政策不仅关注国家通过刑事手段抗制腐败犯罪的活动,而且还着眼于预防角度考察如何社会力量的参与和非刑事手段的运用。所以,它是指在中国共产党的领导下,国家权力和社会力量通过运用刑事措施等一系列手段,为预防、控制、惩罚腐败犯罪制定和实施的战略、方针和策略、方法。从体系定位上看,当代中国反腐败刑事政策作为一项具体刑事政策,需要接受作为根本刑事政策的社会治安综合治理方针的指导,坚持中国共产党领导的政治方向,将“综合治理”应用于腐败治理尤其是预防腐败之中;同时,还要注意对宽严相济基本刑事政策的贯彻,即在依法惩治的前提下,根据腐败犯罪及其行为人的具体情况在处罚轻重上做到区别对待。从内部结构上看,当代中国反腐败刑事政策在横向上可以划分为“刑事惩罚”和“综合防控”两个方面,前者主要着眼于指导、调节刑事手段直接作用于对腐败犯罪的打击和惩治,后者主要着眼于对腐败犯罪进行预防和遏制,指导非刑事手段间接作用于腐败犯罪滋生蔓延的原因。当代中国反腐败刑事政策的基本原则,是其在制定和实施等活动中应当遵循的准则和依据,主要包括法治原则、民主原则、人道原则、科学原则和国际原则。当代中国反腐败刑事政策的治理追求,是其以“公正”、“秩序”、“自由”和“效率”为价值内核,所希望达到的良好治理状态及其对社会产生的积极影响。

“有腐必反”、“依法反腐”、“标本兼治”和“注重预防”四个方面,共同组成了当代中国反腐败刑事政策的基本内容。作为对待腐败现象的总体立场,“有腐必反”的政策内涵主要包括以“零容忍”态度惩治腐败,反腐败“不定指标,上不封顶”,老虎、苍蝇一起打”和加强反腐败国际合作,要求国家和社会必须以坚定的态度反对腐败,对腐败现象需要作出全面、综合和系统的反应。作为开展腐败治理的基本模式,“依法反腐”的基本含义是指要坚持法治思维和法治方式治理腐败,它是一种在汲取运动反腐、权力反腐经验教训的基础上,立足而又超越于制度反腐、符合腐败长期治理要求的反腐模式,要求在中国特色社会主义法治体系总体框架下,建设和完善当代中国反腐败法治体系。作为治理腐败问题的根本方法,“标本兼治”是指腐败治理要协同运用“治标”与“治本”两种手段,既要对腐败现象进行坚决的打击和遏制,又要发现并消除产生腐败的深层原因;它体现了对腐败现象的深刻认识和反腐规律的准确把握,总体要求是在有力削减腐败存量的同时有效遏制腐败增量,一体推进“不敢腐、不能腐、不想腐”,具体要求是注重运用协同治理方式,坚决摈除重刑反腐观念以及因势调整标本兼治之侧重。作为有效治理腐败的应然方向,“注重预防”意味着要更加重视腐败犯罪的事前预防,在标本兼治过程中要侧重“治本”,积极消除滋生腐败的各种原因,这种选择是由反腐败斗争取得压倒性胜利、反腐败斗争形势依然复杂严峻以及党和国家监督体系不断健全三大态势所决定的,它要求优化反腐败刑事法律的预防作用、加强对公权力的制约和监督以及筑牢“不想腐”的思想道德防线。

在当代中国反腐败刑事政策的视野下,我国反腐败刑事立法经过数十年的发展演进,总体呈现出比较完备广泛的罪名体系、比较周全严厉的腐败犯罪的刑罚设置和比较方便有力腐败犯罪的追诉安排三个特点。但是,反腐败刑事立法还存在如下需要检讨的弊端:第一,反腐败刑事法网仍然不够严密,具体个罪的规制范围受到限制,影响了“有腐必反”的深入贯彻;第二,反腐败刑事诉讼法律规范抽象和权利缺失的问题,则与“依法反腐”的要求背道而驰;第三,总体偏重的刑罚结构与刑法在“标本兼治”中的治标定位相背离,财产刑和资格刑的不足和缺失不利于刑事惩罚与腐败犯罪的贪利性和职务性相对接;第四,腐败犯罪的罪刑关系在整体上呈现比较混乱的状况,表明刑法对腐败犯罪的法定刑设置欠缺系统考虑,不利于“注重预防”的深入贯彻。为了使反腐败刑事立法更好地践行“有腐必反”、“依法反腐”、“标本兼治”和“注重预防”的政策内涵,需要在刑法立法中确立“严而不厉”的立法取向,提升刑事法网的严密程度,构建科学均衡的罪刑关系,改善总体偏重且刑种单一的刑罚结构。

在当代中国反腐败刑事政策的视野下,我国反腐败刑事司法近年来积极配合保持“高压反腐”态势,强调对司法腐败“零容忍”,坚持受贿行贿一起查,加大对行贿犯罪惩治力度,积极开展国际刑事司法合作,彰显了对“有腐必反”的坚持;同时,在刑法适用上推动腐败犯罪依法惩治,在司法程序中确保腐败案件依法查办,体现了对“依法反腐”的践行;此外,对腐败犯罪案件依法适用认罪认罚从宽,以及在特定领域专项治理中兼顾惩治腐败,体现了对“标本兼治”的积极贯彻;最后,检察机关和监察机关积极发挥各自职能优势强化腐败犯罪的预防工作,则体现了对“注重预防”重视程度的提升。但是,当前的反腐败刑事司法活动仍然存在一些弊端,与当代中国反腐败刑事政策的精神和内容相违背:其一,纪监机关与检察机关的衔接不畅形成了“以罚代刑”现象;其二,司法解释配合反腐形势作出的扩张有违于罪刑法定;其三,腐败犯罪刑罚适用标准及其效果面临宽严失当窘境;其四,反腐败国际合作的追逃手段和追赃力度发挥不充分。对此,需要从以下几个方面进行纠偏和优化:第一,要妥当处理纪检与司法各自反腐定位与相互关系;第二,在追求实现反腐政策目标的过程中要尊重刑事司法特性;第三,要提升腐败犯罪刑事制裁的规范化和精细化程度;第四,推动国际司法合作“远近结合”、“内外兼修”。

在坚持运用当代中国反腐败刑事政策指导刑事手段治理腐败犯罪的同时,还可以从以下四个方面对其在综合防控方面的重要意义作出展望,这主要体现在:第一,积极运用现代科技手段助力“有腐必反”;第二,推动制定反腐专门立法践行“依法反腐”;第三,健全党和国家监督体系深化“标本兼治”;第四,铲除滋生腐败文化温床实现“注重预防”。

外文摘要:

On the basis of the previous practices of corruption governance and existing academic research achievements, the research on criminal policy against corruption in contemporary China has a practical significance to guide corruption punishment and prevention in a scientific and effective way and a theoretical significance to promote more researches on criminal policy against corruption in a systematical way so as to usher in a new era in this regard. The corruption in the criminal policy against corruption can be regarded as a type of  exploitation essentially, which is mainly manifested by the behavioral subject person who performs his/her duties on behalf of state institutions or has certain status to make himself or herself or others obtain improper interests by abusing public power. As a major subject in the criminal policy against corruption, the “corruption crime” is an illegal behavior in which the behavioral subject person who has an ability or duty to perform official duties violates the provisions of criminal laws and implements serious violations of the incommensurability of public office, the public welfare of public affairs or the inviolability of public property by abusing public power. The extension harm of the “corruption crime” is less than duty crime, including the crime of corruption and bribery, and there is a certain overlap with the crime of dereliction of duty. Scholars in different periods and countries have different understandings on the basic meaning of “criminal policy”, but on the whole, it can be concluded into four levels: the most board, board, narrow and narrowest. The criminal policy against corruption in contemporary China does not only pay attention to the activities on fighting against corruption crime, but also focuses on the prevention to investigate how to join social forces and use of non-criminal means. Therefore, the criminal policy against corruption in contemporary China refers to a strategy, policy and method developed and implemented by State Power Sectors and social forces by using a series of means such as criminal measures to prevent, control and punish corruption crimes under the leadership of the Communist Party of China. From the perspective of system orientation, the criminal policy against corruption in contemporary China, as a specific criminal policy, is needed to accept the guidance of comprehensive governance of social security as a fundamental criminal policy, and apply “comprehensive governance” to corruption governance, especially in corruption prevention under the leadership of the Communist Party of China; in addition, we should also pay attention to the implementation of the basic criminal policy in combining punishment with leniency, namely, we should have different treatments on corruption punishment on the premise of punishing corruption according to laws and on the basis of the specific situation of the corruption crime and perpetrator. From the perspective of internal structure, the criminal policy against corruption in contemporary China can be horizontally divided into two aspects such as “criminal punishment” and “comprehensive prevention and control”. The former mainly focuses on guiding and regulating criminal means to directly fight and punish corruption. The latter focuses on the prevention and control of corruption crime, and guides non-criminal means to affect the causes of corruption crime indirectly. The basic principle of the criminal policy against corruption in contemporary China refers to a criterion and basis which should be followed in the activity of the development and implementation of the policy, which mainly includes the principle of law rule, democratic principle, humanitarianism principle, science principle and international principle. The governance objective of the criminal policy against corruption in contemporary China is to embrace favorable implementation of corruption governance and its positive impact on society with its “justice”, “order”, “freedom” and “efficiency” as a core value.

The following four key points such as “fighting every corruption phenomenon”, “fighting against corruption according to law”, “addressing both the superficial and root cause on corruption” and “paying attention to prevention from corruption” jointly constitute basic contents of the criminal policy against corruption in contemporary China. As a general standpoint against corruption, the policy of “fighting every corruption phenomenon” mainly includes fighting against corruption with a “zero tolerance” attitude, “not to determine specific target and not to determine anti-corruption maximum” at the time of fighting against corruption, “fighting against corruption among grass-roots staff and senior officials in the government together” and “strengthening international cooperation against corruption”, which requires the state and society to take a firm standpoint against corruption and makes a comprehensive, integrated and systematic response against corruption. As a basic mode for corruption governance, the basic implication of “fighting against corruption according to law” means that we should punish corruption among grass-roots staff and senior officials in the government in the way of law thinking and rule. It is a kind of anti-corruption mode which is based on and beyond the system anti-corruption and can meet the requirements of long-term governance of corruption in accordance with the experience and lessons of campaign anti-corruption and power anti-corruption. The idea of “fighting against corruption according to law” requires the development and improvement of anti-corruption law system in contemporary China under the overall framework of the socialist rule of law system with Chinese characteristics. As a fundamental way to fight against corruption, “addressing both the superficial and root cause on corruption” means that the two means such as “addressing the superficial cause on corruption” and “addressing the root cause on corruption”, which should be used in a collaborative manner during the corruption governance, and we must not only resolutely fight and keep within limits on the corruption, but also identify and eliminate underlying causes of corruption; the idea of “addressing both the superficial and root cause on corruption” reflects a deep understanding of the corruption and an accurate acknowledgement of anti-corruption laws. The overall requirement is to effectively keep within limits on the growth of corruption while effectively reducing occurrence of the corruption and promote an ideal with “not daring to corrupt, not being able to corrupt and not wanting to corrupt” in a centralized way. Its specific requirement is to lay emphasis on the use of collaborative governance, resolutely give up an idea of severe punishment against corruption and focus on “address both the superficial and root cause on corruption” according to the specific situation. As a necessary direction of effective governance of corruption, the idea of “paying attention to prevention from corruption” refers to pay more attention to the beforehand prevention of corruption crime and focus on “addressing root cause on corruption in the process of “addressing both the superficial and root cause on corruption”, and actively eliminate various causes for giving rise to corruption. This selected result is determined by three major trends, for example, the overwhelming victory in the fight against corruption, the complexity and severity of the fight against corruption, and the continuous improvement of the supervision system of the Party and the State. It requires optimizing the prevention function of criminal law against corruption, and strengthening the restriction and supervision of public power, and establishing an ideological and moral concept of “do not want to corrupt”.

From the perspective of the criminal policy against corruption in contemporary China, the criminal legislation of fighting against corruption in China generally presents a relatively complete and extensive accusation system after decades of development and evolution, a more comprehensive and severe punishment for corruption crime, and convenient and powerful prosecution of corruption crime. However, there are still some shortcomings that need to be reviewed for the criminal legislation of fighting against corruption in China: first, the criminal legislation of fighting against corruption is still not enough, and the scope of specific crime is limited to affect the in-depth implementation of “fighting every corruption phenomenon”; secondly, there are some problems in the criminal procedure law for fighting against corruption, for example, normative abstraction and lack of rights, which runs counter to the requirements of “fighting against corruption according to law”. Thirdly, the overall structure of the criminal penalty is deviated from the target position of the criminal law in “addressing both the superficial and root cause on corruption”, and the lack of the criminal law on property and qualification is not helpful to the connection of self-interest and duty between criminal punishment and corruption crime; Fourthly, on the whole, relationship for punishment of the corruption crime presents a relatively chaotic status, and this shows that there is a lack of systematic consideration on the legal penalty of corruption crime in criminal law and it is not helpful to the in-depth implementation of “paying attention to prevention from corruption”. In order to better carry out the policy of “fighting every corruption phenomenon”, “fighting against corruption according to law”, “addressing both the superficial and root cause on corruption” and “paying attention to prevention from corruption” by means of the criminal legislation against corruption, it is necessary to establish a “strict but not severe” legislation policy in the criminal law and legislation, improve the strictness of criminal law website, build a scientific and balanced relationship between crime and punishment, and improve the penalty structure with overall emphasis and single penalty type.

From the perspective of the criminal policy against corruption in contemporary China, China’s Anti-Corruption Criminal Justice Department has actively adopted and maintained the trend of “high-pressure anti-corruption” in recent years, emphasized “zero tolerance” for judicial corruption, insisted on investigating and punishing the acceptance of bribe with bribery together, made efforts to punish bribery crimes, actively carried out international criminal justice cooperation and showed a determination to fight against corruption; in addition, we should promote the punishment of corruption crime according to the requirements of the application of criminal law, and ensure that corruption cases are investigated and treated in accordance with the law in the judicial process, and it presents the practice of “fighting against corruption according to law”. In addition, we should apply the policy on leniency of confession and punishment to corruption cases according to law, and give consideration to the punishment of corruption in the special governance of specific fields, and it reflects the active implementation of “addressing both the superficial and root cause on corruption”. Finally, the procuratorial organ and supervisory organ should give full play to their respective functional advantages to strengthen the prevention of corruption crimes, and it reflects the improvement of emphasis on “paying attention to prevention from corruption”. However, there are still some disadvantages in the current anti-corruption and criminal justice activities, which are contrary to the spirit and content of the criminal policy against corruption in contemporary China. First, the poor connection relationship between disciplinary supervision organ and procuratorial organ has resulted in the phenomenon of “replacing punishment with punishment. Secondly, the expansion of judicial interpretation in cooperation with the anti-corruption situation is against the law of crime and punishment. Thirdly, the application standard and its effect of corruption penalty are the dilemma of improper leniency and strictness. Fourthly, the means and strength of international cooperation against corruption have not been fully developed. In this point, we need to rectify and optimize it from the following aspects. Firstly, we should properly deal with the anti-corruption positioning and relationship between discipline inspection and justice; Secondly, we should respect the characteristics of criminal justice in the process of implementing the goal of anti-corruption policy; Thirdly, we should improve the standardization and refinement of criminal sanctions for corruption crimes; Fourthly, we should promote the concept of “combination of near and far distance” and “internal and external repairing” in the international judicial cooperation.

While we insist on using the criminal policy against corruption in contemporary China to guide criminal means to deal with corruption crimes, we can also look forward to its significance in comprehensive prevention and control from the following four aspects, which is mainly reflected in the followings: First, actively use modern scientific and technological means to fight every corruption phenomenon; Secondly, promote the development of special anti-corruption legislation to carry out “fighting against corruption according to law”; Thirdly, improve the supervision system of the Party and the State to deepen “addressing both the superficial and root cause on corruption”; Fourthly, eliminate the hotbed of corruption culture to realize “paying attention to prevention from corruption”.

馆藏号:

 博030104/20007    

开放日期:

 2021-06-22    

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