超越比例原则:同态报应量刑原则的法理根基与实践意义  

Beyond the Principle of Proportionality:The Jurisprudential Foundation and Practical Significance of Lex Talionis as a Sentencing Principle

作　　者：张峰铭 Zhang Fengming

机构地区：[1]中共中央党校(国家行政学院)政治和法律教研部

出　　处：《交大法学》2024年第3期35-50,共16页SJTU Law Review

基　　金：2022年度国家社会科学基金青年项目“民行刑交叉视域下的法秩序统一性原理研究”(项目编号:22CFX003)的阶段性研究成果。

摘　　要：德国公法中的比例原则并不是刑罚的内在道德原则,而是外在于罪刑均衡的补充性政治原则。在预防性刑法时代,单凭比例原则无法对预防刑的扩张风险形成有效约束,而带有形而上学色彩的“点”或“幅”量刑限制理论都不具有现实可操作性。回归同态报应原则是捍卫古典罪刑均衡理念、防止重刑化趋势的可操作方案,实质是从“量”的思维转向“质”的思维。以同态报应作为量刑原则,不需要预设不合理的刑罚证成理论,也不必然导致不人道或无法操作的刑罚方式。同态报应的本质是罪犯角色的转换,将罪犯从试图脱离法秩序的优势地位转为受到法律强制力约束的弱势地位,从而否定罪犯的不法宣称,恢复法秩序的公信力。根据同态报应原则,社区矫正可以被视作一种具有普遍意义的典型刑罚,而不仅仅是对监禁刑的边缘补充。The German version of the principle of proportionality is not an intrinsic moral principle of punishment,but a political principle external to the equivalence of crime and punishment,thus has only a secondary status.In the era of preventive criminal justice,the German version of the principle of proportionality alone cannot effectively restrain the risk of expansion of preventive punishment,and the metaphysical theories of“point”or“range”sentencing restrictions are not operable.Turning Back to the principle of Lex Talionis is an operable solution to defend the classical idea of the equivalence of crime and punishment and to prevent the trend of overpunishment,which is essentially a shift from“quantitative”thinking to“qualitative”thinking.The use of Lex Talionis as a sentencing principle does not require an unreasonable theory of moral retribution,nor does it necessarily lead to inhumane or unworkable punishments.The point of Lex Talionis is to transform the role of the offender from the dominant position of trying to break away from the legal order to the vulnerable position of being bound by the coercive force of the law,thus denying the offender's invalid claim and restoring the credibility of the legal order.According to the principle of Lex Talionis,community correction can be regarded as a typical kind of punishment,and not just as a marginal complement to imprisonment.

关 键 词：罪刑均衡 比例原则 同态报应 法秩序 社区矫正 

分 类 号：D924.1[政治法律—刑法学]