新形势下监狱行政执法的困境及对策研究—以上海为例

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摘要

近年来，随着《刑法》、《刑事诉讼法》、《监狱法》等刑事法律被修改，监狱

的执法依据发生了很大的变化；同时，公正执法、人权保护等法治理念逐步深入

人心，新形势下监狱执法的内外部环境都与以往有很大的不同。监狱执法成效的

好坏关系到经济社会转型发展期的内部环境是否和谐、安全、稳定。破解监狱的

执法难题，确保执法的公正文明是各级监狱执法部门义不容辞的责任。上海监狱

系统在推进现代警务机制建设过程中不断出台相关措施，力图走出监狱的执法困

境，但效果并未达到预期的目标。因此，研究上海监狱的执法困境及其成因，探

寻走出困境，提升执法水平的对策具有十分重要的现实意义。

本文以新形势下监狱行政执法工作为研究对象，选取上海监狱系统作为研究

范本，采用调查研究、文献分析等方法。首先界定监狱行政执法的概念，介绍中

国监狱的性质和职能并阐述相关的理论基础；其次分析新形势对上海监狱执法工

作带来的影响，剖析目前上海监狱系统在执法工作中面临的困境，主要包括执法

难度加大、执法成本上升、违法案件多发、负面新闻不断，而后综合分析其成因，

概括为立法立规不尽完备、管理层次不尽完善、行政决策不尽科学、民主、行政

监督不尽到位；再次对国内外部分监狱执法工作进行研究，在法制建设、管理体

制、监督模式等领域，总结归纳可借鉴的先进经验；最后针对新形势下上海监狱

系统存在的执法困境及其成因，提出一些完善和改进的建议：一是加强立法，完

善法律体系；二是完善行政决策，确保决策的科学化、民主化；三是理顺管理体

制，完善两级管理；四是完善监督体系，强化执法监督。

关键词：新形势监狱罪犯执法

ABSTRACT

In recent years, with the "Criminal Law", "Criminal Procedure Law," "Prison Law"

and other criminal laws are modified according to the prison law enforcement great

changes have taken place; same time, the concept of the rule of law and impartial law

enforcement, human rights protection, gradually accepted protection of the rights of

prisoners of consciousness gradually strengthening internal and external environment of

prison law are very different from the past. The quality of prison effectiveness of

enforcement related to social transformation and development of the economy of the

internal environment is harmonious, safe and stable. Prison break the law enforcement

problem, ensure fair and civilized law enforcement at all levels of law enforcement in

prisons bounden duty. Shanghai prison system in the process of promoting the

construction of modern policing mechanism constantly introduce relevant measures,

enforcement difficulties trying to get out of prison, but the results did not achieve the

desired objectives. Therefore, the study of law enforcement difficulties and its causes

Shanghai prison, out of the woods to explore, enhance the level of law enforcement

countermeasures very important practical significance.

In this paper, the prison administrative enforcement under the new situation as the

research object , select the Shanghai prison system as a research model , first defined

the concept of prison administrative enforcement , introduce the nature and functions of

Chinese prisons and describes the relevant law enforcement theory ; followed by

analysis of the new situation on the Shanghai Prison impact of law enforcement brought

the plight of Shanghai analyze the current prison system in the face of law enforcement ,

including law enforcement more difficult, rising cost of law enforcement , illegal cases

of multiple , negative press coverage , then a comprehensive analysis of its causes ,

summed up the legislative regulation legislation not the complete management level is

not perfect , the administrative decision not scientific , democratic and administrative

supervision different place ; once again part of the prison for domestic law enforcement

work carried out research in the legal system, law enforcement system , monitoring

mode and other fields, can be summarized learn from the advanced experience ; Finally,

enforcement difficulties and its causes in the new situation Shanghai prison system

exists to improve and make some suggestions for improvement : First, strengthen

legislation , improve the legal system ; Second, improve the administrative decision to

ensure scientific decision-making , democratization ; Third, improve the management

system, improve the two management ; Fourth, improve the supervision system ,

strengthen law enforcement supervision.

Key Words：new situation, prison, criminal, law enforcement

中文摘要

ABSTRACT

1绪论﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒1

1.1 研究的背景及意义﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒1

1.1.1 研究的背景﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒1

1.1.2 研究的意义﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒1

1.2 研究现状分析﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒2

1.2.1 国外研究综述﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒2

1.2.2 国内研究综述﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒3

1.2.3 研究评述﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒4

1.3 研究方法、研究的重点、难点和创新点﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒4

1.3.1 研究方法﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒4

1.3.2 研究的重点、难点﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒5

1.3.3 创新点﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒5

2监狱行政执法及其理论基础﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒6

2.1 我国监狱的性质和职能﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒6

2.1.1 我国监狱的性质﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒6

2.1.2 我国监狱的职能﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒6

2.2 我国监狱行政执法的概念﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒7

2.2.1 执法的概念﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒7

2.2.2 行政执法的概念﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒8

2.2.3 监狱行政执法的概念﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒8

2.3 相关的理论基础 ﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒10

2.3.1 依法行政理论﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒10

2.3.2 行政决策理论﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒10

2.3.3 管理层次和管理幅度理论﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒11

2.3.4 行政控权理论﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒12

3上海监狱行政执法的困境及成因分析﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒13

3.1 上海监狱行政执法面临的新形势﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒13

3.1.1 执法依据的变化﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒13

3.1.2 经济社会的发展﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒15

3.1.3 执法理念的更新﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒16

3.2 上海监狱行政执法的困境﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒17

3.2.1 执法难度加大﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒17

3.2.2 执法成本上升﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒19

3.2.3 违法案件多发﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒19

3.2.4 负面新闻不断﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒20

3.3 上海监狱行政执法困境的成因分析﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒20

3.3.1 立法立规不尽完备﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒20

3.3.2 管理层次不尽完善﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒21

3.3.3 行政决策不尽科学、民主﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒22

3.3.4 行政监督不尽到位﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒23

4国内外监狱行政执法的先进经验﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒24

4.1 国内监狱行政执法的先进经验﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒24

4.1.1 北京市延庆监狱﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒24

4.1.2 天津市监狱﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒24

4.1.3 无锡监狱﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒25

4.1.4 香港惩教署﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒25

4.1.5 台湾法务部矫正署﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒26

4.2 国外监狱行政执法的先进经验﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒26

4.2.1 美国马里兰州“PG”郡矫正中心﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒26

4.2.2 德国监狱﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒27

4.2.3 日本刑务所﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒27

4.2.4 新加坡监狱﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒28

4.2.5 古巴监狱﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒28

4.3 国内外先进经验对上海的借鉴﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒29

4.3.1 完善法律体系﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒29

4.3.2 理顺管理体制﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒29

4.3.3 强化外部监督﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒29

5走出上海监狱行政执法困境的对策﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒31

5.1 加强立法﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒31

5.1.1 修订《监狱法》﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒31

5.1.2 完善实施细则及配套法规﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒31

5.2 改善行政决策﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒32

5.2.1 实现行政决策的科学化﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒﹒32

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摘要：

摘要近年来，随着《刑法》、《刑事诉讼法》、《监狱法》等刑事法律被修改，监狱的执法依据发生了很大的变化；同时，公正执法、人权保护等法治理念逐步深入人心，新形势下监狱执法的内外部环境都与以往有很大的不同。监狱执法成效的好坏关系到经济社会转型发展期的内部环境是否和谐、安全、稳定。破解监狱的执法难题，确保执法的公正文明是各级监狱执法部门义不容辞的责任。上海监狱系统在推进现代警务机制建设过程中不断出台相关措施，力图走出监狱的执法困境，但效果并未达到预期的目标。因此，研究上海监狱的执法困境及其成因，探寻走出困境，提升执法水平的对策具有十分重要的现实意义。本文以新形势下监狱行政执法工作为研究对象，选取上海监...

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