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Penal Severity and the Modern State 刑罚严重度与现代国家
Pub Date : 2019-11-07 DOI: 10.1093/oso/9780190070595.003.0006
Richard L. Lippke
Penal severity in the modern state is best understood in terms of right abridgment, which must be kept parsimonious, proportionate, and nondegrading if sanctions are to remain consistent with respect for the basic moral rights of individuals that is required of everyone, including state officials. Although there is disagreement about which basic moral rights individuals possess, there is enough overlap among the competing views to yield a consensus account of penal severity. For the most part, the state need not and should not be concerned with the ways in which penal sanctions are subjectively experienced by offenders. The modern state is supposed to keep its distance from the internal lives of individuals, instead securing for them the rights that make it possible for them to carve out and live lives of their own choosing. As long as individuals have fair notice of the defensible penal sanctions that await them if they violate the criminal law, they should be understood to have risked the aversive experiences that await them upon criminal conviction.
现代国家刑罚的严厉性最好理解为权利的缩减,如果制裁要与尊重包括国家官员在内的每个人的基本道德权利保持一致,就必须保持节俭、相称和非贬低性。尽管对于个人拥有哪些基本道德权利存在分歧,但在相互竞争的观点中有足够的重叠,从而对刑罚的严重性产生共识。在大多数情况下,国家不需要也不应该关心违法者主观上受到刑事制裁的方式。现代国家应该与个人的内心生活保持距离,而不是保障他们的权利,使他们有可能开创和过自己选择的生活。只要个人公平地知道,如果他们违反刑法,等待他们的是可辩护的刑事制裁,他们就应该被理解为冒着刑事定罪后等待他们的厌恶经历的风险。
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引用次数: 2
Humane Neoclassicism
Pub Date : 2019-11-07 DOI: 10.1093/oso/9780190070595.003.0009
Tapio Lappi-Seppälä
The principle of proportionality has its roots in the rule of law, legal safeguards, and guarantees to citizens against abuse, arbitrariness, and excessive use of force. It is more important to prevent overly harsh penalties than to prevent overly lenient ones. The main function of the proportionality principle is, thus, to impose the upper limit that the punishment may never exceed. In this framework, limiting discretion through proportionality is, above all, limiting excess. The normative framework of Scandinavian criminal justice policy—“humane neoclassicism”—stresses both legal safeguards against coercive care and a preference for less repressive measures in general. The key function of criminal law is to produce compliance through norm declaration and reinforcement. People refrain from illegal behavior not because it may be punished but because it is morally blameworthy (or because of force of habit). Criminal law’s goals are best served by a system of sanctions that maintains a moral character and demonstrates the relative blameworthiness of wrongful acts, is perceived to be fair and just, and respects the rights and intrinsic moral value of all parties involved.
相称原则的根源在于法治、法律保障以及保障公民不受滥用、任意和过度使用武力的影响。防止过于严厉的处罚比防止过于宽松的处罚更为重要。因此,相称性原则的主要作用是规定惩罚不可能超过的上限。在这个框架下,通过比例限制自由裁量权,首先就是限制过度。斯堪的纳维亚刑事司法政策的规范框架——“人道的新古典主义”——既强调反对强制照料的法律保障,又强调一般来说较少的压制性措施。刑法的关键功能是通过规范的宣告和强化来产生顺从。人们避免违法行为,不是因为它可能受到惩罚,而是因为它在道德上应该受到谴责(或因为习惯的力量)。刑法的目标最好由一种制裁制度来实现,这种制度要保持一种道德品质,表明不法行为的相对应受谴责,被认为是公平和公正的,并尊重所有有关各方的权利和内在道德价值。
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引用次数: 1
The Metric of Punishment Severity 惩罚严厉的度量标准
Pub Date : 2019-11-07 DOI: 10.1093/oso/9780190070595.003.0005
Douglas Husak
The principle of proportionality, a cornerstone of retributive penal philosophy, requires (ceteris paribus) the severity of the punishments imposed to be a function of the seriousness of the crimes committed. This principle cannot be applied without a metric or common denominator to assess whether two impositions of punishment are equal or unequal in severity. To identify such a metric, we must first decide whether it is wholly objective or at least partly subjective, involving an essential reference to the psychological response of whoever is punished. Even when this issue is resolved, no single measure of punishment severity may exist. Instead, all we might be able to say is that a given instance of punishment is more severe along one dimension and less severe along another, with no clear means to specify which is more or less severe, all things considered. This conclusion has potentially grave implications for the adequacy of a retributive theory of punishment that takes desert and proportionality as central. No solution is readily available without a substantial retreat from ideal theory. Perhaps the best way forward is to adopt a deflationary role for proportionality and desert rather than to abandon them altogether.
比例原则是报应性刑法哲学的基石,它要求(其他条件相同)所施加惩罚的严厉程度应与所犯罪行的严重程度相一致。如果没有一个衡量标准或公分母来评估两种惩罚的严厉程度是相等还是不相等,就不能适用这一原则。为了确定这样一个度量标准,我们必须首先确定它是完全客观的还是至少部分主观的,其中涉及到被惩罚者的心理反应。即使这个问题得到解决,也不可能存在惩罚严厉程度的单一衡量标准。相反,我们只能说,给定的惩罚在一个维度上更严重,在另一个维度上更轻,没有明确的方法来说明哪个更严重,哪个更轻。这一结论对以应得性和相称性为中心的报应性惩罚理论的充分性具有潜在的严重影响。如果不从理想理论上作出实质性的让步,就不可能轻易得到解决方案。也许最好的办法是采取适度的通货紧缩角色,而不是完全放弃它们。
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引用次数: 5
The Place of Proportionality in Penal Theory 比例论在刑罚理论中的地位
Pub Date : 2019-11-07 DOI: 10.1093/oso/9780190070595.003.0004
Matt Matravers
The idea that the severity of punishments ought to be proportionate to the seriousness of crimes is an established and central feature of much of the literature on the justification of punishment of the last several decades. Yet in practice, sentencing is an inexact science, and the project of developing metrics of both penal severity and crime seriousness is burdened by substantial theoretical difficulties. The focus on an individualistic, moralized account of criminal law exacerbates these issues both by making proportionality more central than it needs to be in penal theory and by making the metrics harder to determine. An alternative account can be premised on a view of criminal law and punishment as an institution of public policy addressed to the need to sustain the fragile achievement of the modern liberal democratic state. The questions of metrics and of proportionality appear somewhat differently in such a political theory and in ways that allow us to overcome some of the difficulties that afflict current theorizing about punishment.
惩罚的严厉程度应该与犯罪的严重程度成比例,这一观点是过去几十年来许多关于惩罚正当性的文献中确立的核心特征。然而,在实践中,量刑是一门不精确的科学,制定刑罚严重度和犯罪严重性指标的项目面临着大量的理论困难。对个人主义的、道德化的刑法解释的关注加剧了这些问题,因为它使比例性在刑法理论中更加重要,而且使衡量标准更难确定。另一种解释可以以刑法和刑罚作为公共政策制度的观点为前提,以满足维持现代自由民主国家脆弱成就的需要。尺度和比例的问题在这种政治理论中表现得有些不同,这让我们能够克服当前惩罚理论化中的一些困难。
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引用次数: 5
Weighing Relative and Absolute Proportionality in Punishment 刑罚相对比例与绝对比例的权衡
Pub Date : 2019-11-07 DOI: 10.1093/oso/9780190070595.003.0002
Göran Duus-Otterström
Conflicts between relative and absolute proportionality are an important puzzle facing retributivist thought. The question of how those conflicts should be handled has long been neglected. Relative proportionality refers to the ideal that punishments should be comparatively fair among offenders. Absolute proportionality refers to the ideal that punishments should be fitting, that is, neither too harsh nor too lenient. The two senses of proportionality contribute independently to the ideal of proportionality. Thus, it is not plausible to resolve conflicts between them by dropping one of them. Instead, the two senses of proportionality must be weighed. Recent literature about comparative and noncomparative desert provides some guidance for how the two types of proportionality should be weighed. If the two types of proportionality are of roughly equal moral weight, then our greater ability to reliably satisfy relative proportionality gives us some reason to give priority to relative proportionality.
相对比例与绝对比例的矛盾是报应主义思想面临的一个重要难题。如何处理这些冲突的问题长期以来一直被忽视。相对比例是指对违法者的惩罚应相对公平的理想。绝对比例是指惩罚应该适当的理想,即既不太严厉也不太宽大。比例的两种意义独立地促成了比例的理想。因此,通过放弃其中一个来解决它们之间的冲突是不合理的。相反,必须权衡这两种比例感。最近关于比较和非比较沙漠的文献为如何权衡这两种类型的比例性提供了一些指导。如果这两种比例原则的道德分量大致相等,那么我们更有能力可靠地满足相对比例原则,这就给了我们优先考虑相对比例原则的理由。
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引用次数: 9
The Time-Frame Challenge to Retributivism 对报复主义的时间框架挑战
Pub Date : 2019-10-24 DOI: 10.1093/oso/9780190070595.003.0008
Adam J Kolber
Retributivists believe that criminal offenders should suffer or be punished in proportion to what they morally deserve. There is, however, an often-ignored debate about whether desert should be assessed across a person’s life (the whole-life view) or only for crimes that are the subject of a current sentencing proceeding (the current-crime view). Both options are unappealing. The whole-life view may be superior on theoretical grounds but is hopelessly impractical. The current-crime view is somewhat more practical but has no solid theoretical foundation. The lack of a suitable time frame in which to assess desert represents an important challenge to retributivist conceptions of proportionality. Even uncertainty about the proper time frame may itself be detrimental to some retributivists’ hopes of justifying the incarcerative sentences of particular offenders.
报应主义认为罪犯应该受到与他们道德上应得的相称的惩罚。然而,有一个经常被忽视的争论,即是否应该在一个人的一生中(终身观点)评估沙漠,还是只对当前判决程序的主题犯罪(当前犯罪观点)进行评估。这两种选择都没有吸引力。终身观点在理论上可能更优越,但不切实际。当前的犯罪观在某种程度上更实用,但没有坚实的理论基础。缺乏一个适当的时间框架来评估沙漠,这是对报复主义的比例观念的一个重要挑战。甚至不确定适当的时间框架本身也可能不利于一些报复主义者为特定罪犯的监禁判决辩护的希望。
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引用次数: 1
Is Proportionality in Punishment Possible, and Achievable? 刑罚的相称性是否可能实现?
Pub Date : 2019-10-24 DOI: 10.1093/oso/9780190070595.003.0001
M. Tonry
Proportionality theory’s influence is waning. It is beset by challenges. Some, such as difficulties in scaling crime seriousness and punishment severity, and linking them, are primarily analytical and of interest mostly to theorists. Others, such as trade-offs between proportionality and crime prevention, relate to real world applications. The big question is whether the challenges are epiphenomenal and portend displacement of retribution as the most intellectually influential normative frame of reference for thinking about punishment. My best guess is yes. The lesser question is whether proportionality theory can provide satisfactory answers to core questions about crime seriousness, punishment severity, and links between them. Alas, it cannot. Proportionality theory does, however, support two injunctions with which most people, citizens, scholars, and professionals alike, would say they agree. First, no one should be punished more severely than he or she deserves. Second, all else being equal, people who commit more serious crimes should be punished more severely than people who commit less serious ones, and vice versa. Converting that principled agreement into real-world policies and practices is not easy. The post-Enlightenment values of fairness, equality, justice, and parsimony, however, that underlie proportionality theory, are widely accepted and are likely to remain influential even if punishment paradigms once again shift. Proportionality theory is likely to be eclipsed but not to disappear.
比例理论的影响力正在减弱。它受到挑战的困扰。有些问题,如衡量犯罪严重程度和惩罚严厉程度的困难,以及将它们联系起来的困难,主要是分析性的,主要是理论家感兴趣的。其他方面,如比例性和预防犯罪之间的权衡,则与现实世界的应用有关。最大的问题是,这些挑战是否只是现象性的,是否预示着惩罚将被取代,成为思考惩罚问题时最具智力影响力的规范性参考框架。我的猜测是肯定的。次要的问题是,比例理论是否能够为犯罪严重性、惩罚严重性以及它们之间的联系等核心问题提供满意的答案。唉,它不能。然而,比例理论确实支持两个禁令,大多数人,无论是公民、学者还是专业人士,都会说他们同意这两个禁令。首先,任何人都不应该受到超出他或她应得的惩罚。第二,在其他条件相同的情况下,犯罪较严重的人应该受到比犯罪较轻的人更严厉的惩罚,反之亦然。将原则性协议转化为现实世界的政策和实践并不容易。然而,作为比例理论基础的公平、平等、正义和节俭的后启蒙价值观被广泛接受,即使惩罚范式再次转变,它们也可能保持影响力。比例理论可能会被掩盖,但不会消失。
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引用次数: 1
The Time of Punishment 惩罚的时间
Pub Date : 2019-10-24 DOI: 10.1093/oso/9780190070595.003.0007
Julian V. Roberts
Increasingly, courts around the world are being required to sentence offenders for crimes committed years or even decades earlier. Prevailing conceptions of harm and culpability change over time. Policymakers concerned with punishment and sentencing should be sensitive to changes in the absolute and relative seriousness of crimes as well as the absolute and relative severity of punishments. Ordinal rankings of offenses have evolved over the past 50 years, as has our understanding of the impact of various sanctions. Issues raised by sentencing for crimes committed much earlier illustrate the need for a time-sensitive approach. Should defendants be sentenced according to standards prevailing at the time of the offense or according to current standards? In a just system, offenders would be judged by the standards prevailing when they took the decision to offend. A time-sensitive approach would apply the sentencing standards of the earlier time yet also consider time-relevant mitigation and aggravation in the subsequent period. The offender’s conduct and the victim’s suffering during the period are both relevant factors. Passage of time often changes our evaluation of the offense and the offender. When this occurs, the nature of the sentence should change. Likewise for long-serving prisoners, whose sentences should be reviewed after years have passed, in case they are no longer deemed proportionate.
越来越多地,世界各地的法院被要求对罪犯几年甚至几十年前犯下的罪行进行判决。关于伤害和罪责的普遍观念随着时间的推移而改变。关注刑罚和量刑的政策制定者应该对犯罪的绝对严重性和相对严重性以及刑罚的绝对严重性和相对严重性的变化保持敏感。罪行的顺序排名在过去50年中发生了变化,我们对各种制裁的影响的理解也发生了变化。对较早犯下的罪行量刑所引起的问题说明需要采取一种时间敏感的办法。被告应该按照犯罪时的普遍标准还是按照现行标准被判刑?在一个公正的系统中,罪犯将根据他们决定犯罪时的普遍标准来判断。对时间敏感的办法将适用较早时期的量刑标准,但也考虑到随后时期与时间有关的减刑和加重。在此期间,犯罪者的行为和受害者的痛苦都是相关的因素。时间的流逝往往会改变我们对罪行和罪犯的评价。当这种情况发生时,句子的性质应该改变。同样,对于长期服刑的囚犯,如果他们的判决不再被认为是相称的,那么在多年之后应该重新审查他们的判决。
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引用次数: 1
Proportionality and the Seriousness of Crimes 比例性与犯罪的严重性
Pub Date : 1900-01-01 DOI: 10.1093/oso/9780190070595.003.0003
J. Ryberg
The principle of proportionality presupposes that it is possible to make some sort of scaling of crimes in seriousness. Three theoretical challenges face the comparison of the seriousness of crimes: the “harm specification challenge,” which posits that some crimes do not in any direct way involve harm, while others involve harm to an extent that seems to reach far beyond what can plausibly be attributed to the criminal act that has caused it; the “weighing challenge,” which concerns the question of how different degrees of harm and culpability should be combined in a nonarbitrary manner into an overall assessment of the seriousness of a crime; and the “individualization challenge,” in which one and the same type of crime may affect victims very differently. Three strategies for meeting these challenges are available—that the challenges arise as a result of overtheorization, that one or more can be met by adopting a subjectivist view on criminal offending, and that they can be met by basing the determination of seriousness of standardized judgments of harm—but they are unconvincing. In the absence of proper answers, the challenges constitute a serious problem for the proportionality principle as a retributivist principle of penal distribution.
比例原则的前提是,可以对犯罪的严重程度进行某种程度的调整。犯罪严重性的比较面临着三个理论上的挑战:“伤害规范挑战”,它假定一些犯罪不以任何直接的方式涉及伤害,而另一些犯罪涉及的伤害程度似乎远远超出了可能导致其发生的犯罪行为的范围;“权衡挑战”,涉及的问题是如何以非武断的方式将不同程度的伤害和罪责结合起来,对犯罪的严重性进行全面评估;还有“个体化挑战”,同一类型的犯罪对受害者的影响可能非常不同。应对这些挑战的三种策略是可用的——挑战是过度理论化的结果,一种或多种挑战可以通过对犯罪行为采取主观主义观点来解决,一种或多种挑战可以通过对伤害的标准化判断的严重性的确定来解决——但它们都没有说服力。在没有适当答案的情况下,这些挑战构成了比例原则作为刑罚分配的报应主义原则的严重问题。
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引用次数: 8
期刊
Of One-eyed and Toothless Miscreants
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