许志强：英国工业化时期的犯罪治理研究（1780-1860）

　　摘 要

　　1780-1860年间是英国社会经历工业化转型的重要阶段。在由农业社会向工业社会递变的过程中，传统的经济结构、利益关系和道德观念都受到严重冲击。旧的社会治理体制渐趋瓦解，而新的社会机制尚未建立。在这一新旧交替的过渡时期，英国底层民众的生存处境不断恶化，犯罪与失序问题日益凸显。著名劳工史学家哈蒙德夫妇认为，社会冲突的加剧使得“这一时期的英国史读起来就像内战史”（《技术工人》）。

　　本文主要探讨英国工业化时期的犯罪问题及其治理经历，即如何由18世纪那种传统的犯罪治理模式过渡到19世纪的现代犯罪治理模式的过程。前者主要是一种地方性、自治性、威慑性的治理模式，而后者则更倾向于一种国家化、专业化、人性化的治理模式。

　　在社会转型背景下，英国的犯罪与失序问题日趋严峻。18世纪末至19世纪上半期，英国的犯罪率急剧上升，引起社会广泛忧虑。最为普遍的犯罪是盗窃、抢劫等财物犯罪；此外，暴力犯罪、民众骚动也非常多见。犯罪活动的迅速增加可归结为以下几个方面的原因：其一，底层民众获取物质资料的传统权利被剥夺，生存压力越来越大。其二，糟糕的城市环境与不良社会风气侵蚀着传统的道德观念，一些人因酗酒、赌博、追求享受而堕入犯罪。其三，旧的司法、刑罚、治安体制逐渐失效，无力应对工业化社会中出现的诸多新问题。其四，暴力犯罪的普遍则与粗野的大众文化密切相关。由失足妇女和少年犯两个特殊群体来看，他们在移民城市的过程中，传统的乡邻纽带、家庭关系和庇护体系皆被打破，在一个陌生、无常的新环境中很容易为生计问题铤而走险。故此，许多历史学家将当时的一些犯罪概括为“社会性犯罪”。我们对这一概念的理解应当结合具体历史语境，以免造成时代错位。

　　刑罚体制改革是英国统治阶层力图通过制度建设来加强犯罪治理的一个重要方面。针对犯罪形势的加剧，英国政府在18世纪主要通过加强立法、严紧刑罚的方式来抑制和威慑犯罪。不过，法律在理论和实践层面上存在很大差距。“血腥法典”虽然名声在外，但法律不彰也是一个基本事实。由于旧的审判机制、刑罚机制存在诸多缺陷，受害者更倾向于通过非正式途径来解决问题。即便犯人被绳之以法，也很难获得有效改造。自18世纪末开始，英国的政治精英们开始意识到，糟糕的刑罚体系不仅不能威慑犯罪，反而会纵容犯罪，导致大量惯犯的产生。自此，他们开始着手完善审判机制和刑罚体制。通过激烈的争论，传统的刑罚方式如公开绞刑、流放逐渐被废止，监禁作为一种新的刑罚机制和矫正手段得到普及。

　　治安体制改良是通过制度建设来加强犯罪治理的另一重要方面。英国19世纪之前的传统治安体制相对较为薄弱。治安法官既担负着司法职责，又担负着行政和其他社会职务，无暇集中精力来抑制犯罪。季审法庭和巡回法庭每年开庭次数有限，难以及时处理犯罪案件或将罪犯捉拿归案。地方秩序的维系主要依靠教区治安员，这些民选治安员毫无报酬且任期很短，往往缺乏工作积极性。英国治安体制的薄弱为社会力量的滋长创造了条件，一些社会组织通过募集资金专门致力于捉捕盗贼、起诉罪犯，在伦敦等一些大都市还出现了职业捉贼者和检举者。但改革者认为，要在新的形势下有效维系秩序还必须建立专业警察制度，伦敦率先完成改革。尽管警察制度在建立之初颇受指摘，但已然是大势所趋，不可逆转。不久，英国各郡及乡村地区也逐渐建立起专业警察队伍。专业警察规模的扩大加强了英国的执法力量，提高了犯罪治理的效率。

　　英国慈善力量在犯罪治理过程中也发挥了重要作用，并对矫正机制的改良产生积极影响。由慈善组织发起的道德改良运动、禁酒运动、免费教育运动和慈善住房运动促进了英国社会整体环境的改善。这些运动在一定程度上弥补了政府角色的缺失，在教化民众、改良风气、抑制犯罪方面功不可没。在社会整体改良的背景下，英国人看待犯罪的观念发生重要转变，监狱的矫正制度也进一步完善。在早期监狱改革的基础上，监狱管理更加重视女犯和少年犯的权利和待遇。许多监狱不仅实行隔离监禁制度，还根据犯人的性别、年龄设置了专门的矫正机制。

　　总之，英国工业化时期加强犯罪治理的过程也是对传统体制不断进行改革的过程，在此过程中，英国现代国家职能日趋完善。经过19世纪上半期的治理和改革，到19世纪后半期英国犯罪率大幅降低，社会风气也出现好转。相对安定的社会秩序为英国经济上的繁荣创造了条件。从某种意义上讲，犯罪治理是英国现代文明国家建构的重要内容，在维系秩序的方式上，英国开始由传统的惩戒机制转向福利制度建设。当然，改革过程也存在不少问题，值得反思。

　　A Study on the Crime Governing of Industrializing England

（1780-1860）

　　Abstract

　　During 1780-1860, British society was experiencing a crucial stage of industrializing transition. In the process of transformation from a rural society to an industrial society, there was a tremendous impact on the traditional economic structure, interest relationship and moral ideas. While the old social governing mechanisms gradually encountered disability, the new ones had not been established. During this period of transition, the living conditions of the lower class became deteriorating and the problems of crime and disorder became increasingly highlighted. The Hammonds, a couple of famous labor historians believed that, the intensification of social conflicts made “The history of England at the time discussed in these pages reads like a history of civil war” (The Skilled Laborer).

　　This dissertation mainly focused on the crime problem and the experience of its governing during English industrializing period, which was a process of how the traditional mode of crime governing in the 18th century passed into a modern mode of crime governing in the19th century. As a mode of governing, the former’s characteristic was local, autonomous and deterrent; the latter’s was nationalized, specialized and humanized.

　　In the context of social transformation, crime and disorder issues in England became more and more severe. From the end of the 18th century to the first half of the 19th century, crime rate had been mounting sharply and caused widespread worries. The most common was property crime such as theft, robbery and so on. Besides, violent crime and civil commotion were also very common. The rapid increase of criminal activities could be concisely attributed to the following reasons. First, the poor’s traditional rights by which they could get access to material resources were deprived of and they had to survive under increasing pressure. Second, the traditional moral values were eroded by unsound urban environment and adverse social atmosphere. Some people became depraved criminals due to indulging in alcohol, gambling and pursuit of enjoyment. Third, the old system of justice, punishment and governing gradually faced with failure and was unable to cope with new issues appearing in a new industrialized society. Fourth, violent crime was generally close to the rough popular culture. From the investigations about two special groups, the female and juvenile offenders, their traditional neighbor ties, family relations and asylum system were broken. Being trapped in a strange and uncertain new environment, it was easy for them to take a risk in order to maintain a livelihood. Therefore, many historians called some kinds of crime at that time as “social crime”, which should be understood with the special historical context so as not to be anachronistic.

　　Punishment system reform was an important aspect of crime governing by the English ruling class who tried to strengthen crime control through political system construction. For the crime situation intensified, the English government endeavored to curb and deter crime by strengthening legislation and penalty in the 18th century. However, there was a big gap between the level of English criminal laws’ theory and practice. Although the “Bloody Code” was well known, the inefficiency in administration of criminal laws was a basic fact. In view of the defects existing in the old mechanisms of trial and penalty, the victims were more likely to resolve issues through informal channels. Even if the criminals were brought to justice, it was difficult for them to experience an effective correction in prisons. Since the end of the 18th century, the English political elite began to realize that, a poor punishment system not only failed to deter crime, but also connived at illegal activities and caused a large number of recidivists. Since then, the ruling elite began to improve judicial mechanism and penalty system. After heated debates, the traditional penalties such as public hanging and transportation were abolished. As a new penalty mechanism and correction means, imprisonment became more and more universal.

　　Police system reform was another important aspect of crime governing. Before the 19th century, the old police system was relatively weak in England. The magistrates were responsible for judicial duties. At the same time, they were often busily involved administrative and other social functions. Thus, they had no time to focus on curbing crime. The quarter and assize sessions were open for only several times each year, it was hard for the justice of peace to handle criminal cases or arrest criminals in time. Local order depended mainly on the parish constables. These elected guards had no pay and assumed their post only for a short time. So they always lacked of enthusiasm. The weakness of the old policing force offered conditions for the augmentation of social organizations. They committed themselves to apprehend thieves and prosecute offenders by raising funds. In London and other big cities, there were professional thief-takers and informers. But the reformers believed, it was necessary to establish a formal police force in order to effectively maintain social order in a new situation. London was the first to have a try. Although the professional police system was criticized by many citizens during the earlier stage, it was irreversible as a general trend. Soon after, professional forces were gradually established in British counties and countryside. The expansion of professional police system strengthened the groups of law enforcement and improved the efficiency of crime governing.

　　British philanthropy played an important role in the process of crime governing. It exerted a positive influence on the improvement of the correction mechanism. The movements of moral reform, temperance, free education and model housing, which organized by the charities, promoted the social environment as a whole. To a certain extent, these movements made up for the lack of government role and contributed a lot in enlightening citizens, modifying social atmosphere and suppressing crime. Under the background of social improvement as a whole, the old values towards crime had changed. The correction system in prisons improved further. On the basis of early prison reform, the rights and treatment of young prisoners and female prisoners were paid more and more attention. Many prisons began to carry out segregated system as well as to design special correction mechanisms according to the prisoners’ gender and age.

　　To sum up, the process of strengthening mechanism of crime governing was also a course of reform of traditional system. Experiencing this course, the functions of British modern state were increasingly promoted. After reforms in the first half of 19th century, crime rate decreased substantially and social atmosphere got better in the second half of 19th century. Relatively stable social order created sound conditions for prosperity of economy. In a sense, crime governing during the industrializing era was an important content of British modern civilized state construction. In terms of the modes of maintaining social order, welfare system gradually substituted for the traditional disciplinary mechanism. Of course, there were many problems appearing in the reform process. That deserves our reflection.