国 际 法 上 的 废 除 死 刑
中国政法大学
郑圣果

内容摘要：尊重、保护生命权已然成为人类文明社会的共识,并构成了国际人权公约一项根本内容。二战后国际法在死刑问题上的原则和趋势是严格限制并逐步、最终废除死刑，国际刑事司法机构已排除了死刑的适用。我国已签署《公民权利和政治权利公约》，死刑立法的调整是保障人权、履行公约义务和与国际立法接轨的现实需要。
关键词：死刑、废除、人权、公约、国际刑事司法机构、国内立法

一、 引言
自贝卡利亚1764年在其著名的《论犯罪与刑罚》一书中首倡废除死刑以来，在该问题上的争论一直历久不息。随着人类文明和刑法理论的发展，二战后对人权状况重新审视的热潮再一次唤起国际社会对以剥夺生命为内容的死刑的广泛关注——“废除死刑的运动与人权运动密不可分” 。本文以国际人权法为主要视角，考察和总结了几十年来国际法在死刑问题上的发展历史与趋势，结合国际司法机构的相关实践，对我国的相关刑事立法提出一些建议，以期真正实现和落实一系列人权公约所孜孜以求的“人的固有尊严和权利与自由的普遍尊重和遵行”。

二、 国际人权法对死刑的基本态度:从限制到废除死刑

1、 相关国际人权文件
（1）、一般性国际文件中的重要规定
现代取消死刑运动肇始于《世界人权宣言》。宣言在其第三条庄严宣告：“人人有权享有生命，自由和人身安全”。但由于当时两大审判刚毕，绝大部分国家的法律中仍保留死刑，宣言并未堂而皇之地提出废除死刑，但其隐含的目的无疑是最终消灭死刑，保障人的固有生命权 。
18年后，联合国大会全票通过的《公民权利和政治权利国际公约》(以下简称《公约》) 在第6条第2款明确规定:“未废除死刑的国家,判处死刑只能是作为对最严重的罪行的惩罚……”，第6款又言:“本公约的任何缔约国不得援引本条的任何部分来推迟或阻止死刑的废除。”公约是对人权宣言精神的一秉继承和发展，阐明了两个关键概念：一是，死刑，尽管没被禁止，但只能适用于最严重的罪行；二是，严禁任意剥夺人的生命，废除死刑是国际人权法的目标 。
伴随着人类文明、刑法理论和各国实践的发展，其它一些较具体的国际文件也纷纷在其规制范围内对此作进一步的规定。如近年来影响最为广泛的、加入国众多的《 联合国儿童权利公约》，也禁止对未成年人适用死刑。其第37条第1款明文规定：“对未满18岁的人所犯罪行不得判以死刑或无释放可能的无期徒刑。”
这些一般性国际文件的特点是：已经蕴涵或提出了废除死刑的指导思想和目标；大都规定在总则部分，还未形成独立的专门性规范；特别强调除了最严重的罪行以外，禁止适用死刑，对某些特定人群则完全排除了剥夺生命的可能。
（2）、规范死刑的专门性国际文件
联合国经社理事会于1984年5月25日批准的《关于保护死刑犯权利的保障措施》（以下简称《保障措施》）和1989年12月15日大会通过的《旨在废除死刑的〈公民权利和政治权利国际公约〉第二任择议定书》（以下简称《第二议定书》）这2个专门性文件,不仅在理论上对《公约》做了进一步澄清，而且确立了一系列死刑适用的国际标准，反映了国际社会关于生命权特殊保护观念的牢固树立。
《保障措施》第1条规定:“在没有废除死刑的国家,只有最严重的罪行可判处死刑,应理解为死刑的范围只限于对蓄意而结果为害命或其他极端严重后果的罪行”， 从主观恶意和结果致命两方面限定了《公约》所言的最严重罪行。接下来的规定则从程序上保证了不得滥用死刑。如第2条的溯及力的规定“可按犯罪后处罚较轻的刑罚惩罚”，第3条的“新生儿的母亲和精神病患者也不得执行死刑”等。相关一系列更为严格的规定,为逐步废除死刑做了制度上的准备。
《第二议定书》是世界范围内第一个旨在废除死刑的专门人权法律文件，更加具体、明确和具有针对性。它不仅在其前言中强调《公约》第6条“以强烈的措辞暗示废除死刑是可取的”，而且规定“缔约国不能在管辖范围内对任何人（包括被判处死刑的人）执行死刑”，除了“战时宣判的严重军事犯罪，任何保留都是不允许的”，希望各缔约国“从此承担起废除死刑的国际义务”。据统计，到2004年6月9日为止，已有50个国家批准了该议定书 。从上述这2个专门性文件中，我们可以清楚的看到联合国废除死刑的倾向性态度。
（3）、区际人权公约
区域性人权公约的态度是相近的甚至可以说走的更为前列。
欧洲理事会1950年的《欧洲人权公约》第2条规定，任何人的生存权应受到法律的保护，但法院依法对他的罪行定罪后而执行判决时，不在此限。1982年通过的第6号议定书规定，除战争中或迫在眉睫的战争威胁以外，应废除死刑，即和平时期无死刑。拥有44个成员国的欧洲理事会更在2002年通过第13号议定书，规定缔约国在一切情况下无条件地废除死刑，截止2002年5月3日，已经有36个成员国签署了该议定书 。
《美洲人权公约》的相关条款则对《公约》关于死刑的条件做了更为严格的限制，主要内容体现在第4条：其第3款“已经废除死刑的国家不得恢复死刑” ；第4款“极刑不适用于政治罪或相关的普通刑事罪” ；第5款“对犯罪时不满18周岁的不得判处死刑，而且对超过70岁的老人及孕妇不得执行死刑”。1990年又通过了《〈美洲人权公约〉旨在废除死刑的议定书》，号召当事国废止死刑的适用，禁止缔约国于和平时期在其境内实施死刑。截止1998年7月，4个国家批准，另有3个国家签署了该议定书 。

2、人权文件采取的相关措施
国际人权法不仅树立起了废除死刑的目标，还进一步规定了相关的措施，力求在目前尚无法完全禁止死刑的情况下，把死刑的适用控制在最低限度。这些措施中较为重要的有：
（1） 、明示绝对不适用领域
现存可获的国际人权文件完全禁止对未成年人和孕妇适用死刑，可以说这已经成为国际习惯法的一个准则。另外，已经或正在加入废除死刑行列的其他人群还包括精神失常者、新生儿母亲和智力低下者。有些国际文件也考虑对死刑年龄的上限加以限制。
（2） 、严格限制可以实行的领域
在不能完全废除死刑的情况下，《公约》第6条第2款规定“在未废除死刑的国家，判处死刑只能是作为对最严重的罪行的惩罚……”。对最严重罪行的理解，根据人权事务委员会和其他一些国际条约的评注和实践，一般只能作为非常措施，甚至还提出了具体目录如变节，通奸，挪用公款和盗窃，将这些一般性质的犯罪排除在外。
（3） 、利用豁免制度避免适用死刑
《公约》第6条第4款及保障措施第7条均作了“被判处死刑的人有权要求赦免或减刑。对一切判处死刑的案件均得给予大赦、特赦或减刑”的相似规定。这在保留死刑的国家可以成为在司法实践减少死刑适用的有效措施，从而逐步向最终废除死刑过渡。
（4） 、程序保障
鉴于程序规范是减少死刑适用的重要法律保障，可以有效地遏制死刑适用的扩大，几乎每一相关文件均对此作了具体、细致、严格的规定。包括诸如公平独立的审判、证据认定的严格要求、硬性上诉权、执行的方式等。

三、国际人权组织、机构的决议、文件

诸多国际组织除了参与、起草、制订人权文件以外，还积极运用他们特殊的资源和影响力，在推动废止死刑的国际人权运动中发挥着举足轻重的作用。这里举3个分别在联合国框架下、条约机构下及非政府组织体系内较具代表性的组织以明之。
1、 联合国经社理事会
作为联合国框架下最活跃的人权机构，理事会不仅一手主持通过了《保障措施》，还频频发布相关的一系列决议，关注、促成和监督成员国在死刑领域的重要行动。如该会秘书长关于死刑的第六个五年报告中就列举并谴责了对不属于最严重的犯罪适用死刑的异常情况：毒品犯罪、强奸罪、绑架罪、经济犯罪、职务犯罪、宗教犯罪等。
2、 人权事务委员会
人权事务委员会可以说是现存的条约机构中最重要的一个，在实践中它通过一般性解释意见对缔约国的行为不断地加以引导和调整。委员会在对死刑问题的第6条上做出的2个一般性意见（也是唯一被做出2次意见的条款）中指出，无论如何，他们有义务把死刑的适用范围局限于“最严重的罪行” ；本条款的语气强烈暗示，各国宜于废除死刑。这意味着死刑应当是十分特殊的措施 ，尽管不能列出一个穷尽的最严重犯罪的清单，但仍对将死刑适用于模糊的、笼统的、经济的和非暴力的犯罪的担心 。
3、 大赫国际
1961年成立的大赫国际在推动废除死刑方面的努力与成就可说是各类相关人权组织中的佼佼者。每年定期出版《大赦国际报告》和《死刑新闻》，积累了世界死刑发展状况的第一手资料，联合其他人权组织向联合国大会提交声明，呼吁和敦请所有政府停止死刑的使用。该组织及其他人权NGO的积极和卓有成效的活动，充分体现了国际社会对废除死刑制度的决心和共识，给各国造成了舆论压力，于相关国际人权文件的产生和通过的影响不可谓不深。

四、相关司法实践

中国保险监督管理委员会


中华人民共和国外资保险公司管理条例实施细则(英文版)


Detailed Rules for Implementation of Regulations of the People’s Republic of China on Administration of Foreign-funded Insurance Companies

Article 1
These Rules are formulated in accordance with the Insurance Law of the People’s Republic of China and the Regulations of the People’s Republic of China on Administration of Foreign-funded Insurance Companies (hereinafter referred to as “the Regulations”).

Article 2
A foreign insurance company under the Regulations refers to an insurance company registered and conducting insurance business outside the territory of China.

Article 3
The proportion of foreign equity in an insurance company incorporated within the territory of China by a foreign insurance company with a Chinese company or enterprise that conducts life insurance business (hereinafter referred to as “joint-equity life insurance company”) shall be no more than 50% of the total equity of the company.

The shares of a joint-equity life insurance company directly or indirectly held by a foreign insurance company shall not exceed the limit of proportion as stipulated in the preceding paragraph.

Article 4
For a foreign-funded insurance company established within the territory of China before the Regulations became effective with registered capital or working capital of less than RMB 200 million or an equivalent amount in a freely convertible currency, its registered capital or working capital shall be fully paid within 2 years after these Rules become effective. For those who fail to fully pay the registered capital or working capital, China Insurance Regulatory Commission shall not grant approval to their application for operation of new business.

Article 5
The registered capital or working capital of a foreign-funded insurance company shall be the actually paid-up currency.

Article 6
After establishing a branch, the foreign insurance company shall not withdraw the working capital in any form.

Article 7
The period of operation of insurance business being more than 30 years, which is mentioned in Item 1 of Article 8 of the Regulations, means that the foreign insurance company shall have continuously been running insurance business for more than 30 years, and the foreign insurance company’s acquisition of another institution or merger with another institution to establish a new insurance company, shall not affect the calculation of the business operation period.

The business operation period of a subsidiary of a foreign insurance company shall start from the date of establishment of the subsidiary.

Article 8
The representative office mentioned in Item 2 of Article 8 of the Regulations refers to the following representative offices approved by China Insurance Regulatory Commission (hereinafter referred to as “CIRC”):

(1) The representative office established by a foreign insurance company;
(2) The representative office established by a group to which a foreign insurance company belongs.

Article 9
The representative office established by a foreign insurance company or its group to which the insurance company belongs is only applicable to application for establishing one foreign-funded insurance company.

Article 10
The end of the year prior to the application for the establishment mentioned in Item 3 of Article 8 of the Regulations refers to the end of the previous fiscal year before the date of application.

Article 11
The other prudential requirements mentioned in Item 7 of Article 8 of the Regulations shall at least include the following requirements:

(1) Reasonable structure for corporate governance;
(2) Stable and sound risk control system;
(3) Sound internal control system;
(4) Effective Management Information System;
(5) Good operating performance without records of serious violation of laws and regulations.

Article 12
Where the applicant fails to provide the business license (duplicate) as stipulated in Item 2 of Article 9 of the Regulations, the applicant may provide a valid copy of the business license or a written certificate issued by the relevant authority evidencing the applicant’s eligibility to conduct insurance business.

Article 13
The certificate mentioned in Item 2 of Article 9 of the Regulations, which is issued by the relevant authority of the country or region where the foreign applicant is located to evidence the applicant’s solvency, shall include one of the following contents:

(1) Certifying that the applicant complies with the regulatory requirements of the country or region on solvency in the previous fiscal year as of the date when the relevant authority issues the certificate;
(2) Certifying that the applicant has no record of incompliance with the standard of the country or region on solvency in the previous fiscal year as of the date when the relevant authority issues the certificate.

Article 14
The Letter of Comments issued by the relevant authority of the country or region where the foreign applicant is located concerning the applicant’s application, which is mentioned in Item 2 of Article 9 of the Regulations, shall include the following contents:

(1) Whether the application for the establishment of an insurance institution in China complies with the laws and rules of the applicant’s country or region;
(2) Whether the authority approves the applicant’s application;
(3) The record of the punishment imposed on the applicant in the last three years prior to the date of issuance of the Letter of Comments by the relevant authority;

Article 15
The annual report mentioned in Item 3 of Article 9 of the Regulations shall include the Balance Sheets, Statements of Profit and Loss, and Cash Flow Statements of the applicant in the last three fiscal years prior to the date of application.

The annual report mentioned in the preceding paragraph shall be attached with the auditor’s report issued by an accounting or auditing firm authorized by the country or region where the applicant is located.

Article 16
Except otherwise specified by the laws or administrative regulations or approved by the State Council, the Chinese applicant mentioned in Item 4 of Article 9 of the Regulations shall satisfy the following requirements:

(1) The companies or enterprises with the capacity of legal person registered at the administration department of industry and commerce, excluding commercial banks, securities organizations and the foreign-funded enterprises specified in the Law of the People’s Republic of China on Foreign-funded Enterprises;
(2) Being approved by the administrative authority of the enterprise or its shareholders’ meeting;
(3) Good operating performance and in the previous fiscal year as of the application date being profitable;
(4) Making the investment with self-owned capital from legitimate sources.

Article 17
The relevant documents to be submitted by a Chinese applicant for the establishment of a joint-equity insurance company shall include business license (duplicate), articles of association, business structure, operation history, annual report and punishment record for the last three years.

Article 18
The person in charge of the preparation of a foreign-funded insurance company shall satisfy the following requirements:

(1) Academic degree above junior college level;
(2) Insurance or related work experience for over 2 years;
(3) No illegal and criminal record.

Article 19
Where an applicant applies for the extension of the preparation period according to the provisions specified in Article 11 of the Regulations, he shall, within 1 month before expiration of the original preparation period, submit a written application to CIRC and explain the reason.

Article 20
The preparation report mentioned in Item 1 of Article 11 of the Regulations shall summarize all the issues stated in other paragraphs under this article.

Article 21
The statutory capital verification organization mentioned in Item 4 of Article 11 of the Regulations refers to an accounting firm complying with the requirements of CIRC.

Article 22
The capital verification certificate mentioned in Item 4 of Article 11 of the Regulations shall include the following contents:

(1) A Capital Verification Report issued by a statutory capital verification organization;
(2) A copy of the original bank receipt voucher evidencing payment of the registered capital or working capital.

Article 23
The main person-in-charge mentioned in Item 5 of Article 11 of the Regulations refers to the general manager of the proposed branch of a foreign insurance company.

The letter of attorney issued to the person to be appointed as the main person-in-charge of the proposed branch of the foreign insurance company, refers to the letter of attorney issued to the person to be appointed as the general manager of the proposed branch of the foreign insurance company, which is signed by the Chairman of the Board of Directors or General Manager of the foreign insurance company.

The letter of attorney shall explicitly specify the scope of authorization granted to the authorized person.

Article 24
The senior managerial personnel of the proposed company mentioned in Item 6 of Article 11 of the Regulations shall have the qualifications specified by CIRC.

The senior managerial personnel of the branch of a foreign insurance company shall have the qualifications equal to those required for the counterparts in the headquarters of an insurance company.

Article 25
The materials regarding business place of the proposed company mentioned in Item 9 of Article 11 of the Regulations refers to the supporting documents evidencing the ownership or use-right of the business place.

The materials concerning other facilities related to the business mentioned in Item 9 of Article 11 of the Regulations shall include at least information about configuration of computer facilities, network construction and information management system.

Article 26
The following documents or materials to be provided by a foreign insurance company for an application for the establishment of a foreign-funded insurance company according to the requirements specified in the Regulations and these Rules, shall be notarized by a public notary legally established in the local country or region, or verified by the embassy or consulate of China in that country:

(1) The business license (duplicate) or valid copy of the business license;
(2) A letter of attorney issued to the proposed person-in-charge of the branch of a foreign insurance company;
(3) A letter of guarantee of a foreign insurance company to undertake the obligations of tax and duties payment and debts repayment on behalf of its branch in China.

Article 27
A foreign-funded insurance company may apply for establishing branches as needed according to business development.

The branch of a foreign insurance company can only conduct business within the territory of the province, autonomous region or municipality where the branch is located. Where the joint-equity insurance company or wholly-owned insurance company is prepared to conduct business in any other province, autonomous region or municipality outside its locality, it shall establish a branch in the place concerned.

A foreign insurance company may, according to actual circumstances, apply for establishing a central sub-branch or sub-branch, operating office or marketing service office. The establishment and management of marketing service offices shall be subject to other applicable regulations of CIRC, if any.

Article 28
Where a joint-equity or wholly-owned insurance company which has been established with a minimum registered capital of RMB200 million, applies for the first time for the establishment of a branch in every other province, autonomous region, or municipality outside its locality, it shall increase the registered capital by no less than RMB20 million.

By the time of applying for the establishment of a branch, if the registered capital of a joint-equity or wholly-owned insurance company has reached the amount as stipulated in the preceding paragraph, the company will no longer be required to increase its registered capital.

Where the registered capital of a joint-equity or wholly-owned insurance company has reached RMB500 million and where the solvency of the company is adequate, no increase of registered capital is required when the company applies for the establishment of a branch.

Article 29
A foreign-funded insurance company that applies for the establishment of a branch shall satisfy the following requirements:

(1) Its solvency margin shall comply with relevant regulations specified by CIRC.
(2) Its internal control system is sound and there is no record of punishment; where the operating period exceeds 2 years, there is no record of punishment in the most recent 2 years;
(3) It has senior managerial personnel of the branch with the relevant qualifications specified by CIRC.

Article 30
A foreign-funded insurance company that applies for the establishment of a branch shall submit an application to CIRC and provide the following documents in triplicate:

(1) A letter of application for establishment;
(2) Audited solvency status reports as of the end of the previous fiscal year and as of the end of the last quarter;
(3) A three-year business development plan and market analysis for the proposed branch;
(4) Resume(s) of the person(s)-in-charge of the organization preparation and relevant certificates.

Article 31
CIRC shall examine the application and decide, within 20 days after receiving the complete application documents, whether or not to grant approval; in case no approval is granted, CIRC shall inform the applicant in writing of the decision and explain the reason.

After approval is granted, the applicant shall complete the preparation within 6 months. Where the applicant fails to do so within the prescribed time limit, if the reason is justified and subject to approval by CIRC, the period may be extended for 3 months. Where the preparation is still not completed within the extended period, the original approval document issued by CIRC becomes void automatically.

The preparing body may not be engaged in any commercial activities concerning insurance.

Article 32
After the preparation is completed, the applicant shall apply to CIRC for opening business and submit the following documents in triplicate:

(1) A letter of application for opening business;
(2) A progress report of the preparation work;
(3) Resume(s) of senior managerial personnel to be appointed and relevant certificates;
(4) Relevant certificates of ownership or use-right of the office for the proposed branch, information regarding the configuration of computer facilities, network construction, and internal structure and staff.

Article 33
CIRC shall decide, within 20 days after receiving the complete application documents for opening business, whether or not to grant approval; in case the application is approved, a license for conducting insurance business shall be issued to the branch; in case the application is disapproved, CIRC shall inform the applicant in writing of the decision and explain the reason.

The branch with approval for opening business shall go through the formalities of business registration at the administration department of industry and commerce by presenting the approval document and the license for conducting insurance business and accordingly obtain business license from the authority before opening business.

Article 34
Unless otherwise stipulated in these Rules, the examination and administration of the qualifications of the senior managerial personnel of a foreign-funded insurance company and its branches shall be subject to the relevant regulations of CIRC.

Article 35
Where a joint-equity or wholly-owned property insurance company applies for dissolution when it splits, or merges with another one, or dissolves pursuant to the articles of association, such dissolution must be subject to approval of CIRC and the following documents shall be submitted:

(1) A letter of application signed by the Chairman of the Board of Directors of the company;
(2) The resolution of the meeting of shareholders;
(3) Composition of the proposed liquidation group and a plan for liquidation;
(4) A proposal for solving the outstanding liabilities.

Article 36
The joint-equity or wholly-owned property insurance company whose dissolution has been approved by CIRC shall, from the date of receiving the approval document from CIRC, terminate any new business activities and hand in the license for conducting insurance business to CIRC and form a liquidation group within 15 days.

Article 37
The liquidation group shall, within 5 days after its establishment, inform the relevant authorities concerning the administration departments of industry and commerce, tax, labor and social security in writing of the liquidation procedure and conditions.

Article 38
The liquidation group shall, within 1 month from the date of establishment, appoint an accounting firm pursuant to the requirements of CIRC to conduct auditing, and shall deliver an auditor’s report to CIRC within three months from the date of appointment.

Article 39
The liquidation group shall submit the latest liability liquidation and assets disposal report to CIRC before the tenth date of each month.

Article 40
The newspaper mentioned in Article 28 of the Regulations refers to the newspaper specified by CIRC.

Article 41
The foreign property insurance company that applies for cancellation of its branch in China shall submit an application to CIRC for approval and present the following materials:

(1) A letter of application signed by the Board of Directors or General Manager of the foreign property insurance company;
(2) Composition of the proposed liquidation group and a plan for liquidation;
(3) A proposal for solving the outstanding liabilities.

The procedures of application for dissolution of a joint-equity or foreign-funded property insurance company specified in the Regulations and these Rules shall be applicable to the specific procedures for the foreign property insurance company to cancel its branch in China.

Where the head office of a branch of a foreign property insurance company is dissolved or cancelled or declared bankruptcy according to law, the liquidation and liability disposal of the branch of such foreign property insurance company shall comply with the regulations concerning dissolution of the joint-equity or wholly-owned property insurance company stipulated in Article 30 of the Regulations and these Rules.

Article 42
The foreign-funded insurance company in violation of the relevant provisions of these Rules shall be subject to punishment by CIRC according to the provisions specified in Insurance Law, the Regulations and other relevant laws and regulations.

Article 43
The documents, materials and written reports to be submitted or reported under the Regulations and these Rules shall be prepared in Chinese version, and the Chinese version shall prevail in the event of discrepancy between the Chinese version and the foreign language version.

Article 44
The period specified in the Regulations and these Rules shall start from the date when the relevant materials are delivered to CIRC. If the application documents provided by the applicant is incomplete and further delivery is needed, the period shall start from the date when the supplementary materials are delivered to CIRC.

The period concerning approval and report delivery prescribed in these Rules refers to working days.

Article 45
The issues concerning administration of a foreign-funded insurance company that are not specified in the Regulations or these Rules shall be governed by the applicable laws, administrative rules and relevant regulations of CIRC.

The establishment of a foreign-funded reinsurance company shall comply with the Regulations on Establishment of Reinsurance Companies. The issues not specified in the Regulations on Establishment of Reinsurance Companies shall be governed by these Rules.

Article 46
These Rules shall, mutatis mutandis, apply to insurance companies that are established and operated in Chinese mainland by insurance companies from Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan region. The issues otherwise stipulated in the laws, administrative rules or administrative protocols shall be governed by the stipulations therein.

Article 47
These Rules shall come into effect as of June 15, 2004.