上级责任理论中“上下级关系”司法认定标准研究

发布时间：2018-07-05 09:09

本文选题：上下级关系 + 司法认定标准　；参考：《吉林大学》2017年硕士论文

【摘要】：上级责任中的“上下级关系”是上级责任中的基础性要件,是上级责任得以成立的前提。在国际司法实践当中,对于“上下级关系”的讨论从未停歇。与之对应的认定标准也是纷繁复杂,自始至终没有一个统一的确定性标准加以适用。本文从上级的分类和职责类型性出发,论证上级的应有内涵。在论证“上下级关系”应然的认定标准时,对已经出现和使用过的认定标准进行一定的梳理。指出对于“上下级关系”的认定,需要从对控制,有效指挥和控制、有效管辖和控制,实质性阻止或惩罚犯罪行为的能力三个方面进行展开,从而真正明确把握“上下级关系”的应有之义。“上下级关系”是上级责任的客观基础,也是上级责任成立的前提性要件,在上级责任理论中处于核心的地位。对于“上下级关系”的认定,需要在明确上级概念的前提之下,对相应的核心关键词进行把握。对于控制以及有效指挥和控制、有效管辖和控制而言,应当根据上级职责的类型性,从而确定不同的标准进行相应地要求。军事指挥官类,更应注重军事系统本身的纪律性与组织性。而其他上级,则应强调相应的组织管理制度。对于实质性阻止或惩罚犯罪行为的能力,应当从有效性的要求进行把握。这种能力不仅应当存在,同时权力的行使能够达到明显有效的效果。最后,“上下级关系”司法认定标准应当落实到司法适用过程中。设计有针对性的证据规则和证明责任的分配制度,加强国际间的司法协助,使得“上下级关系”的认定有较为充足的证据支持。同时指出,“权力外观”非“有效性控制”标准的必备要件,职能类型也不影响“有效性控制”标准的运用。
[Abstract]:The relationship between superior and subordinate in superior responsibility is the basic element of superior responsibility and the premise of the establishment of superior responsibility. In international judicial practice, the discussion of "superior and subordinate relationship" never stops. The corresponding criteria are complex, and there is no uniform standard of certainty to be applied from the beginning to the end. Starting from the classification and duty type of the superior, this paper demonstrates the connotation of the superior. In the argumentation of "superior-subordinate relationship" should be the identification standard, the existing and used standards are combed. It is pointed out that the identification of "superior and subordinate relationship" should be carried out from three aspects: control, effective command and control, effective jurisdiction and control, and the ability to substantially prevent or punish criminal acts. In order to truly grasp the "superior and subordinate relationship" should be the meaning. The relationship between superior and subordinate is the objective basis of superior responsibility and the prerequisite of the establishment of superior responsibility, which is the core position in the theory of superior responsibility. To identify the relationship between superior and subordinate, we need to grasp the corresponding key words on the premise of clarifying the concept of superior. For control, effective command and control, effective jurisdiction and control, according to the type of superior duties, different standards should be determined accordingly. Military commanders should pay more attention to the discipline and organization of the military system itself. And other superiors, should emphasize the corresponding organization management system. The ability to substantially prevent or punish criminal acts should be grasped from the requirements of effectiveness. This ability should not only exist, but also the exercise of power can achieve a clear and effective effect. Finally, the judicial standard of superior-subordinate relationship should be implemented in the process of judicial application. To design the rules of evidence and the distribution system of burden of proof, strengthen the international judicial assistance, and make the confirmation of "superior and subordinate relationship" to be supported by sufficient evidence. At the same time, it is pointed out that "appearance of power" is not a necessary element of "effectiveness control" standard, and the type of function does not affect the application of "effectiveness control" standard.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D997.9

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