法定犯研究

发布时间：2018-04-05 18:57

本文选题：法定犯　切入点：自然犯　出处：《西南财经大学》2014年硕士论文

【摘要】：法定犯是研究经济刑法学的基础理论问题。法定犯的概念,其最初由加罗法洛从犯罪学角度提出,加罗法洛的自然犯与法定犯理论对犯罪与犯罪人进行了类型划分,这一理论被后世引入刑法学中。然而以后的刑法学研究往往忽视加罗法洛的立场,加之行政犯概念在德国的产生和发展,使得法定犯,行政犯问题的研究出现一种混沌的现象。行政犯,法定犯到底为何,德、日理论争议不断,并未形成统一的看法。我国刑法理理论深受德、日理论影响,在没有深入考究的基础上,我国通说理论认为行政犯与法定犯等同,这是一种理论上的误区。本文在梳理国内外关于法定犯产生、发展的已有文献基础上,就法定犯的定义、特征和价值进行深入分析。在此基础上进一步研究法定犯的刑法立法和刑法适用问题,并对各部分的现状和存在的问题进行研究,提出可行性的建议。为此,本文主要从三个方面进行研究。第一部分是基础理论问题。首先,需要明确法定犯的内涵。一是在目前理论界对法定犯的定义基础上,明确其内涵和所指：法定犯是违反“一次法”与“二次法”的犯罪行为。对法定犯的产生和发展进行分析,明确法定犯的内涵已经发生变化,我们今天所讲的法定犯是在刑法学的意义上而言的,这与加罗法洛最初从犯罪学立场出发提出自然犯与法定犯的概念和目的已经不同,这是本文研究法定犯问题的基本立场和出发点。二是对自然犯与法定犯进行比较。在与自然犯的比较中,明确自然犯的“普常性”,即依据伦理道德就可对自然犯的危害性作出判断。而法定犯的特征是具有“超常性”,不能依据伦理道德来对其危害作出准确的判断,需要将其与法的禁止性规定结合起来才可准确认定。三是法定犯罪与行政犯罪相比,两个有明显的差异。针对我国理论界通说认为法定犯与行政犯等同的观点,本文在考究法定犯与行政犯的渊源基础上,对二者的内涵和外延进行区分,明确二者的不同。在现行法律规定下,我国法定犯的内涵和外延应当包括行政犯。其四,对目前的通说理论进行评析,由于法定犯与行政犯在形式上具有一定的相似性,且我国理论深受日本行政犯学说的影响,这是形成法定犯等同于行政犯通说的具体原因。事实上,在内涵和外延上的法定犯罪并不局限于行政犯罪的水平。其次,法定犯与自然犯相比具有“超常性”,这种“超常性”主要表现为双重违法性,特定的目的性,专业性和隐蔽性等。如果采用“普常性”的判断标准很难意识到法定犯的危害,采用“超常性”理念认识法定犯的危害是一条事半功倍的进路。法定犯罪还具有“相对性”,当法定犯罪行为由于被人们所普遍接受和认识到行为的危害性,深入人们的观念中,那么就会发生法定犯向自然犯转化的情形。最后,解析法定犯理论价值。法定犯理论在犯罪学意义上可以解释犯罪现象,这是其最初产生时的价值。在加罗法洛的理论中,法定犯罪并不是真正的犯罪,这类犯罪人也不是真正的犯罪人,所以,法定犯并不是刑法打击的重点。法定犯理论的最初价值在于其明确了刑法打击的重点,缩小了打击的犯罪面。现在,在刑法中,法定犯罪的理论价值的科学意识,得到了发展。由于法定犯的特殊性,其与“一次法”规范联系紧密,法定犯理论对刑事立法的影响突出地表现在对犯罪圈的扩张、缩小和刑罚适用方面。第二部分是法定犯的刑法立法问题。首先,法定犯在立罪时是有选择性的。法定犯立罪的选择性需要以刑法的谦抑性理念为指导,讲究一种必要性。如果非刑罚方式可以实现目的,那就没有必要使用严厉的惩罚。在法定犯立法中,如果对违反“一次法”规范的行为可以采用民事、行政等处罚措施可以达到预防目的和保护效果的话,这是没有必要被规定为犯罪,除非违反法律的行为具有严重的社会危害性是动刑的必要性。受利益集团的影响,法定犯的立罪容易被利益集团所俘获,从而制定出对利益集团有利的规范,法定犯中有许多罪名都涉及到对利益集团的保护,在法定犯的立法中又不得不考虑这一层面。其次,对德、日和英美国家的法定犯立法实践进行考察,分析利弊,借鉴域外立法实践的有利经验。通过考察发现,目前法定犯立法主要有三种形式,即刑法典形式,独立形式和分散形式。而目前我国学者所推崇的是分散形式的立法。就目前立法而言,法定犯的罪状多采用空白罪状的形式予以表述,这决定了法定犯的罪状内容具有间接性,可塑性和易变性。最后,评析法定犯的立法。针对我国采用刑法典形式统一规定犯罪与刑罚的现状,在借鉴域外立法经验的基础上,主张采用分散形式的立法模式,对法定犯进行分类规定。兼顾入罪与处刑两方面的内容,避免刑法的过度干预,适时调整犯罪圈的大小,预防犯罪扩大与非犯罪化并重发展。同时注意刑罚的轻缓化,改善重刑为主的刑罚适用体系。第三部分是法定犯的刑法适用。首先是把握法定犯入罪的法律依据是何,鉴于法定犯的双重违法性特点,在把握其入罪依据时,需要将“一次法”规范违法性与刑事违法性统一起来。违反“一次法”规范只是一般的违法行为,如果危害达到刑法所需的量,就具有刑事违法性。依据刑法规范来定量,使得违法行为从“一次法”违法上升到刑事违法,只有兼顾二者,才能准确把握法定犯入罪的法依据。其次,讨论法定犯的解释特点。由于法定犯违反的是法的禁止性规定,所以在对其进行解释时,必须依据现有法律规范进行,坚持规范主义的立场。由于法定犯的伦理色彩较弱,本身具有专业性强、隐蔽性高的特点,在对其进行解释时,就要突破”三常“理论,立足于“一次法”规范的相关规定,以作出专业、精确的解释。第三,讨论法定犯的违法性认识问题。违法性认识在法定犯问题中具有特殊的地位,直接反映处行为人的主观恶性和对结果的心理态度。法定犯的行为人在违反“一次法”规范时是有,也有可能有违法性认识的,这种认识表现出了行为人的主观恶,与主观罪过联系紧密。第四,研究法定犯罪在主客观相统一原则下的严格责任问题。严格责任不需要对行为人的主观罪过进行证明,主要是在公害犯罪中。我国刑法中是否存在严格责任,学界存有争议。在法定犯中,大多涉及对公共秩序、环境、食品等公害犯罪的规定,这些公害犯罪在实践中很难证明主观罪过的存在,如果严格坚持主客观相统一的原则,它将不可避免地导致放纵公害犯罪形势。严格责任不是不要求主观过错,只是一个程序性考虑,并不需要证明这一点,并不违反主观性与客观性的统一的原则。最后,对我国法定犯的刑法适用做—检讨。明确刑事违法与“一次法”违法行为的区分,重视“一次法”规范在入罪时的运用,正确把握法定犯罪与非罪的界限。在法定犯的主观罪过认定上,如果行为人认识到行为违反“一次法”规范,有违法性意识,并且将危害行为继续实行的话,是可以成立故意犯罪的。鉴于法定犯的双重违法性,在具体的司法实践中,行为人就有可能面临双重处罚,需要承担双重责任,这并不违反一事不再罚原则。本文的创新之处在于：其一,在理论上将法定犯与行政犯区别开来,摆脱理论上长期将法定犯与行政犯等同的错误认识,事实上二者存在很大的差异,这种差异就是二者的真正所指不同；其二,与自然犯的“普常性”对应,提出法定犯的“超常性”特点,这种“超常性”使法定犯的理论价值得以拓展,不仅局限于在犯罪学意义上解释犯罪现象,法定犯的这种特性对于把握法定犯罪行为的本质、理解其社会危害性问题上能够提供新的理解方式,也能更好地把握法定犯入罪的深层次原因,从专业性上而言,法定犯的特征能够解释许多特殊的犯罪现象,所以,在立法上和司法上,对法定犯特点的运用具有实践意义；其三,将法定犯的“超常性”特征与“一次法”规范的运用结合起来,也正是对“一次法”规范的运用才能更好的解释法定犯的入罪依据和解释特点,这是其“超常性”的体现。因此,在犯定犯的理解问题上,不能依据所谓的常识来进行理解。其四,将“俘获理论”与刑法的谦抑性结合起来,解释法定犯立罪的选择性问题,说明法定犯在立罪时对利益集团的保护,这是一些特殊类的犯罪得以在立法上存在的原因；其五,对严格责任的具体所指予以明确。英美刑法中的严格责任是不用证明犯罪人的主观罪过,我国有学者认为引入严格责任违背了主客观相统一原则,实际上,严格责任是不需要证明主观罪过,不是不要求,也不是不存在主观罪过。主观罪过是客观存在的,没有罪过的犯罪是不可能的,所以,在法定犯领域引入严格责任并无不妥。本文的不足之处在于：由于理论研究较深,所学知识有限,在对一些问题进行阐释时显得有些吃力,比如对法定犯的违法性认识问题、严格责任问题的说明,就暴露出自身理论研究水平的不足,这是需要改进的。
[Abstract]:Legal offense is the basic theory of the study of economic criminal law . The concept of legal person , which was originally introduced from the angle of criminology , the natural criminals and the theory of legal crime have classified the crime and the perpetrator by the theory of law .

On the basis of the current literature on the generation and development of legal prisoners , this paper makes an in - depth analysis on the definition , characteristics and values of legal prisoners . On the basis of this , the author further studies the legislation of the criminal law and the application of criminal law , and studies the present situation and existing problems of each part , and puts forward some feasible suggestions . To this end , the thesis mainly studies three aspects .

The first part is the basic theory problem . First , it needs to make clear the connotation of the legal person . First , it is the basic position and the starting point of the legal crime .

Second , compared with the natural crime , the legal crime is characterized by double illegality , specific purpose , professionalism and concealment . If the standard of " ordinary " is adopted , it is difficult to realize the harm of the legal person . The crime of legal crime is also " relativity " . When the legal crime is accepted and recognized by the people and deeply rooted in the people ' s concept , then the case of conversion of the legal person to the natural person will occur .

At last , the theory value of legal crime is analyzed . The legal crime theory can explain the crime phenomenon in the meaning of criminology , which is the value of the original time . In the theory of Galo ' s law , the legal crime is not the real crime , so the legal crime is not the focus of the criminal law .

The second part is the legislative problem of the criminal law of the legal person . First , the legal person is selective in the case of raising the crime . The choice of the legal person to commit the crime needs to be guided by the concept of humility of the criminal law . It is not necessary to use severe punishment . In the legislation of the statutory offense , it is not necessary to use severe punishment . In the legislation of the statutory offense , if the act of violation of the " one - time law " can adopt the civil and administrative punishment measures to achieve the prevention purpose and the protection effect , it is not necessary to use severe punishment . In the legislation of the statutory offence , it is easy to be captured by the interest group , so that the protection of the interest group is involved in the legislation of the legal person , which has to be taken into account in the legislation of the legal offence .

Secondly , we study the legislative practice of legal criminals in Germany , Japan and England and analyze the advantages and disadvantages , and draw lessons from the favorable experience of the practice of extraterritorial legislation . Through the investigation , it is found that there are three main forms , namely , the form of the criminal code , the independent form and the dispersed form .

In the end , the legislation of the legal prisoners is analyzed . On the basis of the experience of the extraterritorial legislation , the author advocates the adoption of the legislative model of dispersed form and the classification of the legal prisoners . The article avoids the excessive intervention of the criminal law , adjusts the size of the criminal circle in due time , and puts forward the development of crime prevention and expansion and non - crime . At the same time , the penalty is gentle and the punishment is improved .

The third part is the application of the criminal law of the legal person . Firstly , it is the legal basis to grasp the crime of legal crime . In view of the dual illegal character of the legal person , it is necessary to unify the illegal and criminal illegality of the " one - time law " in the light of the dual criminality requirement of the legal person . If the harm reaches the amount required by the criminal law , it has criminal illegality . According to the criminal law norms , the illegal act rises to the criminal law according to the criminal law norms . Only the two can be taken into account in order to accurately grasp the legal basis of the crime of the crime .

Secondly , the explanation of legal offense is discussed . As a result of legal offense is the prohibition of law , it must be carried out in accordance with the existing legal norms and adhere to the position of normative doctrine . As the legal person ' s ethical color is weak , it has the characteristics of strong professionalism and high concealment . When it is explained , it is necessary to break through the theory of " three times " and establish a professional and accurate explanation based on the relevant provisions of the Code .

Thirdly , we discuss the illegal cognition of the legal person . The illegal cognition has special status in the problem of legal crime , directly reflects the subjective malignant and psychological attitude towards the result . The author of the legal offense is in violation of the norms of the " one - time law " and may have illegality cognition , which shows the subjective evil of the perpetrator and is closely related to the subjective crime .

Fourthly , we should study the strict liability of legal crime under the unified principle of subjective and objective . The strict liability does not need to prove the subjective crime of the perpetrator , mainly in the public injury crime . In fact , it is difficult to prove the existence of subjective crime in our country ' s criminal law . In practice , it will inevitably lead to the situation of public order , environment and food .

In the end , the author makes a review on the application of the criminal law of the legal person in our country . It is clear that the distinction between the criminal law and the illegal act of " one law " should be made , and the limit of the crime and the non - crime of the statutory crime should be correctly grasped . In view of the dual criminality of the legal person , it is possible to set up the intentional crime . In view of the dual criminality of the legal person , in the specific judicial practice , the actor may face double punishment , and it is necessary to bear the double responsibility , which is not a violation of the principle of impunity .

The innovation of this paper is : Firstly , the legal offense is distinguished from the administrative offence in the theory , and the erroneous understanding between the legal person and the administrative offence in the theory is free from the theory . In fact , there is a great difference between them , and the difference is the real difference between them ;
Second , corresponding to the " ordinary character " of the natural crime , the author puts forward the characteristics of the " supernatural " of the legal crime , which makes the theoretical value of the legal crime expand , not only to explain the crime phenomenon in the meaning of criminology , but also to grasp the deep reason of the legal crime .
Third , combining the " supernormal " character of the legal person and the application of the " primary law " norm , it is also the application of the " primary law " norm in order to better explain the crime of the crime of entering the crime and the interpretation characteristic , which is the reflection of its " supernatural " . Therefore , the " capture theory " and the modesty of the criminal law can not be interpreted according to the so - called common sense .
The strict liability in Anglo - American criminal law does not need to prove the subjective crime of the perpetrator . In fact , the strict liability is not necessary to prove the subjective crime , nor does it require , nor does not there be subjective crime . The subjective crime is objective , and there is no crime that is impossible . Therefore , it is impossible to introduce strict liability in the field of legal offense .

The deficiency of this paper is that because the theory research is deeper , the knowledge is limited , it appears some draft when the interpretation of some problems , such as the illegal cognition of the legal person and the explanation of the strict liability , which exposes the shortcomings of the theoretical research level , which needs to be improved .

【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D914

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