我国刑法第13条“但书”的理解与适用研究

发布时间：2018-09-08 15:57

【摘要】：刑法学界一般认为我国刑法第13条是我国刑法规定的犯罪概念，即什么是犯罪。细究之，这一有关犯罪概念的规定实际上包含了两部分内容：前半段主要阐明什么是犯罪，后半段主要阐明什么不是犯罪，其中后半段对于什么不是犯罪的规定，刑法理论上一般称为“但书”或曰“但书”规定（如无特别说明，下文中的“但书”皆指我国刑法第13条中的但书）。针对我国刑法第13条“但书”规定的理解与适用，在刑法理论界和司法实务界都产生了非常大的争议，与此同时也加深了对该条文规定的深入思考和研究，但是在不少问题上尚未达成一致意见。针对此问题，笔者不揣粗陋，拟深入考察“但书”规定的“前世今生”，从历史沿革的角度探寻这种立法表述的理论基础和思想渊源，并在此基础上梳理和明确“但书”规定的应有内涵，进而明确其与犯罪概念、犯罪构成等刑法重要理论的关系，以明晰“但书”规定的的性质定位和基本功能。在阐明理论问题的同时，论证和阐明“但书”规定司法适用的必要性与可行性，并进一步从程序和实体两个维度和层面构建具体的司法适用规则和路径，以期对相关刑法理论研究和司法适用有所裨益。具体而言，依循“但书”规定的历史沿革，“但书”规定的存在具有历史偶然性和现实必然性，前者在于立法背景和社会环境、政治气候的影响，后者在于我国刑事司法实践惩防犯罪的经验总结和理论升华以及划分部门法界限，保障我国法律体系完整、统一、协调的需要。与此同时，“但书”规定的存在还受到我国传统法律文化、法律思维和根深蒂固的“法不责众”社会观念的影响。“但书”规定是犯罪概念的重要组成部分，而且是不可分割的必要组成部分。对于犯罪概念的理解不能停留在规定什么是犯罪的层面，更应当关注到什么不是犯罪的方面；不仅要重视入罪的必要性和重要性，更应当考虑到出罪的可能性和可行性；不仅应当包含对于成立犯罪的“质”的规定性，也应当包含对于成立犯罪“量”的规定性。犯罪概念应当是成立犯罪“质”与“量”的统一，而作为犯罪概念重要组成部分的“但书”规定也应当是不成立犯罪“质”与“量”的统一，即作为“量”的“情节显著轻微”规定与作为“质”的“危害不大”规定的“统一”——“不认为是犯罪”，即“不是犯罪”。“但书”规定的存在并没有破坏或有损于犯罪构成作为认定犯罪成立的唯一规格和标准，但前提是现有刑法理论对于犯罪构成的认识和研究需要修正和完善，即必须建构在犯罪构成是一个真正独立、全面、完整的认定是否成立犯罪的根本标准和唯一标准，亦即犯罪构成必须兼顾实现“入罪”和“出罪”的双向机制与功能，防止只能“进”，不能“出”，以此真正确立“但书”规定在犯罪构成中的定位——承载出罪功能的出罪机制。如此，在结合理论研究革新和司法实践需要的基础上论证“但书”规定司法适用的必要性与可行性，并从程序法和实体法两个层面深入探究其适用的具体路径，即在刑事诉讼程序上，充分发挥侦查机关、检察机关、审判机关各自所处诉讼阶段的优势与长处，建立和完善过滤机制，以实现出罪的可能性；在实体法层面，要明确但书规定的司法适用效力，确立其可以作为判决引用的条文依据；完善但书规定的司法适用原则和规则，消减模糊性，构建确定性；赋予司法者一定程度和范围的自由裁量权以实现个案正义，从而妥善处理适用原则与规则在个案中的矛盾与冲突，确保刑法体系完整、统一和司法适用的协调、公平与公正。如此，以真正实现“但书”规定出罪功能的可行性路径，促成立法与司法的良性互动，推动刑法理论体系的革新与发展、司法实践的成熟与完善。
[Abstract]:Criminal law scholars generally believe that Article 13 of the Criminal Law of China is the concept of crime stipulated in the Criminal Law of China, that is, what is a crime. Detailed investigation, the relevant provisions of the concept of crime actually contains two parts: the first half mainly clarifies what is a crime, the second half mainly clarifies what is not a crime, and the second half of the paragraph for what is not a crime. Provisions, the criminal law generally known as the "proviso" or "proviso" provisions (if no special explanation, the following "proviso" refers to the proviso in Article 13 of the Criminal Law of China). China's Criminal Law Article 13 "proviso" for the understanding and application of the provisions, the theory of criminal law and judicial practice have produced a very big controversy, and at the same time at the same time. In view of this problem, the author intends to make an in-depth study of the "past and present life" stipulated in the "proviso" and explore the theoretical basis and ideological origin of this legislative expression from the perspective of historical evolution. To clarify the connotation of the Provisions and the relationship between the Provisions and the important theories of criminal law, such as the concept of crime and the constitution of crime, so as to clarify the nature, orientation and basic functions of the Provisions. And the entity of the two dimensions and levels to build specific rules and path of judicial application, with a view to the relevant theoretical study of criminal law and judicial application benefit.
Specifically speaking, following the historical evolution of the Provisions of the Provisions, the existence of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisi At the same time, the existence of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the People's Republic of China is also influenced by the traditional legal culture, legal The understanding of the concept should not stay at the level of defining what is a crime, but should pay more attention to what is not a crime. We should not only pay attention to the necessity and importance of conviction, but also consider the possibility and feasibility of guilty. We should not only include the stipulation of the "quality" of the convicted crime, but also include the convicted crime. The concept of crime should be the unity of "quality" and "quantity", and the "proviso", as an important part of the concept of crime, should also be the unity of "quality" and "quantity", that is, the provisions of "significant minor circumstances" as "quantity" and "little harm" as "quality". The existence of the Provisions does not destroy or impair the constitution of a crime as the sole criterion and standard for determining the establishment of a crime, but the premise is that the understanding and study of the constitution of a crime in the existing criminal law theory need to be revised and perfected, that is, it must be constructed in the crime. The constitution of a crime is a truly independent, comprehensive and complete criterion for determining whether a crime is constituted or not, that is, the constitution of a crime must take into account the dual mechanism and function of "conviction" and "guilty" so as to prevent "entering" and "not"going out", so as to establish the position of"proviso"in the constitution of a crime. Therefore, on the basis of theoretical research innovation and judicial practice, this paper demonstrates the necessity and feasibility of judicial application of proviso, and probes into the specific path of its application from two aspects of procedural law and substantive law, that is, in criminal procedure, giving full play to the investigation organs and procuratorial organs. In order to realize the possibility of guilty, it is necessary to establish and perfect the filtering mechanism in order to realize the advantages and advantages of the litigation stages in which the organs and the judicial organs are situated. Constructing certainty, giving the judiciary a certain degree and scope of discretion to achieve case justice, so as to properly handle the contradictions and conflicts between the applicable principles and rules in the case, to ensure the integrity of the criminal law system, unity and judicial application of coordination, fairness and justice. Sex path promotes the benign interaction between legislation and judicature, promotes the innovation and development of the theoretical system of criminal law and the maturity and perfection of judicial practice.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D924.1

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