监督过失理论在查办渎职犯罪中的司法运用

发布时间：2018-11-12 19:57

【摘要】：监督过失理论是指监督人因怠于履行监督、管理义务,从而导致被监督人为不当行为而引发危害结果,得追究监督人责任的理论。该理论起源于二十世纪五、六十年代的日本,几十年来为解决各类公害事件、责任事故中监督人的刑事责任问题提供了理论支持。我国刑法典虽未明文规定监督过失理论,但在司法实践中,相关司法解释和判例的内容大都包含了监督过失思想。监督过失犯罪和我国刑法第九章规定的部分渎职犯罪的行为模式基本相同。但监督过失理论较我国目前查办渎职犯罪所使用的理论更为具体直接的是,该理论要求行为人不仅应当对自己行为及所引发的后果有所预见,且要对被监督人的行为及后果有所预见,并将监督人的行为纳入到危害结果的原因力之中。因此,如果将监督过失理论引入渎职犯罪的查办过程中,结合犯罪构成理论,可以对认定渎职犯罪尤其是过失渎职犯罪的刑事责任起到一个积极的作用,将有利于进一步防范和打击渎职犯罪。本文共分为四个部分：第一个部分,监督过失理论概述。本部分详细介绍了监督过失理论的起源和发展、基本概念和理论基础,并就监督过失理论在我国全面运用的原因进行分析。第二个部分,在监督过失理论视角下确定渎职犯罪的客观要件。本部分在分析了监督过失实行行为和因果关系的基础上,提出了认定渎职犯罪实行行为和因果关系的具体规则。第三部分,监督过失理论视角下认定渎职犯罪的主体要件。本部分结合监督过失理论的内容针对渎职犯罪责任主体认定难的问题,提出应当以“具有监督资格”和“具有监督职责”两个积极方面和适当适用信赖原则和期待可能性两个消极方面去认定渎职犯罪的主体。第四部分,监督过失理论视角下渎职犯罪主观方面的认定。该部分讨论了监督人的注意义务和注意能力,并对被监督人故意为不当行为的情形下对监督人责任认定的影响做了分析。
[Abstract]:The theory of supervisory negligence refers to the theory that the supervisor may be investigated for the responsibility of the supervisor because he is lazy to perform the duties of supervision and management, which leads to the harmful result caused by the supervised human misconduct. The theory originated in Japan in the fifties and sixties of the 20th century. In recent decades, it has provided theoretical support for solving the criminal responsibility of supervisors in various kinds of pollution incidents and accidents. Although the criminal code of our country does not explicitly stipulate the theory of supervision negligence, in judicial practice, most of the contents of relevant judicial interpretation and case law contain the idea of supervision negligence. The behavior pattern of supervising negligent crime is basically the same as that of part of dereliction of duty as stipulated in Chapter IX of Criminal Law of our country. However, the theory of supervisory negligence is more specific and direct than the theory used in the investigation of dereliction of duty in our country at present. The theory requires that the perpetrator should not only foresee his own behavior and the consequences caused by it. Moreover, the behavior and consequence of the supervised person should be foreseen, and the behavior of the supervisor should be included in the causative force of the harmful result. Therefore, if the theory of supervisory negligence is introduced into the investigation and handling of dereliction of duty, combining with the theory of constitution of crime, it can play a positive role in determining the criminal responsibility of dereliction of duty, especially the crime of negligent dereliction of duty. Will be conducive to further prevention and cracking down on dereliction of duty crime. This paper is divided into four parts: the first part, the overview of supervisory negligence theory. This part introduces in detail the origin and development of the supervisory negligence theory, the basic concept and the theoretical basis, and analyzes the reasons for the comprehensive application of the supervisory negligence theory in China. In the second part, the objective elements of dereliction of duty are determined from the perspective of supervisory negligence theory. On the basis of analyzing the behavior and causality of supervision negligence, this part puts forward the specific rules of determining the behavior and causality of malfeasance crime. The third part, the main elements of dereliction of duty from the perspective of supervisory negligence theory. This part combines the content of supervisory negligence theory to solve the problem that the subject of dereliction of duty is difficult to identify. The author puts forward that the subject of dereliction of duty should be determined by two positive aspects: "having supervisory qualification" and "having supervisory responsibility" and applying the principle of trust and the possibility of expectation properly. The fourth part, under the supervision negligence theory angle of view, the malfeasance crime subjective aspect confirmation. This part discusses the duty of care and the ability of care of the supervisor, and analyzes the influence on the responsibility of the supervisor under the circumstance of intentional misconduct of the supervised person.
【学位授予单位】：内蒙古大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D924.3

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