【作者】 张少林；

【导师】 刘宪权；

【作者基本信息】 华东政法大学 ， 刑法学， 2010， 博士

【摘要】 在司法实践中,许多案件都牵涉到被害人行为。一些被害人在行为人的犯罪过程中起着积极甚至互动的作用,一些被害人在行为人犯罪前或犯罪后的行为对行为人的刑事责任起着重要的影响。然而长期以来,刑法学理论基本上是从行为人一方来研究犯罪,刑事立法也基本上是从行为人一方来规定犯罪,这使得对被害人行为的研究相当薄弱。近年来,虽然一些学者对被害人问题包括被害人承诺、被害人过错、刑事和解中的被害人行为等进行过一定的探讨,并取得了一定的研究成果,但缺乏对被害人行为作一全面系统的研究。本文对被害人行为刑法意义之研究,旨在引起刑法学界对被害人问题的重视,拓展刑法学理论的研究领域,也希冀司法工作人员在处理相关刑事案件时,不仅关注行为人的行为,也同时考虑被害人的行为,尊重被害人的主体地位,全面考虑犯罪发生发展的各种因素,以对行为人的行为作出准确的刑法评价。文中提出有关被害人行为的立法构想,希望对以后刑事法律的修改有所裨益。全文共分五章,正文约20万字。第一章:被害人行为刑法意义之界定。本章中,对被害人、被害人行为、被害人行为的刑法意义等进行了含义界定,阐述了刑事被害人的特征,就刑事被害人与犯罪被害人、刑法中被害人行为与刑事诉讼中被害人行为作了比较,论述了研究“被害人行为刑法意义”的理论和实践价值,并就研究方法作了说明。刑事被害人有广义与狭义之分,本文采中义的刑事被害人概念,刑事被害人主要是指公诉案件中的被害人,也包括自诉案件中的被害人,但一般不包括附带民事诉讼的原告人以及反诉人。被害人行为是指在犯罪行为前后及犯罪过程中,被害人实施的具有刑法意义,可能影响着行为人定罪量刑,并与犯罪行为紧密联系的行为。被害人行为的刑法意义是指被害人行为对于行为人行为的性质、行为人应负的刑事责任等所产生的刑法上的效果。刑事被害人具有遭受犯罪行为侵害的客观性、被侵害权益的合法性、被犯罪行为侵害的直接性等特征。非法权益的持有者一般情况下不能成为刑事被害人,但当其受到的侵害超出了非法权益的范围,也可成为刑事被害人。研究被害人行为有利于完善刑法的相关规定,构建科学、完整的刑法学体系,有利于树立全面考虑犯罪因素的理念和恢复性司法理念。第二章:被害人行为的成立、分类与地位。在这章中,对被害人行为的成立要件包括行为的主体、行为的对象和客体、主观方面和客观方面进行了阐述,分析了被害人行为的范围,根据不同的标准对被害人行为进行了具体分类,探讨了被害人行为的性质和地位,剖析了被害人行为与行为人行为、犯罪结果的关系。与行为人行为类似,被害人行为的主观方面也包括认识因素和意志因素。刑法中的被害人行为包括被害人同意行为、被害人过错行为和被害人谅解行为三种。刑法上的行为是指受刑法调整,一切具有刑法意义或者对行为人的刑事责任产生重要影响的行为。被害人行为属于刑法上的行为,其与行为人行为、犯罪结果存在因果链条、多因一果和影响性质等关系。本章中,笔者主要提出如下观点:1.被害人包括自然人和单位两种,一般不包括国家。2.不能用行为人刑事责任能力所要求的年龄和精神状态来套用被害人行为能力所要求的年龄和精神状态,不同种类的被害人行为所要求的年龄与精神状态也不完全一致。3.对于时隔久远、与行为人行为不具时间上密切关系的行为不能认定为刑事被害人行为。4.被害人同意行为的效力体现了被害人自由意志与国家意志的平衡。5.衡量被害人行为的主观方面要看被害人对自己行为及其结果的主观态度。6.刑法上的行为包括行为人的行为和被害人的行为,既包括犯罪行为也包括合法正当行为。7.被害人行为从本质上具有多样化,既可能是合法正当行为,也可能是非法行为,还可能是一般的违反道德行为。从形式上被害人行为属于刑事法律行为。8.应当将刑事法律关系看作是国家、行为人、被害人三方主体之间的关系,从而构建“三元结构模式”。9.研究被害人行为服务于对行为人行为的准确刑法评价。第三章:被害人同意行为之刑法意义。该章中,阐述了被害人同意行为的成立要件,介绍了中外关于被害人同意行为的规定并作了归纳比较,剖析了学界关于被害人同意行为效力依据的学说并提出了笔者的观点,探讨了实在同意行为包括虚假同意定罪上的意义、同意行为中的认识错误、几种实在同意行为量刑上的意义,探析了推定同意的类型、效力依据及刑法意义,最后提出了我国被害人同意行为的立法构想。被害人的同意行为是指被害人在法律规定范围内,基于自己的自由意志,允许他人对自己合法利益造成侵害的一种行为,其成立要件主要包括同意主体的适格性、同意权益的个人性、同意行为的真实性和同意行为的针对性等。关于被害人的同意能力,存在“刑法理论”和“民法理论”两种观点。被害人同意行为的效力依据有法律行为说、利益放弃说、法律保护放弃说、目的说、社会相当性说、利益衡量说、保护客体部分脱落说等学说。虚假的同意是指被害人在受暴力、强迫或其他手段下违背自己意愿作出的心口不一的同意。对于被害人的单纯动机错误能否使同意行为归于无效,存在肯定说、否定说和折衷说三种观点。在被害人同意行为的范围是否包括行为的结果上,存在行为说和结果说。关于同意伤害是否构成犯罪,存在“公序良俗”说、“重大伤害说”和结合说。推定同意有为被害人利益和为他人利益的推定同意之分,紧急推定同意和非紧急推定同意之别。成立紧急推定同意的条件主要包括:情况紧急、存在被害人同意的极大可能性、一般出于救助被害人或第三人的目的、行为所造成损害具有社会的相当性等。学界关于推定同意的效力依据有七种学说。医疗手术行为中的推定同意应当符合最佳利益原则。本章中,笔者主要提出如下观点:1.同意能力的确定,刑法有明文规定的应以刑法的规定为准,刑法无明文规定的,应当参照刑法、民法的相关规定来确定。2.对性行为的同意年龄为14周岁以上,对于生命、健康权利的同意年龄应为18周岁以上,对于其他权利的同意年龄为16周岁以上为宜。3.对包含公共利益的个人利益的同意,该同意行为是否有效取决于行为人的行为是否实质上损害了公共利益。4.除推定同意外,一般不存在事后同意。5.被害人同意行为的效力依据应为被害人实体权益处分与国家干预相结合的“有限处分”理论。6.虚假的同意一般不改变行为人违法犯罪的性质。7.单纯的动机错误并不影响被害人同意行为的效力。8.被害人同意承受的结果一般仅指必然结果,只有经特别说明后,才包括必然结果和风险结果两种。9.多次重复行为中,被害人改变其同意内容的,行为人不得再行实施改变前的同意行为。同意对象变化的,不再被同意的行为人不得再行实施基于被害人同意的行为。10.同一行为中被害人同意内容改变的,应以被害人的最后意志为准。被害人撤销同意的,行为人应当立即停止侵害行为。11.同意杀人行为成立故意杀人罪,但应当对行为人从轻、减轻处罚;帮助自杀的,对精神帮助者可不追究刑事责任,物质帮助者可以成立犯罪,予以从轻或减轻处罚,也可不以犯罪论处。12.安乐死成立故意杀人罪,但对行为人应当减轻甚至免予刑事处罚。13.特殊情况下,经被害人同意造成被害人严重伤害的行为不违法,具体结合“公序良俗”、“重大伤害”与“为被害人利益”来综合认定。14.拐卖妇女、儿童罪以违背被害人意志为前提,被害人自愿同意被拐卖的,其中的同意行为无效。15.推定同意的判断上,应坚持“主客观相结合”的观点。16.为被害人利益的紧急推定同意的效力依据应为利益衡量说,为第三人利益的紧急推定同意的效力依据应当为结合“利益衡量说”和“被允许的危险说”的“综合说”。第四章:被害人过错行为之刑法意义。这章中,分析了被害人过错行为的成立要件,犯罪学上被害人过错与刑法学上被害人过错行为的关系,介绍了中外关于被害人过错行为的规定并作了比较归纳,剖析了有关被害人过错行为效力依据的学说:分担责任说、谴责性降低说、主客观并合说和被告人行为正当说与被告人行为可谅解说等,对被害人过错行为影响定罪量刑作了实证分析,分析了交通肇事案件等情形下被害人过错行为的定罪意义、暴力犯罪等情形下被害人过错行为的量刑意义,最后提出了我国被害人过错行为的立法构想。被害人的过错行为是指被害人出于主观上的故意或过失,违反法律法规或者道德规范等,诱发他人的犯罪意识、激化行为人的犯罪程度或者促成犯罪行为发生的行为,其成立要件包括:主体为被害人、被害人主观上具有过错、过错行为表现在外部并能发生一定的作用、过错行为与犯罪结果有因果关系、过错行为与犯罪行为具有时间上的密切关系。被害人过错行为根据过错的轻重可分为罪错行为、重大过错行为和一般过错行为三种。本章中,笔者主要提出如下观点:1.饲养的动物造成他人损害而招致犯罪报复的,动物饲养人或管理人不能成为被害人过错行为的主体。2.被害人过错行为与犯罪结果之间存在着直接或间接的因果关系。3.被害人过错行为的效力依据应为“责任减轻说”,该理论包括责任自负、责任转化和责任减轻三个核心内容。4.被害人过错行为与犯罪结果存在直接因果关系的,被害人需要承担直接过错责任;被害人过错行为与行为人行为存在直接因果关系,与犯罪结果只具有间接因果关系的,被害人需要承担损害责任和间接过错责任。5.被害人过错责任大小直接影响着行为人刑事责任的减轻幅度。6.被害人过错行为大多数存在于故意伤害、故意杀人两种案件中。7.在非法目的防卫中,应当对行为人从轻或减轻处罚;事前或事后防卫中,应对行为人减轻或免除处罚;自救过当中,应对行为人减轻或免除处罚。第五章:被害人谅解行为之刑法意义。本章中,对被害人谅解行为与私了、法院调解等进行了辨析,分析了三种被害人谅解行为之间的区别,介绍了中外关于被害人谅解行为的规定并进行了归纳比较,探讨了被害人谅解行为的效力依据并提出笔者的观点,对刑事和解的定位、适用范围和条件作了一定的研析,对性行为中的谅解行为、盗窃罪中近亲属的谅解行为的刑法意义作了探讨,最后提出了我国被害人谅解行为的立法构想。被害人谅解行为是指被害人在行为人实施犯罪行为后,所作出的明示或默示的原谅行为人,不向有关机关告发或者提出对行为人从轻处罚建议的行为。它主要包括单方谅解行为、特别谅解行为和出于谅解的不追究行为三种。被害人谅解行为的成立要件包括:谅解的主体、谅解的主观方面、谅解的对象、谅解的方式和谅解的时间。在谅解能力与同意能力的年龄要求上,存在同一说和差别说。刑事和解效力依据的学说主要有恢复正义理论、平衡理论和叙说理论。关于刑事和解的定位有原则说,制度说和程序说之争。关于刑事和解的适用范围有自诉案件说、轻罪案件说、所有案件说和渐进说。适用刑事和解需要同时具备下列条件:行为人真诚悔罪,达成具有约束力的和解协议,刑事和解出于自愿,行为人赔偿损失,和解协议经公安司法机关审查认可。公诉案件中被害人单方谅解行为能否作为量刑情节有肯定说和否定说。本章中,笔者主要提出如下观点:1.不能用同意能力所需年龄来套用谅解能力所需的年龄。被害人谅解能力所需年龄应为18周岁以上。2.被害人谅解行为的效力依据应为程序主体性理论、恢复性司法和刑法谦抑性理论。刑事和解的效力依据侧重于恢复性司法理论,单方谅解行为的效力依据侧重于程序主体性理论,出于谅解的不追究行为的效力依据侧重于刑法谦抑性理论。3.性行为中的谅解行为不能影响被告人的定罪但可以影响量刑。4.将来修订强奸罪时可规定,被害人表示对行为人谅解的,可以对行为人从轻处罚;被害人与行为人结婚的,可对行为人减轻或免除处罚。5.将来修改立法时可规定,偷拿自己家财物的,免予刑事处罚;盗窃近亲属财物并取得近亲属谅解的,可减轻或免予处罚;盗窃其他亲属财物,其他亲属要求不予追究的,可从轻或减轻处罚。6.被害人单方谅解行为可作为对行为人从轻处罚的情节。7.应将刑事和解作为法定的量刑情节。刑事和解的,一般应对行为人从轻处罚;情节轻微未造成严重后果的,可对行为人减轻或免予刑事处罚。更多还原

【Abstract】 In judicial practice, many cases involve to the victim behavior. Some victims play an active even interaction role in the crime process, some victim behaviors are having the important influence on the criminal responsibility of actor. However, for a long time, the study on the behavior of the victim is rather weak. In recent years, although some scholars have carried on certain discussion to the victim question, and achieved some research results, but lack of doing a comprehensive and systematic study to this problem. Therefore, the victim behavior deserves deeper study both in theory and practice.This article to research of criminal law significance of the victim behavior, is for the purpose of evoking more concern on the importance for the issue from criminal law circle, expanding the field of criminal law theory research, hoping to judicial officers making the accurate criminal law appraisal to actor behavior. Judicial officers concerned not only about the behavior of actor, but also taking into account the victim’s behavior, respect the victim the main body status in dealing with related criminal cases. The author advocates that along with to victim’s behaviors fundamental research and the criminal justice practice question’s solution, pledges it in the penal code. The ideas of proposed legislation on the victim behavior, hoped will have a benefit to the later revision of criminal law.The dissertation includes five chapters which occupy about 200,000 chinese characters.Chapter I: Limits of the victim behavior criminal law significance. In this chapter, the meaning of the victim, the victim behavior and the victim behavior’s criminal law significance have been defined. Victim should refer to a natural person or unit with its legal rights and interests directly and seriously damaged. The criminal victim mainly refers to the victim of a case of public prosecution, but generally does not include the plaintiff in the incidental civil lawsuit. Victim behavior is defined as the victim’s behavior which has the criminal law significance, may affect the conviction and sentencing to the perpetrator, closely linked with the crime. The victim behavior’s criminal law significance is refers to the criminal law effect that victim behavior for actor behavior and the criminal responsibility.In the field of criminal law, the main significance of victim’s behavior lies in the impact on the criminal liability. The victim’s behavior will not be considered by criminal law until it is serious enough to affect the criminal liability. In specific circumstances, the victim’s behavior certainly affects the existence and the extent of liability, but in the sense of the criminal law, victims should be responsible for their own mistakes which do not have an independent significance. It carries theoretical and practical significance to study the victim behavior criminal law significance. After victim behavior put into the perspective of criminal law, the theories on criminal law science should be carried out reconstruction.Chapter II: the establishment of victim behavior, classification and status. In this chapter, the author analyze the scope of the victim behavior, classify the victim behavior according to different standards, discuss the nature and the status of the victim behavior, analyzes the relationship between victim behavior and actor behavior, and the consequences of the crime. Elements of the establishment of victim behavior include the main body, objective behavior, subjective and objective aspects. The victim behavior includes the victim Commitment, victim faulty act and victim forgiveness. The behavior in criminology refers to the behavior that all has criminal law significance, or have an important impact on criminal responsibility. It includes the victim behavior and actor behavior, the criminal acts and legally justified acts.Chapter III: the criminal law significance of the victim commitment. In this chapter, I mainly elaborate the conditions of victim’s commitment, discuss the criminal law effect of the victim’s consent of abducting and trafficking in women and children, of illegal intrusion into residential acts, of the deducing promise, of euthanasia, of crime of intentional homicide, of medical treatment, putting forward my idea of legislation of the victim commitment.The victim’s agreement behavior is refers to the victim within the limits prescribed by law, based on their own free will, allowing others to their legitimate interests caused an infringement behavior. A effective victim consent should includes the following factors: victim must has the capacity of consent, the subjective conditions of the victim must be knowing and voluntary, the content of consent can be consented, and the consent must be made before the results Produced and clarify the meaning clearly.In decide the principal body condition of the victim commitment, both criminal law and civil law must be taken into consideration. commitment must be true without any flaws,otherwise invalid. Commitment is admitted only when there are complete individual benefits, but the right of life and power of health which risks the life security are excluded. commitment must be made no later than the actor behavior is occurring, lasting till the performance of the actor’s behavior. Social justice of consent behavior refers to victim can not breach the social benefits when he makes consent to his personal benefits. The victim must guarantee he will not breach his social obligations when he performs the consent. The basis of effect of the victim’s consent is shortly limited handle theory. Motivation mistake don’t affect the promise validity.Chapter IV: the criminal law significance of the victim’s faulty behavior. In this chapter, the author analyzes the elements of establishment of the faulty behavior of the victim, made empirical study of the victim’s fault affect the conviction and sentencing of actor, state the legislation suggestion of it to our country. The victim’s fault in the sense of traditional criminology and the one in the sense of criminal laws have the differences and have the relation also. The victim’s fault is the misdeed that may trigger criminal mentality and intensify the degree of crime so that it may affect penalty measurement.By the researching on the related laws and the theories of different countries and districts that belongs to the Continental law system, the Anglo-American law system and our country, the author made a comparison between abroad and home. There are two theoretical doctrines of the influence of the victim’s fault to criminal liability:“shared responsibility”and“condemned lowering”.The victim faulty behavior’s potency basis should be“the responsibility reduced says”. If the fault responsibility of the victim is less, the criminal responsibility on the corresponding can be light. If the fault responsibility of the victim is larger, the criminal responsibility on the corresponding can be reduced. This is the criminal law effect that the victim fault responsibility to the criminal responsibility. According to the severity of fault, victim fault behavior can be classified the crime, major fault behavior and general mistake behavior. In the existing system of criminal law, victim’s fault can be considered according to the case crime in general principles and specific provisions, so as to show the influence on the measurement of penalty.Chapter V: the criminal law significance of the victim’s forgive behavior.The victim’s forgive behavior refer to victim’s behavior which victim make express or implied, to forgive the perpetrators, not to report to the relevant authority or make lighter punishment recommendations on the actor behavior. The elements of the establishment of the victim’s forgive behavior include the subject, subjective, object, the way and the time of forgive behavior. It includes forgiveness acts after the event, victim-offender Reconciliation and so on.The basis of effect of victim behavior is showed why the victim behavior produces legal effects to the conviction and sentencing of the actor behavior. As to basis of effect of the victim-offender Reconciliation, the domestic and international viewpoint of theories field is different. There are mainly three viewpoints: equilibrium theory, narrative theory and restorative justice theory. The potency basis of forgive behavior by victim is mainly for the theory of the procedural subject, restorative justice and the criminal law modest and restrained theory.更多还原