【作者】 董文蕙；

【导师】 刘家琛；

【作者基本信息】 西南政法大学 ， 刑法学， 2010， 博士

【摘要】 本篇论文着力于犯罪被害人国家补偿制度的理论基础之论证与理论体系之构建,立足于我国国情,探究我国犯罪被害人国家补偿制度立法的可行路径,设计出与我国的经济、政治、社会发展相适应的犯罪被害人国家补偿制度。本篇论文分为七章,全文共约17万5千字。作为被害人权利运动的产物,犯罪被害人国家补偿制度,指的是对于遭受犯罪侵害身受重伤或死亡而不能从犯罪人或其他途径获得刑事损害赔偿的被害人,由国家通过一定程序对之进行物质给付以不完全填补其损害的制度。该制度是社会事故国家补偿的一种类型,属于司法领域里的国家补偿。关于犯罪被害人国家补偿制度的理论基础,目前有多种学说,但每个学说都有无法自圆其说的矛盾。本文认为,犯罪被害人国家补偿制度的理论基础可从内生性理论根据和外生性理论根据两个维度进行探究。犯罪被害人国家补偿制度的内生性理论根据是权利与义务视角下的“优位法益多重保护说”。犯罪被害人国家补偿请求权的权利属性与正当性根据在于：基本权利具有受益权功能,国家对此负有保护义务和给付义务,而且此种义务是多层次的,就犯罪被害人的基本权利而言,国家对于被害人的保护义务应是一个系统,预防犯罪和惩罚犯罪,只是此种基本权利之保护义务的一部分,因此对犯罪被害人的刑事法保护并非国家履行保护义务的终点,若被害人因犯罪被害而丧失人性尊严之基本生活需求标准时,基于受益权的主张,得向国家请求物质给付,此为国家保护义务体系中的被害补偿之保护。但这种保护是有限制的,只有生命权和健康权遭受侵害的被害人而不是所有的被害人都能获得补偿,此种限制性保护的正当性可以追溯至刑法上对生命和健康法益之“优位法益”的多重保护而得以证成——在国家“垄断”暴力的背景下,针对侵害生命和健康的犯罪行为允许被害人采取“合法暴力私力救济”,对放弃生命和健康的被害人承诺不能排除行为人的犯罪性,因此,被害人因遭受生命和健康重大损害通过适用刑法应该获得的刑事损害赔偿无法实现的情况下,刑法的此种特殊、多重保护还将进一步延展,这便是犯罪被害人国家补偿法得以产生以及将生命和身体健康法益受到损害的被害人作为补偿对象的正当性根据之所在,亦即本文所谓的“优位法益多重保护说”——国家对遭受伤亡的犯罪被害人给予补偿也是基于对被害人的“优位法益”的保护,是刑事法保护的续接,是多重法律保护体系的一部分。犯罪被害人国家补偿制度的外生性理论根据在于风险社会视域中“危险共担说”。我们身处被害危险日益加剧的“风险社会”,因此刑法理论正在变迁,犯罪预防策略也产生转变,认真对待被害人的权利和需求成了犯罪预防体系的一个有机组成部分；对危险的共同恐惧有利于形成团结一致的机制,因此集体应对危险的“危险共担”思路纵贯犯罪(被害)风险控制的全过程,包括了对犯罪被害人保护在内的复杂犯罪控制系统获得了现实世界的真切“守望”；而对犯罪被害人的国家补偿是该系统的组成部分,是风险社会中应对被害危险的现实选择,被害补偿因此被视为一种社会利益。“危险共担说”论证了犯罪被害人国家补偿制度的外生性根据,是对“优位利益多重保护说”的进一步论证,两者兼容并蓄,形成“优位利益多重保护之危险共担说”,此说可为犯罪被害人国家补偿制度的理论基础。犯罪被害人国家补偿制度属于司法领域的国家补偿,有其自己独立的法律品格：既具有部分社会法性质,又与刑事司法制度具有不可分割的联系,因此是具有刑事法色彩的新型社会法制度；被害补偿制度是一种对其他制度进行补充的法律制度,属于刑事政策的有机组成部分,具有防控犯罪、增进人民司法信赖、促进刑罚轻缓化改革等多方面的价值内涵。本制度应体现四大基本原则：补偿法定原则、补偿必要原则、补偿妥当原则、补偿及时原则。为了保障犯罪被害人国家补偿制度不被滥用或者不符合目的的不妥当运用,需要规范被害补偿的排除与限制适用,这是被害补偿法理论和实务中最复杂的问题：“被害人可归责事由”和“被害补偿的妥当性考量”。“被害人可归责事由”指的是实质性引发了犯罪人加害行为的被害人行为或者是对于犯罪被害后果的发生具有促成作用的被害人行为,基于每个人都应对自己的行为负责的原理,应由被害人对自己行为产生的结果负责,国家的补偿义务因此得以免除或减少。“实质性引发”指的是犯罪人基于自由意志实施的犯罪加害行为是由于被害人行为激发的,两者之间具有引起与被引起的实质性因果关系,此种引发关系应符合时空聚合性条件。“对被害后果的发生具有促成作用”的被害人行为,指的是被害人行为并没有对加害人行为起实质性引发作用,但是为犯罪加害提供了便利条件或者促成了犯罪被害后果的发生,最典型的是被害人自陷犯罪被害情境的行为。“被害人可归责事由”关涉是否补偿以及补偿多少的判断,运用类型化方法,按照被害人行为对其被害结果的原因力之大小层级可将犯罪互动场域中的被害人行为分为五个“差序化类型”(降序排列),其在刑法和补偿法领域的法律意义是：(1)攻击行为。刑法上：若反击人的行为构成无过当防卫的,反击人(防卫人)不构成犯罪不负刑事责任；若加害人(反击人)行为构成正当防卫的,应减轻或免除处罚。补偿法上应拒绝补偿。(2)(非暴力、胁迫)不法侵害行为。刑法上：若未达无过当防卫之紧迫程度但可引发正当防卫场域,加害人行为构成防卫过当,应减轻或免除处罚；若不具有正当防卫之紧迫性,加害人行为构成犯罪,建议实务中应从轻或减轻处罚(目前法律未规定为量刑情节)。补偿法上应拒绝补偿。(3)自我损害行为。刑法上应减轻处罚；补偿法上应拒绝补偿。(4)挑惹行为。刑法上：加害人行为构成犯罪,被害人行为达高度挑惹层级,对加害人可酌情从轻或减轻处罚(目前法律未规定为量刑情节),中低度的挑惹不能作为量刑情节。补偿法上：高度挑惹行为,拒绝补偿；中低度挑惹行为,部分补偿。(5)自陷危险行为。刑法上：不能减少加害人的刑事责任。补偿法上：自陷危险的违法犯罪行为以及严重过失行为,拒绝补偿；自陷危险的中低度过失行为,给予部分补偿。“被害补偿的妥当性考量”指的是被害补偿之裁定要考察与被害人有关的各种事项,依一般社会观念对是否补偿以及补偿额度进行的有关妥当与公平的综合性判断。妥当性考量是以“被害人可归责事由”判断为前置性基础的通盘性的、统领全局式的判断,是并非单一向度的而是双向度的综合性判断,需要斟酌多方面的特殊事由特殊考量——如果给予补偿被认为是不符合公平正义的,将拒绝或减少补偿；或者相反,虽然有诸如“被害人可归责事由”等拒绝补偿之事由,但存在补偿之非常紧迫性,若不给予补偿被认为是不符合公平正义的,应给予部分补偿。此种双向度的考量是被害补偿法作为一种新型社会法的性质所决定的。妥当性考量所依据的“一般社会观念”,实质就是源于人类社会自然情感并在人类长期的文化发展和历史变迁中形成的“常识、常理、常情”。对于社会生活的基本道义的坚守、对自然情感的呵护和对普遍伦理的维持,应对被害补偿之妥当性考量具有统领意义。我国现有的地方性被害人救助实践并不规范,是将“补偿”与“救助”之概念混同使用的。从现实性来看,我国当下尚不具备满足实施犯罪被害人国家补偿法需要的经济和制度条件,但在立法需求却相当急迫的情况下,可考虑“相对”满足此种需求的法律制度——“被害人国家救助制度”作为过渡,等条件承受后,再制定单独的被害补偿法。作为过渡阶段的被害人国家救助制度应是兼采一般社会救助制度和被害国家补偿制度相关因素的“紧急司法救助”制度,此制度可以基本满足当下的特困被害人救助之需要。经过大约五年至十年的发展,我国的社会保障水准和经济发展水平应该有较大程度的飞跃,再加上犯罪被害人国家救助实践积累了丰厚的经验成果以及广泛的社会共识,到那时应该具备进行被害补偿法立法的现实条件,在此时节上应出台我国的《犯罪被害人国家补偿法》。我国的犯罪被害人国家补偿法应采取实体与程序于一体的立法体例,其法律规范应当蕴涵被害补偿法的价值理念和基本原则,在立法技术上,应摒弃粗放型的立法模式,而是在平衡各方法益的同时,对被害补偿的相关制度和环节作出周圆而理性的安排,制定出一部内容完整、规定翔实、便于操作的被害补偿法。具体制度可做如下设计：补偿经费的来源方面,除了政府税收预算之主体来源以外,罚金、(犯罪人)监所劳动收入、刑罚没收之财产、追缴的赃款赃物等均可充作补偿金,社会捐助亦可作为补充。市、地区一级以上人民政府要建立起犯罪被害人国家补偿专项资金,中央和地方实行分级筹集,单独核算,专款专用。补偿专项资金由被害补偿机构统一管理和发放,各级政府的财政、审计部门负责对之进行监督。关于补偿范围,应以生命、身体健康法益受到重大损害之结果为基准设定,无刑事责任能力人造成的伤亡之被害情形,应纳入补偿范围。补偿对象应为受重伤害的直接被害人和死亡者之遗属,遗属应以直接被害人的亲属和其受扶养人为限。关于补偿的排除与限制条件,可参照“被害人可归责事由”之论述结论进行规定。被害补偿的妥当性考量之部分,可做如下规定：1.被害人与犯罪加害人有亲属关系其他密切关系的,不予补偿；2.被害人不积极报案,或者怠于协助司法机关追诉犯罪,或者怠于与补偿机关合作的,不予补偿；3.被害人事后承认或容忍该犯罪行为者,或者被害人对犯罪加害人或其亲属实施了加害生命或身体健康之复仇行为的,不予补偿。4.例外规定：虽具有上述应不予补偿之情形,但死亡被害人之遗属陷入生存困境具有补偿之非常紧迫性的,应给予部分补偿。5.其他绝对排除补偿情形之规定：为获得遗属补偿金,遗属被害人故意杀害前序位之遗属被害人的,或因相互斗殴遭受重伤或死亡的,不予补偿。补偿金分“遗属补偿金”“重伤补偿金”两类。我国的被害补偿法不适宜将补偿金最高额度直接规定为一个具体的数额,而应该以一个基数乘以一定之倍数来进行计算,平衡各个方面的因素,职工平均工资是一个相对公平合理的可选基数。国家支付被害人补偿金后,于补偿金额之范围内对加害人或其他应负赔偿责任之人享有代位求偿权。代位求偿权由犯罪被害人补偿审议委员会行使。关于补偿机构的设置,市、地区一级司法行政部门应设置最基层的补偿机构——“犯罪被害人补偿审议委员会”；设立于省、自治区、直辖市司法行政部门的补偿机构为“犯罪被害人补偿复审委员会”,受理不服被害补偿委员会决定的复议申请并做出复议决定。最高级别的补偿机构设立于司法部,其职权主要是指挥、协调和监督全国范围内的被害补偿工作。县一级不设补偿机构。考虑到被害补偿事务的专业性,补偿机构应采合议制的方式作出补偿决定以及行政复议,其人员组成应由具有一定执业年限的律师、法官、检察官、医师或者是对犯罪学、被害人学、刑法学、刑事政策学、医学具有一定研究的学者共同组成。补偿程序包括补偿案件的申请、审理、决定以及不服决定的救济程序四个方面。在受理了补偿申请后,补偿委员会将对与补偿决定有关的事实进行调查和审议,其他机关、团体应该配合与协助。补偿委员会经过审查,自受理之日起一定时间期限内以合议制的方式作出决定。申请人对补偿决定有异议的,可向被害补偿复审委员会提起行政复议。更多还原

【Abstract】 This paper focuses on the demonstration of the theoretical basis and the construction of the theoretical system about the state compensation system for crime victim.Building on the state condition of China,this paper explores out feasible legislative approach for the state compensation system of crime victim in China,and works out a compensation system that is in accordance with the economy,politics and social development of China.This paper consists of 7 chapters,amounting to some 175,000 words.The state compensation system of crime victim refers to the system for the crime victim,who is violated to casualty by criminal act but can not obtain criminal damage compensation from the offender or other approaches,to get material aid offered by the country to incompletely fill up the crime victim’s damage.The state compensation of crime victim is one type of state compensation for social accident,belonging to the state compensation in judicial field.As for the theoretical basis of state compensation for crime victim,there are many doctrines.However,these doctrines can not avoid from the conflict of self-justification.This paper maintains that the theoretical basis of state compensation system for crime victim can be explored from two dimensions,namely,its endogenous and exogenous theoretical accordance.The endogenous theoretical accordance of state compensation system of crime victim is study of multiple protection of priority to legal interests in the vision of rights and obligations.The state compensation to the crime victim is in itself one part of the state protective obligation system.However,this sort of protection is limited.Only those crime victims infringed of their rights of life and health but not all can obtain compensation.Its justifiable accordance can date back to the multiple protection of priority to the legal interests of life and health---under the background of nation’s violence monopolized by the nation,the crime victim is allowed to take justifiable defence when infringed in his rights of life security and health by criminal act;the crime victim’s commitment of abandoning rights of life and health should exempt the actor from crimes.Thus,such special and multiple protection in criminal law will be further extended when compensation of criminal damages can not be realized,which is where the justifiable accordance of the emergence of compensation law for crime victim and of taking those crime victims affected in legal right of life and physical health as the compensation object lies.Simply put,it is the so-called multiple protection theory of priority to legal interests in this paper.---The compensation offered by the nation to the crime victim is also the continuation of criminal protection,aiming at the protection of crime victim’s legal interests of priority,and one part of the multiple legal protection system.The exogenous accordance of the compensation system for crime victim is study about risk sharing in the view of risk society.We are in a commonly-linked risk society.It is an organic ingredient of the prevention system in crime to take crime victim’s rights and needs seriously.The common fear to danger is conducive to the forming of a mechanism united as one.Therefore,the thought of risk sharing of collective response to risk runs through the whole process of risk control.This thought contains the anxious watch over achieving a reality world for the complicated controlling system of crime including protection for the crime victim,and the state compensation to the crime victim is an ingredient of the controlling system and it is also a realistic option to counter the crime victim’s danger.The state compensation system to the crime victim belongs to the judicial field,which is a complementary legal system in connecting social law and criminal law.It also belongs to the organic ingredient of the criminal policy.The state compensation system should reflect four fundamental principles:principle of statutory, principle of necessary compensation,principle of fair compensation and principle of prompt compensation.To guarantee the state compensation system to the crime victim from being improperly abused or being utilized inappropriately,we should regulate the exclusive and restrictive application of the system,which is the most complex issue in the compensation theory. That is the reason attributable to the crime victim himself and appropriate consideration of compensation to the crime victim.The reason attributable to the crime victim refers to crime victim’s act that leads to the criminals infringement or plays a formative role in the result of infringement.Based on the theory that every person should be liable for his own act,the crime victim while not the country or community should assume the liability for the result led by his act.The reason attributable to the crime victim calls for systematically profound and stereotyped research on the crime victim’s act。The crime victim’s act can be classified into 5 different categories according to its harmfulness to society and its effect to the infringement result in the criminal interactive process.These five categories are the following. a) compensation should be rejected due to crime victim’s self-damage act.b) compensation rejected due to crime victim’s aggressive act.c) compensation should be rejected if crime victim’s damage is caused by illegally nonviolent or intimidatory infringement from the criminal.d) provocation act.Compensation rejected if crime victim’s damage is led by severe provocation act;compensation should be partly given if crime victim’s provocation act is intermediate and low grade.e) compensation should be rejected if the damage is caused by crime victim’s illegally criminal act of self-trapping in danger or severe negligent act compensation partly given if crime victim’s act of self-trapping in danger is intermediate and low grade.The appropriate consideration of compensation refers to decision of compensation to the crime victim should observe every crime victim’s relevant factors to ensure that judgement on whether compensation is needed or not and its amount is worked out properly according to the social attitude.The appropriate consideration is an all-round and leading judgement with the judgement of reason attributable to the crime victim as its antecedent foundation.It is not a two-way while not one-way comprehensive judgement, which requires special consideration on particular issue of various aspect.There are no presently enough conditions to the exercise the state compensation law to crime victim in China.However,since the need of its legislation is quite urgent,a state assistant system to crime victim, as a transitional legal system, can be taken into account to correspondingly meet such needs.By the time when conditions all needed are ready,the State Compensation Law to crime victim shall be independently enacted.In the transition phase,the state assisting system to crime victim should be an urgent judicial relief system that embraces relevant ingredients such as the general social assistant system and state compensation system.With some 5 to 8 years of development of this transitional legal system,the social security level and economic development are supposed to reach a greater leap, by then the realistic conditions for legislation of the compensation law for crime victim may be met.The legislation of state compensation law to crime victim should take the legislative system that contains both substance and procedure.Technically,we should abandon the extensive legislative model and make comprehensive and concrete arrangement for related system and links of compensation to crime victim so that an accurate and practical compensation law for crime victim can be enacted. Specifically, for the financial resources of compensation, besides the major resource of governmental fiscal budget,fine, labour income of the criminal in prison, criminally confiscatory property,and proceeds of crime pressed can be used compensation.Governments of the municipal and district-level and above should set up special fund for the state compensation.System of Accounting separately and independently and special fund for special use should be implemented in both central and local governments.The special fund for compensation should be under unified management and should be granted by a compensation institution.The fiscal and auditing departments of governments in all levels should supervise and preside the use of special fund for compensation at the same level.The compensation range should be set based on the severe damage result to crime victim’s life and health.The damage casualty caused by people of no criminal liability should also be brought into the compensation range.The seriously wounded crime victim and the family member of the decedent should be the compensation objects.The family member of the decedent should only involve the direct relatives and the dependant of the crime victim.For the exclusive and restrictive conditions of compensation,it can be regulated by referring to the discussion conclusion of the reason attributable to the crime victim and appropriate consideration on compensation to crime victim.The compensation is classified to compensation for family member of the decedent and compensation for the severely wounded crime victim.It is not suitable to directly set the maximum compensation at a concrete amount,while it should be calculated by a base(the multiplicand) to itself a certain number of times. Given every possibility,per capita wage of workers is a comparably fair and rational optional base.As for the arrangement of compensation institution,the judicial administration department of the municipal and district-level should set the review committee of compensation to the crime victim as the most fundamental compensation institution。The reconsideration committee of compensation to the crime victim,responsible for the reconsideration application of the crime victim’s dissatisfaction to the compensation committee and make the reconsideration decision, should be set in the judicial administration department of the provinces, autonomous regions and municipalities.The highest compensation institution is set in ministry of justice and its main authority is to conduct,coordinate and supervise the state-level compensation work.Given the professional demanding of the compensation,the compensation institution should adopt the collegiate system to make compensation decision and administrative reconsideration.The staff of the institution should consist of lawyers with certain years of practice,judges,procurators and doctors,or scholars with certain research on criminology,criminal law,criminal policy and medicine.The compensation procedure includes such 4 aspects as application of compensating cases,trial,decision-making and the redemption procedure of dissatisfaction to the decision.After receiving the compensation application,the compensation committee shall make an inquiry and deliberation on the case,and other bodies and organizations should cooperate with and assist the committee.Since the receiving of application,the determination shall be made in a certain period of time after the compensation committee’s deliberation.If the applicant has dissenting opinion toward the compensation decision,he can initiate an administrative review to the reconsideration committee of compensation.更多还原