【作者】 王博；

【导师】 李永升；

【作者基本信息】 西南政法大学 ， 刑法学， 2011， 博士

【摘要】 近年来，随着科学技术的迅猛发展和广泛应用，社会的生产方式和人们的生活方式受到变革性地深刻变化，其中表现最为突出的一点就是，人类社会生产的分工愈加精细，尤其在高危险性行业里，人们之间相互分工、相互协作、相互督促、相互依赖的程度日益加深。例如，生产小组已经成为一个整体，其中每一个人的行为都会影响到其他小组成员和整个小组的工作安全和工作合格程度，不再是仅仅单独个人的行为，也不是个人只对自己的行为负责就足够了，每个人的行为都是整体行为的一部分，他们都负有彼此相互关注、相互提醒、相互督促、相互协助防止自己或其他小组成员的不谨慎行为造成危害结果发生的共同注意义务。与此同时，由于负有共同注意义务的各个行为人共同过失违反共同注意义务的行为给社会生产和社会安全带来了挑战，特别是过失共同犯罪造成重大社会危害结果的现象也日益突出，严重威胁着人们的生命安全、生产的正常运行和社会的和谐稳定，特别是司法实务部门在现行刑法的规定情况下带来了挑战和困难。因此，过失共同犯罪现象在我国当前愈加突出，不仅仅只是一个法律问题，更已经成为一个社会问题，已经引起了社会各界特别是新闻媒体的高度重视、普遍关注和热烈讨论，形势逼人、时间紧迫，需要我国刑法理论和刑事立法对此作出及时地、正面地回应。然而，我国现行刑法规定和传统理论通说都否定过失共同犯罪，无法为正确处理过失共同犯罪行为提供法律依据和理论指导，给人们的行为规范和司法审判实践带来了困惑与难题。2000年11月15日最高人民法院出台的《关于审理交通肇事刑事案件具体应用法律若干问题的解释》，给司法审判实践正确合理处理过失共同犯罪带来了依据和喜悦，同时，由于现行刑法的规定，造成立法与司法解释在某些方面的冲突与矛盾，又使得司法机关处于两难尴尬的境地。因此，我国经济社会发展面临的突出问题和司法部门审理复杂案件的迫切现实需要，都要求刑法理论高度重视和深入研究过失共同犯罪问题，为刑法修订提供理论支持，为司法审判提供理论指导，都要求修订刑事立法为正确合理地审理过失共同犯罪案件提供法律依据，为经济社会的健康科学发展与社会的和谐良性运转提供法律保障，为人们养成严谨负责行为、提高国民素质提供行为规范。可见，深入开展过失共同犯罪理论研究，具有重大深远的理论价值和重要紧迫的现实意义。笔者始终坚持实事求是的科学精神和追求真理的学术精神，采取了比较分析法、举例佐证法、语义学与法学结合法、反面论证法、归纳总结法、形象比喻法、理论联系实际等写作方法，全面搜集和学习前人的相关论著等参考资料，在充分地回顾考察和借鉴参考古今中外关于过失共同犯罪的理论学说、立法规定和司法判例的基础上，从实证和理论两个层面严谨论证了承认和成立过失共同犯罪的现实依据、理论依据和法律依据，进而提出了过失共同犯罪的概念，并与相关容易混淆的概念加以区分，论证了过失共同犯罪的构成要件和成立范围，以及刑事责任分配的原则，并限制性地引入了信赖原则作为刑事责任承担的阻却事由，从而构建了过失共同犯罪的理论体系，并提出了立法建议。本文主要分为六个部分，全文近18万字，主要内容如下：第一部分，全面回顾考察、参考借鉴和比较评析了古往今来各主要国家关于过失共同犯罪的相关理论学说、立法规定和司法判例，分析梳理了当前我国关于过失共同犯罪的理论研究现状和成果，以及司法审判实践对过失共同犯罪问题的态度和做法，并简要地做了分析与评价，从总体上比较全面客观地把握了国内外关于过失共同犯罪问题的研究现状，为下文的进一步展开论述做了必要背景说明和理论铺垫。第二部分，采用比较分析、归纳总结、举例佐证、反面论证等方式方法，对承认和成立过失共同犯罪的八个主要方面的现实依据进行了一一论证，同时，也对否定过失共同犯罪论者的主要观点、疑惑和论据逐一进行了批驳和解释，继而对过失共同犯罪符合过失犯罪和共同犯罪的本质要求，以及符合主客观相统一、刑法谦抑等主要刑法原则的本质要求进行了阐述，并对成立过失共同犯罪可以借鉴的古今中外的法律规定进行了全面分析和归纳总结，到此，为论证过失共同犯罪的成立提供了坚实的现实依据、理论依据和法律依据，同时，也就论证了承认和成立过失共同犯罪的必要性与可行性。第三部分，在前文论证成立过失共同犯罪的基础上，通过全面分析和比较当前我国否定和肯定过失共同犯罪的主要代表学者对过失共同犯罪概念所下定义的优势和不足，站在前辈的已有的基础上，进而提出了过失共同犯罪的概念，并深刻分析了过失共同犯罪的学理概念与法律概念，以及过失共同犯罪与共同过失犯罪、过失共同犯罪与竞合过失犯罪等学界普遍容易混淆的概念之间的区别与联系，从而为今后刑法理论界讨论过失共同犯罪问题提供了统一的平台，为避免因为各个学者对同一概念的不同理解所导致的研究混乱和资源内耗等现象的发生澄清了不同概念之间的含义与联系。第四部分，在前文论证过失共同犯罪成立和明确过失共同犯罪概念的基础上，提出了过失共同犯罪的理论体系，即全面分析探讨了成立过失共同犯罪前提条件的共同注意义务的内涵、特征、来源、内容和能力的判断，以及成立过失共同犯罪的主体要件、主观要件、客观要件等主要构成要件。以过失共同犯罪的构成要件理论为依据，探讨了过失共同犯罪的成立范围，对过失共同正犯进行了科学分类，对过失教唆行为、过失帮助行为、结果加重犯中的过失行为均能够成立过失共同犯罪做了论证，并对理论界和实务界比较关心和广泛热议的监督过失和单位过失是否构成过失共同犯罪进行了否定论证，同时对2000年11月15日最高人民法院出台的《关于审理交通肇事刑事案件具体应用法律若干问题的解释》有关过失共同犯罪的条款作了评析。第五部分，在前文论证过失共同犯罪成立和提出过失共同犯罪理论体系的基础上，对我国刑法规定和传统理论通说关于过失共同犯罪的量刑原则进行了回顾和反思，进而提出对于过失共同犯罪应当遵循的基本原则，即应当适用共同责任原则、部分行为全部责任原则和区别对待原则，并对各个过失共同犯罪行为人责任分配的主要依据进行了阐述，即要根据各行为人的主观过失程度、所处地位、所起作用，以及其过失行为与危害结果之间的原因力等因素综合决定具体刑事责任的大小，并严格限制地引入了信赖原则作为过失共同犯罪的责任阻却事由。第六部分，在前文对承认和成立过失共同犯罪充分论证的基础上，水到渠成、瓜熟蒂落，笔者对现行刑法大胆提出了修订建议，重新定义了共同犯罪的法定概念，将故意共同犯罪和过失共同犯罪作为共同犯罪的两种法定形态，并将过失帮助犯、过失教唆犯也纳入刑法总则中予以明文规定，并对过失共犯的量刑作出了立法建议。更多还原

【Abstract】 In recent years, with the rapid development and extensive application of science andtechnology, the way of production and people’s way of life is transformative to profoundchanges, the most prominent point of the performance is that human society is producingincreasingly fine division of labor, especially in high-risk of the industry, the division of laborbetween people, mutual cooperation, mutual supervision, the extent of deepeninginterdependence. For example, the production team has become a whole, each of which willaffect the behavior of other team members and the entire team of qualified degree of safety atwork and the work is no longer just a single individual’s behavior, not only for individualsresponsible for their actions enough, each person’s actions are part of the overall behavior,they bear each other attention, reminded each other, mutual supervision and mutual helpprevent herself or other team members of the imprudent behavior harmful results to thecommon duty of care.At the same time, have a shared duty of care because all actors shared a common duty ofcare negligence act of violation to the social production and social security challenges, inparticular, the negligence joint offense causing significant harm to society are alsoincreasingly prominent phenomenon of the results, serious threatening the lives of the people,the normal operation of production and social harmony and stability, especially in the currentjudicial practice departments under the provisions of the Criminal Code has broughtchallenges and difficulties. Therefore, the negligence joint offense in our country becomemore prominent, and not just a legal issue, but has become a social problem, has caused thecommunity, especially the media attention, attention and heated discussion, the situation ispressing, the time is urgent need of this theory of criminal law and criminal legislation tomake timely and positive response. However, China’s current criminal law and the traditional theory that all negativethrough the negligence joint offense, can’t properly handle acts provide the legal basis andtheoretical guidance to the people’s behavior norms and judicial practice has broughtconfusion and problems. November15,2000the Supreme Court issued "a number of issuesspecific application of the interpretation of the law for traffic accident on the trial of criminalcases", that bring the legal basis and joy for the judicial practice to deal with the negligencejoint offense properly, and because of the existing criminal law requirements, resulting inconflicts and contradictions between the Criminal Code and the legislation of judicialinterpretation an certain aspects, but also makes the judiciary in a difficult dilemma. Therefore,China’s outstanding issues of economic and social development and the urgent practical needsfor the judiciary hearing complex cases, require attention of criminal law theory and furtherstudy of the negligence joint offense, provide theoretical support for the amendments to thePenal Code, to provide theoretical guidance for the administration of justice, to amendcriminal legislation to correct the negligence joint offense of reasonable criminal cases tried toprovide a legal basis, to provide legal protection for the economic and social development andhealth sciences healthy functioning of social harmony, to provide a code of conduct forpeople to develop a strict and responsible behavior and to improve the quality of people.Therefore, shows depth on the negligence joint offense theory, is of great value andimportance of far-reaching urgent practical significance.I always adhere to the scientific spirit of seeking truth from facts and the spirit ofacademic pursuit of truth, and I has taken a comparative analysis, for example of evidence,semantics and law combination, a counter-argument method, summarized the method, theimage analogy, theory with practice and other writing methods, comprehensive collection andstudy of the other related to the previous reference, the full review in the reference study andlearn together at all times on the negligence joint offense doctrine, legislative provisions andjudicial precedents, based on two levels from the empirical and theoretical rigor demonstratedrecognition and the establishment of the reality basis, theoretical basis and legal basis of the negligence joint offense. To put forward the concept of the negligence joint offense and todistinguish the relevant conception with the negligence joint offense. To demonstrate theElements of the negligence joint offense and the establishment of the range, and the criminalthe distribution of income and the introduction of a new restrictive principle as a Resistant isas subject, in order to build a theory of the negligence joint offense system, and madelegislative proposals.This paper is divided into six parts, the text has nearly180,000words, the main contentsare as follows:The first part, comprehensive review of inspection, a reference for the ages Review andcompare all the major countries on the theory of the negligence joint offense doctrine,legislation and judicial precedents, of sorts out the negligence joint offense of our country onthe current theories and results, and the attitudes and practices of judicial criminal trialpractice issues of the negligence joint offense, and made a brief analysis and evaluation,generally more comprehensive and objective grasp of the domestic and international issues ofnegligence joint offense on the research status, as discussed below, the further expansionmade necessary background and theoretical groundwork.The second part, the use of comparative analysis, summarized, for example support,feasibility studies and other negative ways and means of recognition and the establishment ofthe negligence joint offense of the eight major aspects of reality were based on one by oneargument, while also to refute and explain the main points, doubts and arguments of denyingthe negligence joint offense one by one, and then meet on the nature of requirements ofcriminal negligence and common crime, and meet the objective and subjective unity, the mainprinciples of criminal law and other essential requirements are described, and theestablishment of the negligence joint offense can learn the legal requirements at all timesconducted a comprehensive analysis and summarized, this, in order to demonstrate theestablishment of the negligence joint offense provides a solid practical basis, the theoretical basis and legal basis, while also recognition and demonstrated the need for the establishmentof the negligence joint offense feasibility.The third part, the establishment of the earlier text argument on the basis of thenegligence joint offense, through a comprehensive analysis and comparison of strengths andweaknesses of the main scholars of negative and positive current to define the concept of thenegligence joint offense. standing predecessors have been some basis, then put forward theconcept of the negligence joint offense, and profound analysis the theoretical concepts andlegal concepts, as well as the negligence joint offense and the common negligence offense,the negligence joint offense and the competing criminal negligence and other competingacademic circles confused the difference and connection between the concepts, thus toprovide a unified platform for all scholars of the criminal theorists to discuss the negligencejoint offense for the future, in order to avoid different interpretations of the same concept ofchaos caused by internal friction and resources to clarify the occurrence of such phenomenadifferent meaning and connection between the concepts.The fourth part, on the basis of the establishment and the clear concept of the negligencejoint offense, to present a theoretical system of the negligence joint offense, that iscomprehensive analysis of of the joint duty of care for the content, features, origin, contentand ability to judge, and the establishment of the main elements of the negligence jointoffense, the subjective element, objective elements and other major constituents. Based on thetheory of the negligence joint offense Fault-Elements, this part discusses on the establishmentof a range of the negligence joint offense and to offender a scientific classification of thenegligence joint offense. And to prove the abetting acts of negligence, negligence helpingbehavior, consequential offense of negligent acts to the establishment of the negligence jointoffense, and the theory and practice are more concerned about community supervision andextensive hot and units of negligence constitute a negative argument for the negligence jointoffense. While November15,2000the Supreme Court issued "a number of issues specific application of the interpretation of the law for traffic accident on the trial of criminal cases",commons on the relevant assessment of the negligence joint offense.The fifth part, on the basis of the text demonstrates the previous and proposed theestablishment of the negligence joint offense and the theory of joint criminal system, theprinciples of sentencing of the traditional theory and criminal law provisions wereretrospective, and thus made for the negligence joint offense should follow the basic principlethat should apply the principle of shared responsibility, full responsibility for some acts ofprinciple and the principle of differential treatment, and the co-perpetrator of each fault themain basis for the allocation of responsibilities are described, which acts according to thedegree of subjective fault, of their status, role, and their negligence and harm the cause ofpower between the results and other factors determine the specific criminal responsibility, andstrictly limit the principle of the introduction of the trust responsibility as a joint criminalnegligence negates the reason.The sixth part, on the basis of the earlier on the recognition and the establishment of thenegligence joint offense, I made the proposed amendments to the Penal Code, to redefine thelegal concept of common crime, the common intentional crime and the negligence jointoffense are two statutory forms of the common crime, and help guilty of negligence and faultinstigator are also included in the Criminal Code to be expressly provided in the General, andmade a legislative proposal for sentencing.更多还原