【作者】 吴波；

【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】 共同犯罪的停止形态理论是共同犯罪形态与犯罪停止形态两大理论的交叉与融合,其研究对象是根据共同犯罪和停止形态两个理论标准,对具有特定共性特征的犯罪现象进行相应分类所形成的特殊犯罪形态。研究内容既包括不同共同犯罪停止形态的认定,也包括不同共同犯罪停止形态下犯罪参与者的定罪与量刑。与其相勾连的理论问题基本涵盖了各个层级的刑法理论,贯穿着整个刑法理论体系。对共同犯罪停止形态的研究不仅涉及犯罪构成的基本原理、共同犯罪以及犯罪形态等刑法基础理论,还涉及到刑事法治、刑事司法裁量权的控制等课题的研究和把握,因此该选题具有一定的理论深度和研究价值。文章从共同犯罪停止形态的基本理论入手,以一般意义上的犯罪形态概念、共同犯罪形态、犯罪停止形态在犯罪形态体系中的定位为逻辑起点,依据刑法基础理论发展和司法适用现状,确定了研究内容上的三个主题,分别为“共同犯罪停止形态的界定”、“共同犯罪停止形态的类型及其界限”、“共同犯罪停止形态的定罪与量刑”;同时,在现有研究成果的基础上,全文在思考过程中侧重于解决四个方面的理论问题:其一,尝试建立分析共同犯罪停止形态的理论框架,基本的想法是,该框架应当适合国情,能充分发挥本土法治资源,在逻辑结构上具有针对性,且有较强的分析功能与实用性;其二,探索如何在正犯与共犯二元区分制的体系下,对共同犯罪停止形态的认定、分类、界限、处罚等问题进行研究;其三,积极思考修正的犯罪构成理论在共同犯罪停止形态研究中的运用,一则加强其与四要件犯罪构成理论之间的关联性论证,二则将犯罪构成要素存在的修正情况进行分析,三则尝试对修正的犯罪构成理论进行完善;其四,对研究中涉及的“不确定的法律概念”这一现象进行梳理与分析,并以此为分析角度探讨如何加强和改进涉及共同犯罪停止形态的立法规制与司法运行。正文部分共分为四章:第一章为共同犯罪停止形态的理论基础。现有的研究成果业已涵盖罪体形态、罪责形态、故意犯罪停止形态、共同犯罪形态、罪数形态等相关内容。本章从探索犯罪形态的涵义出发,总结了犯罪形态理论研究的概况,以期梳理清楚犯罪形态的基本体系,明晰共同犯罪停止形态在犯罪形态理论中的体系定位。文章认为,基于犯罪构成理论构建犯罪形态体系具有较强的可行性,犯罪形态本质上是与定罪量刑有关的犯罪构成特定特征类型化,是根据一定的标准对具有特定共性的犯罪进行相应分类而形成的形态。因此,不同类型的犯罪形态依然是以犯罪构成要件为理论基础的,而犯罪形态类型之间的区别主要在于犯罪构成要件要素之间的差别。从本文的研究角度出发,可以把犯罪形态分为基本的犯罪形态和修正的犯罪形态。基本形态是由犯罪构成的具体要素而形成的各种犯罪形态,这些形态是犯罪的常见形式、基本形式;修正形态包括停止形态、共同犯罪形态和罪数形态。这样的划分是基于以下法理逻辑:基本犯的模式形态是既遂犯、单独犯和一罪犯(纯粹的一罪),与此相对应的修正形态应为停止形态、共同犯罪形态和罪数形态。将停止形态、共同犯罪形态以及罪数形态作为犯罪的修正形态,体现了在统一的犯罪构成理论体系下,单一行为犯罪因构成要件要素方面的不同特点所形成的特殊犯罪形态。在研究共同犯罪形态时,应对共同犯罪的参与者采取区分制,在二元区分制的语境下使用“共犯”与“正犯”的概念,且二者应采取犯罪支配论予以区分。犯罪停止形态的本质特征在于故意犯罪行为的“停顿”,考察故意犯罪停止形态应该坚持“静态”的标准;一个犯罪行为只有一种犯罪形态,出现了一种犯罪形态后就不可能再出现另一种犯罪形态。第二章为共同犯罪停止形态的构成。本章从共同犯罪停止形态与犯罪构成之间的关系入手,首先从以英国、美国为代表的双层次犯罪论体系,以德国、日本为代表的大陆法系三阶层犯罪论体系,以及我国四要件犯罪论体系等不同角度,对共同犯罪停止形态在相应体系中的理论定位进行了比较分析。其次,文章认为四要件犯罪构成理论是一种历史性的选择,具有历史合理性;符合中国国情,具有现实合理性;逻辑严密、契合认识规律,符合犯罪本质特征;与德日三阶层犯罪论体系相比,相对稳定,适合中国诉讼模式,应选择“四要件理论”作为分析共同犯罪停止形态的基础。在共同犯罪形态、犯罪的停止形态与犯罪构成的相互关系上,并不存在着一个独立的共同犯罪构成。依据修正的犯罪构成理论,共同犯罪停止形态本质上是对犯罪构成的二次修正。第三章为共同犯罪的完成形态。本章采用正犯与共犯这一二元区分制的理论框架来分析共同犯罪理论体系,尝试在我国四要件犯罪构成理论下,运用修正的犯罪构成理论来分析我国的具体现实,并探索把我国刑法理论以及立法的相关内容分述其中。具体包括:正犯的犯罪构成要件及其完成形态的判断,共犯的犯罪构成要件及其完成形态的判断,以及正犯与共犯的处罚原则。文章认为正犯是共同犯罪的中心形态,是第一次的处罚对象。正犯的完成形态是指正犯的犯罪既遂,是共同犯罪停止形态的种类之一。判断正犯是否成立完成形态,应以行为人所实施的行为是否完备刑法分则所规定的某一犯罪的基本犯罪构成为标准,同时兼顾不同的犯罪类型。正犯除了犯罪主体的数量上对犯罪构成进行修正之外,在主观要件和客观要件上也存在修正的现象。共同正犯的完成形态,以犯罪共同实行行为为必要,除了应当具备共同犯罪成立的必备条件之外,在犯罪的构成要件要素方面也存在着一些特殊性。文章经过分析认为,在正犯与共犯区分架构下,共犯的成立需从属于正犯,以采用“共犯从属性说”中的“限制从属形式”为宜。共犯的完成形态可进一步区分为教唆犯的完成形态和帮助犯的完成形态等。在对完成形态的共犯进行处罚时,在共犯成立的基础上,从处罚基础衔接的角度来说,可以采取修正惹起说或折衷惹起说。第四章为共同犯罪的未完成形态。共同犯罪的未完成形态是对单独既遂形态的二次修正,比共同犯罪完成形态更加复杂。本章从三种不同类型未完成形态的界分标准入手,探讨共同犯罪的预备形态、未遂形态及中止形态的界限。共同犯罪的预备形态是指实施了共同犯罪预备行为,由于共同犯罪人意志以外的原因而未能着手实施共同犯罪行为的一种犯罪停止状态。共同犯罪的未遂形态是指共同犯罪的参与者在实施犯罪的过程中已经着手实行犯罪,由于行为人意志以外的原因而没有得逞所呈现的犯罪停止形态。共同犯罪的中止形态是指共同犯罪的参与者在实施犯罪的过程中自动放弃犯罪并有效防止犯罪结果发生,进而实现的行为“停顿”状态。考察共同犯罪的未完成形态,同样需要以既遂形态为参考,且要顾及到不同犯罪类型之间的区别。在界分各停止形态的基础上,从“不确定法律概念”的角度,对共同犯罪停止形态定罪量刑中的司法裁量权控制提出了立法控制、裁量基准和程序性控制等建议。更多还原

【Abstract】 The theory of Cessation of the form of stop common crime is an integration of the two theoretical cross of the form of stop common crime theory and the criminal cessation form. According to these two theories, its object is specific common characteristics of the crime and making the appropriate classification by the formation of particular crimes. Contents of the study includes not only the identification of different shapes of common crime, but also under a different form of common crime, stop crime, conviction and sentencing of participants. Connecting with the theoretical issues relative to the basic cover all levels of criminal law theory, throughout the study of the whole system of criminal law theory, the common forms of crime to stop crime, not only involves the basic principle of common crime, patterns of crime and other basic theories of criminal law, but also involves the study and handle of issues of the rule of criminal law, criminal justice discretion , so that the topics of the theory has a certain depth and research value. Studying the thematic of the form of stop common crime, to a certain extent, change the status quo of academic level of the theoretical problems of this study is not comprehensive and systematic enough.The basic theory of the form of stop common crime leads the whole article, as a general sense of the concept of crime patterns and common patterns of crime, crime patterns in the patterns of stop crime the positioning system as a logical basis, is based on the status quo of the development of criminal law and judicial application of basic theory, and determine the study on the three themes, namely "to define the form of stop common crime," "the form of stop common types and their boundaries," "conviction and sentencing the form of stop common"; on the other hand, according to the study for the academic status quo, author focuses on solving the theoretical problems in four fields: first, try to establish a theoretical framework of analysing the form of stop common crime, and the basic idea is that the framework should be adapted to domestic conditions, able to bring the local rule of law and resources into full play, and proper as well as strong analysis capability and practicality in logical structure; second, make effort to break through the explain-ism of Criminal Code, to explore how the distinction between perpetrator and accomplice binary system, as well as study identifing classifing limiting and penalizing the form of stop common crime and other problems; third, the positive thinking the application of the amendment of a theory of the crime constitution in of the stop common crime. A, strengthening theoretical arguments between itself and its links with the four elements crime constitution. B, analysing the amendments of criminal elements. C, improving the theory ; fourth, sort out and analyse the phenomenon of the "uncertain legal concept" in the study and make it as analysis point of view to explore ways to strengthen and improve the legislation and justice system function when it comes to the form of the stop common crime. The body is divided into four chapters:The first chapter is the theoretical basis of the form of the stop common crime. The existing body of research has been covering the crime of shape, guilt form, form of stop intentional crime, form of common crime, form of crime patterns amount and other related content. This chapter beginging with the exploration of the meaning of the form of crime, sums up the overview of theoretical studies the form of crime in order to sort out and clear the basic system of form of crime, common crime, to stop clear the system location of the form of crime in the theory. According to the article, based on the strong possibility of systems theory to build a constitution a form of systems, is essentially related crime with the conviction and sentencing constitutes a particular type of feature and is based on certain criteria with specific common categories of criminal conduct to form the corresponding forms. Therefore, different types of crime are still based on the theoretical basis of the elements that a crime constitution, while the difference between the types of crime form the main elements that a crime constitution is the difference between the elements. For the purposes of this article, the more valuable the study of morphological types of crime is the crime of standards should be divided into two basic types of crime forms and amendments to types of crime. The basic form of crime is composed of specific elements of the crime, the formation of a variety of forms of crime, these forms are a common form of crime and the basic form, which are called the basic form of crime. Revised form including the cessation of shape, the amount of common patterns of crime and crime forms. Such a division is based on what the legal logic is: basic commit mode shape is accomplished offence, a single criminal offenders and one (purely a crime), and the corresponding the form of amendments should be stop form, the amount of the forms of common crime and crime forms. Making the form of will-stop, the form of common crime and crime forms amount of amendments as a form of crime reflects the composition of crime in a unified theoretical system, a single act constituting of a crime by elements of the different elements of the characteristics of the formation of a special crime. The common forms of crime in the study, the participants should be taken to distinguish between a common crime, the system should distinguish between binary system in the context of the use of "complicity" and "perpetrator" concept, and the two dominant theory of crime should be taken to distinguish between them. Crime Stop is the essential feature of intentional form of crime "pause" , and the investigation of the deliberate crime investigation forms should adhere to the "static" standard; a form of crime is only a crime, and there has been a crime, not after the occurrence of another form of a crime.Chapter II for the common forms of crime constitutes a stop crime. This chapter is based on the relationship of the forms of common crime and crime constitution. First, compare the United Kingdom, the United States as the representative of the "dual" of crime on the system , Germany, Japan, represented by three classes of crime on the civil law system, and the former Soviet Union, China as the representative of the coupled system that constitute a crime under the theory of the form of the stop common crime positioning; Secondly, the article maintains that the theory of the four-element crime constitution is a historic choice, conforms to China’s national conditions, practical rationality, logic tight, with historical rationality, conforms to China’s national conditions, fits the understanding of the laws in line with the essential characteristic of crime; and is compared with Germany and Japan on the system of three levels of crime than the relatively stable, and suitable for China’s action model. It should select the "Four Elements theory" as an analytical form of stop common crime foundation. With the relationship of the forms of common crime, crime forms and a stop crime constitution , there is not a stand-alone stop common crime constitution. Revised based on the theory that constitute a crime, common crime, stop crime is essentially a form of secondary structure amendments.Chapter III is the completion of the forms of common crime. This chapter will use the principal offender and an accomplice in this binary distinction between the theoretical framework to describe the system of common crime theoretical system, and try in our four-element crime constitution under the theory of criminal use of the amendment constitution a theoretical analysis of the concrete realities of our country, exploring the theory and China’s Criminal Law legislation relevant content sub-outline of the. Details include: committing a crime elements and complete forms of judgments, the elements of crimes constitution and their accomplices to complete form judgments, the perpetrator, the punishment, and the principle of an accomplice. According to the article, perpetrator is the center of the forms of common crime, and punishment is the first time an object. Perpetrator of the completion of forms, it is guilty of criminal corrections consummated, is a common form of crime to stop one of the categories to determine whether to set up committing the completion of forms, and should be implemented by the behavior of the perpetrator the adequacy of the provisions of criminal law under the commission of an offence. The basic crime constitute a standard, taking into account the different types of crime. In addition to the main perpetrator of crime on the number of amendments to constitute a crime in addition to subjective and objective elements. There are also elements of the phenomenon of the amendment. The establishment of joint principal offender to complete forms, to the joint exercise of criminal conduct as necessary, in addition, should have the prerequisites for the establishment of a common crime, and, the composition of elements of the crime there are some elements of specificity. After analysis, the distinction between perpetrator and accomplice under the framework of the establishment of an accomplice should be subordinate to the principal offender, and adoptting the "accomplice from the property to say" in the "restricted subordinate form" is appropriate. The completion of an accomplice patterns can be further divided into instigator of the completion of forms and help offenders complete the form. In the form of an accomplice to the completion of punishment, on the basis of the establishment of the accomplices, for the punishment-based convergence point of view can be taken to amendment or compromise.Chapter IV is the form of a unfinished-common-crime research. unfinished-common-crime is consummated a separate form of the second amendment to the completion of more than a common crime forms and more complex, and unfinished-common-crime is very difficult to identify. The academic circle of the criminal law have not completed the forms of common crime and have also done a lot to exploration, but still there are many controversial issues. This chapter will begins from three different types of unfinished form of the boundary of sub-standard starting point to explore the preparation of common crime, shape, form, and attempt to suspend the boundaries of form. In preparation for the implementation of a common crime, preparatory acts of common crime, as co-perpetrators will not proceed for reasons other than the implementation of a common criminal acts to stop the state of a crime. The form of common criminal attempt refers to a participant in the implementation of a common crime. A crime has embarked on the process of crime, due to reasons other than the will of the perpetrator who did not succeed to stop crime presented by form, so as to achieve the behavior of the "pause" state. The suspension of the form of common crime is the participants of the common crime in the process of the implementation of crime decides the waiver of the suspension and automatic effectively makes the prevention of crimes happening, so as to achieve the behavior of the "pause" state. The investigation of the of the form unfinished-common-criminal, also need the reference to be consummated, and take into account the differences between the different types of crime, such as committing helping commit acts there, the results of previous convictions, and personally committed situation. In minute each stop state foundation, from“uncertain legal concept”the angle, decided after deliberation the power control to the judicature to propose the legislation control, decided after deliberation suggestions and so on datum and procedural control.更多还原