刑法中的严格责任研究

【作者】 佘小松；

【导师】 何泽宏；

【作者基本信息】 西南政法大学 ， 刑法学， 2004， 硕士

【摘要】 英美法系国家刑法中特有的严格责任制度的出现突破了“无罪过即无犯罪”的传统刑法原则，也突破了英美法系国家侧重于个体人权保护的程序保障，由此也引起了刑法学界的广泛关注。但由于我国刑法理论对其基本含义的研究存在混乱状况，从而导致在其合理性、我国刑法对其应抱什么态度等问题上存在较大分歧。本文在对英美法系国家严格责任的理论和立法司法实践考察的基础上，对严格责任的渊源、现状、含义及其合理性等问题进行了较为系统的梳理，进而结合我国的现实状况，提出了严格责任在我国的应有选择，并对我国在立法、司法活动中应当如何适用严格责任理论等问题作了具体的探讨。 全文共分四个部分，约四万五千字。 第一部分：严格责任的历史渊源和现状。该部分首先简单勾勒了严格责任产生的历史轨迹。然后，通过对严格责任立法的世界整体现状考察，得出结论认为英美法系国家及香港地区存在该制度，大陆法系部分国家的一些特别刑法规定中亦有该制度的痕迹，中国大陆刑法中是否存在严格责任制度或相类似规定制度还有待于对严格责任的含义予以明晰。 第二部分：严格责任的含义。在该部分中，笔者首先从严格责任的立法动因、具体司法适用、英美国家相关理论动态、刑事责任的一般概念四个方面着手推导出严格责任的含义应为：行为人不得侵犯刑法所保护的某种特殊社会关系或者不得实施对某些行为要素罪过状态难以证明的法定禁止的行为的更高的注意义务，以及在违背上述义务后所应承担的司法机关对某些行为要素的主观罪过不予证明就定罪的后果。其具有适用范围的法定性和限定性、行为要素的限定性、罪过形式的特殊性、罪过状态举证责任的特殊性的特点。在推导出该含义的基础上，笔者对国内刑法学界对严格责任的诸种定义进行了评说，然后，将严格责任分为相对严格责任和绝对严格责任两类并予以了区分。 第三部分：严格责任的合理性探讨。在该部分中，笔者首先对英美国家刑法学界就严格责任的公正性、有效性、合理性、必要性、合宪性问题的争论进行了介绍；然后对国内刑法学界相关观点予以了介绍、评析，并在此基础上总结出严格责任具有以下几个方面的合理性：它是社会整体利益与个体利益平衡下的产物；反映了功利主义的观点；体现了刑罚目的；符合罪责刑相适应的原则;有利于刑事诉讼效率的提高。 第四部分:严格责任与我国刑法。在该部分中，笔者从我国刑法应否借鉴严格责任制度以及应否全面借鉴严格责任制度两个方面进行了论证，得出了我国刑法应借鉴相对严格责任的结论。为解决相对严格责任的立法问题，笔者在对严格责任立法的风险责任论、报偿责任论、危害防止可能论、社会福利论四个理谢良据分析的基础上，得出结论认为严格责任立法所涉范围应限定在社会福利领域以及应对某些特殊社会关系予以特别保护的道德领域;在立法过程中应当坚持限制性原则、谦抑性原则、允许当事人抗辩原则;在具体制度设计上，应建立立法统计制度，以及从实体和程序两个方面入手建立立法选择制度。在应将哪些犯罪施以严格责任的考虑上，应分析英美国家的成功经验，对其在司法过程中决定将某个行为适以严格责任时所考虑的因素予以有选择的借鉴。在具体罪名上，我国没有必要将刑法中的醉酒的人犯罪施以严格责任，而奸淫幼女中的年龄错误、持有型犯罪、环境犯罪则有施以严格责任的必要。为解决相对严格责任在司法实践中的具体操作问题，笔者认为“过错推定”应当遵循以下几个规则:必须针对法律明文规定的某些事实和情节而推定;推定的基础事实必须真实可靠且其真实性应由控方承担举证责任;赋予被告人足够多的反驳机会。在辩护理由上，笔者通过对各种辩护理由的比较分析，认为在我国司法过程中对被告人应采用“善意辩护”制度，并且“善意辩护”应有的证明要求相对于传统的“不容置疑证据”的证明要求应当有所阳氏。更多还原

【Abstract】 The appearance of the strict liability characterized by the criminal law of Common Law System’s countries has broken the traditional principle of actus non facit reum nisi mens set rea and the procedure secure for individual human rights, which brings to criminal law academic circles’s wide-ranging attention. The confused state of the research in it’s concept in our country leads to the great differences in respect of it’s rationality and what attitude we ought to have. This article combs out the origin, the present condition, the concept and the rationality of it on the basis of the inspection on the theory, the legislation and judicature practice of strict liability in Common Law System, then basing on the reality of our country, put forward what selection we should have, and how to apply the theory of strict liability in legislation and judicature.There are four parts in this article, with about 55,000 characters.Part I: The origin and present condition of strict liability. First, the author gives brief account of the origin of strict liability, then to find out if the system of strict liability or the system similar to it exist in the criminal laws of Common Law System’s countries, HongKong area, Civil Law System’s countries and China, so to learn the world-wide condition of the legislation of strict liability sketchily.Part II: The concept of strict liability. In this part, after analyzing the motive of legislation, the application of judicature, the theories of west countries, and the general concept of criminal liability, the author deduces the concept of strict liability and its characteristics. Basing on above study, the author comments on the different definitions about strict liability in the field of Chinese criminal law. Then, the article classifies strict liabilityinto relative strict liability and absolute strict liability.Part III: The reasonableness of strict liability. First, the author introduces the argument about strict liability’s just, effectiveness, reasonableness, necessity and constitutionality among west countries’ criminal law scholars. Then, the author summarizes the reasonableness of strict liability after discussing the relevant viewpo.ints in our country.Part IV: Strict liability and China’s criminal law. The article concludes that China’s criminal law should learn from relative strict liability, which is demonstrated by two aspects: whether we should draw experience from strict liability or not, and whether we should learn comprehensively or not. After that, the author deliberates on the theoretic foundation, legislation principle, legislation’s system design of strict liability to provide theoretic guide for its legislation. Then, the author tries to analyze that whether the following problems can be applied to strict liability or not: an intoxicated person who commits a crime, the age fault in the crime of raping young girl, illegal holding crime, environment crime. Finally, in order to solve the practical problems of strict liability in judicial practice, the author demonstrates of three aspects: the regulation of deduction of fault, the pleading excuse, and the testifying requirement of "good pleading".更多还原