【摘要】：刑法學(xué)界一般認(rèn)為我國刑法第13條是我國刑法規(guī)定的犯罪概念，即什么是犯罪。細(xì)究之，這一有關(guān)犯罪概念的規(guī)定實(shí)際上包含了兩部分內(nèi)容：前半段主要闡明什么是犯罪，后半段主要闡明什么不是犯罪，其中后半段對(duì)于什么不是犯罪的規(guī)定，刑法理論上一般稱為“但書”或曰“但書”規(guī)定（如無特別說明，下文中的“但書”皆指我國刑法第13條中的但書）。針對(duì)我國刑法第13條“但書”規(guī)定的理解與適用，在刑法理論界和司法實(shí)務(wù)界都產(chǎn)生了非常大的爭議，與此同時(shí)也加深了對(duì)該條文規(guī)定的深入思考和研究，但是在不少問題上尚未達(dá)成一致意見。針對(duì)此問題，筆者不揣粗陋，擬深入考察“但書”規(guī)定的“前世今生”，從歷史沿革的角度探尋這種立法表述的理論基礎(chǔ)和思想淵源，并在此基礎(chǔ)上梳理和明確“但書”規(guī)定的應(yīng)有內(nèi)涵，進(jìn)而明確其與犯罪概念、犯罪構(gòu)成等刑法重要理論的關(guān)系，以明晰“但書”規(guī)定的的性質(zhì)定位和基本功能。在闡明理論問題的同時(shí)，論證和闡明“但書”規(guī)定司法適用的必要性與可行性，并進(jìn)一步從程序和實(shí)體兩個(gè)維度和層面構(gòu)建具體的司法適用規(guī)則和路徑，以期對(duì)相關(guān)刑法理論研究和司法適用有所裨益。 具體而言，依循“但書”規(guī)定的歷史沿革，“但書”規(guī)定的存在具有歷史偶然性和現(xiàn)實(shí)必然性，前者在于立法背景和社會(huì)環(huán)境、政治氣候的影響，后者在于我國刑事司法實(shí)踐懲防犯罪的經(jīng)驗(yàn)總結(jié)和理論升華以及劃分部門法界限，保障我國法律體系完整、統(tǒng)一、協(xié)調(diào)的需要。與此同時(shí)，“但書”規(guī)定的存在還受到我國傳統(tǒng)法律文化、法律思維和根深蒂固的“法不責(zé)眾”社會(huì)觀念的影響�！暗珪币�(guī)定是犯罪概念的重要組成部分，而且是不可分割的必要組成部分。對(duì)于犯罪概念的理解不能停留在規(guī)定什么是犯罪的層面，更應(yīng)當(dāng)關(guān)注到什么不是犯罪的方面；不僅要重視入罪的必要性和重要性，更應(yīng)當(dāng)考慮到出罪的可能性和可行性；不僅應(yīng)當(dāng)包含對(duì)于成立犯罪的“質(zhì)”的規(guī)定性，也應(yīng)當(dāng)包含對(duì)于成立犯罪“量”的規(guī)定性。犯罪概念應(yīng)當(dāng)是成立犯罪“質(zhì)”與“量”的統(tǒng)一，而作為犯罪概念重要組成部分的“但書”規(guī)定也應(yīng)當(dāng)是不成立犯罪“質(zhì)”與“量”的統(tǒng)一，即作為“量”的“情節(jié)顯著輕微”規(guī)定與作為“質(zhì)”的“危害不大”規(guī)定的“統(tǒng)一”——“不認(rèn)為是犯罪”，即“不是犯罪”�！暗珪币�(guī)定的存在并沒有破壞或有損于犯罪構(gòu)成作為認(rèn)定犯罪成立的唯一規(guī)格和標(biāo)準(zhǔn)，但前提是現(xiàn)有刑法理論對(duì)于犯罪構(gòu)成的認(rèn)識(shí)和研究需要修正和完善，即必須建構(gòu)在犯罪構(gòu)成是一個(gè)真正獨(dú)立、全面、完整的認(rèn)定是否成立犯罪的根本標(biāo)準(zhǔn)和唯一標(biāo)準(zhǔn)，亦即犯罪構(gòu)成必須兼顧實(shí)現(xiàn)“入罪”和“出罪”的雙向機(jī)制與功能，防止只能“進(jìn)”，不能“出”，以此真正確立“但書”規(guī)定在犯罪構(gòu)成中的定位——承載出罪功能的出罪機(jī)制。如此，在結(jié)合理論研究革新和司法實(shí)踐需要的基礎(chǔ)上論證“但書”規(guī)定司法適用的必要性與可行性，并從程序法和實(shí)體法兩個(gè)層面深入探究其適用的具體路徑，即在刑事訴訟程序上，充分發(fā)揮偵查機(jī)關(guān)、檢察機(jī)關(guān)、審判機(jī)關(guān)各自所處訴訟階段的優(yōu)勢與長處，建立和完善過濾機(jī)制，以實(shí)現(xiàn)出罪的可能性；在實(shí)體法層面，要明確但書規(guī)定的司法適用效力，確立其可以作為判決引用的條文依據(jù)；完善但書規(guī)定的司法適用原則和規(guī)則，消減模糊性，構(gòu)建確定性；賦予司法者一定程度和范圍的自由裁量權(quán)以實(shí)現(xiàn)個(gè)案正義，從而妥善處理適用原則與規(guī)則在個(gè)案中的矛盾與沖突，確保刑法體系完整、統(tǒng)一和司法適用的協(xié)調(diào)、公平與公正。如此，以真正實(shí)現(xiàn)“但書”規(guī)定出罪功能的可行性路徑，促成立法與司法的良性互動(dòng)，推動(dòng)刑法理論體系的革新與發(fā)展、司法實(shí)踐的成熟與完善。
[Abstract]:Criminal law scholars generally believe that Article 13 of the Criminal Law of China is the concept of crime stipulated in the Criminal Law of China, that is, what is a crime. Detailed investigation, the relevant provisions of the concept of crime actually contains two parts: the first half mainly clarifies what is a crime, the second half mainly clarifies what is not a crime, and the second half of the paragraph for what is not a crime. Provisions, the criminal law generally known as the "proviso" or "proviso" provisions (if no special explanation, the following "proviso" refers to the proviso in Article 13 of the Criminal Law of China). China's Criminal Law Article 13 "proviso" for the understanding and application of the provisions, the theory of criminal law and judicial practice have produced a very big controversy, and at the same time at the same time. In view of this problem, the author intends to make an in-depth study of the "past and present life" stipulated in the "proviso" and explore the theoretical basis and ideological origin of this legislative expression from the perspective of historical evolution. To clarify the connotation of the Provisions and the relationship between the Provisions and the important theories of criminal law, such as the concept of crime and the constitution of crime, so as to clarify the nature, orientation and basic functions of the Provisions. And the entity of the two dimensions and levels to build specific rules and path of judicial application, with a view to the relevant theoretical study of criminal law and judicial application benefit.
Specifically speaking, following the historical evolution of the Provisions of the Provisions, the existence of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisi At the same time, the existence of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the Provisions of the People's Republic of China is also influenced by the traditional legal culture, legal The understanding of the concept should not stay at the level of defining what is a crime, but should pay more attention to what is not a crime. We should not only pay attention to the necessity and importance of conviction, but also consider the possibility and feasibility of guilty. We should not only include the stipulation of the "quality" of the convicted crime, but also include the convicted crime. The concept of crime should be the unity of "quality" and "quantity", and the "proviso", as an important part of the concept of crime, should also be the unity of "quality" and "quantity", that is, the provisions of "significant minor circumstances" as "quantity" and "little harm" as "quality". The existence of the Provisions does not destroy or impair the constitution of a crime as the sole criterion and standard for determining the establishment of a crime, but the premise is that the understanding and study of the constitution of a crime in the existing criminal law theory need to be revised and perfected, that is, it must be constructed in the crime. The constitution of a crime is a truly independent, comprehensive and complete criterion for determining whether a crime is constituted or not, that is, the constitution of a crime must take into account the dual mechanism and function of "conviction" and "guilty" so as to prevent "entering" and "not"going out", so as to establish the position of"proviso"in the constitution of a crime. Therefore, on the basis of theoretical research innovation and judicial practice, this paper demonstrates the necessity and feasibility of judicial application of proviso, and probes into the specific path of its application from two aspects of procedural law and substantive law, that is, in criminal procedure, giving full play to the investigation organs and procuratorial organs. In order to realize the possibility of guilty, it is necessary to establish and perfect the filtering mechanism in order to realize the advantages and advantages of the litigation stages in which the organs and the judicial organs are situated. Constructing certainty, giving the judiciary a certain degree and scope of discretion to achieve case justice, so as to properly handle the contradictions and conflicts between the applicable principles and rules in the case, to ensure the integrity of the criminal law system, unity and judicial application of coordination, fairness and justice. Sex path promotes the benign interaction between legislation and judicature, promotes the innovation and development of the theoretical system of criminal law and the maturity and perfection of judicial practice.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D924.1

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