（刑法学专业论文）未成年犯的刑事责任研究.pdf

research on the criminal liability of juvenile offenders a thesis submitted to chongqing university in partial fulfillment of the requirement for the degree of master of law by shen han supervised by prof. chen zhonglin major: criminal law college of law of chongqing university, chongqing, china april 2011 重庆大学硕士学位论文 中文摘要 i 摘 要 青少年作为国家和民族的未来，身系天下命运。正如梁启超先生所言：“少年 强则国强，少年智则国智。”我国正处于社会转型时期，社会管理和控制尚处在调 善之中，未成年人违法犯罪数量激增，预防和遏制未成年人犯罪已成为世界各国 刑事法律关注的焦点。但翻开我国有关未成年人犯罪的刑法理论不难发现：尽管 新论叠出，但未成年犯的刑事责任确定基础仍未寻觅到根本的理论落脚点，刑事 责任的衡量标准仍如空中楼阁般捉摸不定。理论的空白直接导致了少年司法过程 中认定刑事责任能力时的片面性，单纯通过生理年龄判断未成年犯是否具有承担 刑事义务的条件；量刑时的机械性，常常出现畸轻畸重的后果；刑事责任实现时 的单一性，责任形式简单，流于形式，造成处罚效果差强人意等种种弊端。因此 科学认定未成年犯的刑事责任不仅需要合理规范的制度建设，更亟待寻找坚实的 理论支撑，才能为司法实践正确解决未成年犯的刑事责任认定提供有效的法律武 器，更对保护未成年人健康成长具有长远的理论意义和实践价值。 有鉴于此，本文旨在从以下四个方面着手对未成年犯的刑事责任及其制度构 建进行探讨。全文约 4 万字。 第一章是关于未成年犯刑事责任的概述。 本章主要探讨了刑事责任的概念、 理 论根据和意义。在探讨刑事责任的概念时，笔者结合刑事责任的概念必须涵盖的 三类情况：即构成犯罪，并依法判处刑罚；行为虽构成犯罪，但依法定罪后仅仅 给予非刑罚性处罚措施；单纯宣告行为构成有罪，免除一切刑罚和非刑罚处罚。 综合分析当前我国关于刑事责任概念的四种主流观点后，重新将未成年犯刑事责 任界定为由未成年人实施犯罪行为而产生的，由国家司法机关依法决定未成年犯 必须承受的刑事法律后果。这一含义也体现出刑事责任的强制性、严厉性、专属 性、法律与社会统一性四个基本特征的应有之义。 在探寻未成年犯刑事责任的理论依据时，本文主要对以下最为人们所关注的 理论，即“国家之父”原则、恤幼的中国法律传统、西方以“人”为中心的法社会学理 论以及实证法学理进行了评析，并提出了自己的结论，即以未成年人作为弱势群 体为出发点，以合理的责任认定、适合的责任承担方式来预防和制止未成年人犯 罪，不仅应昭示出“国家之父”的亲权思想，遵循我国恤幼的法律传统精神，同时体 现出新社会防卫论中“强调保护人的尊严以及对人的尊重，建立教育与保安刑的理 性刑罚制度”的有益主张，如此方能促使刑事责任制度不落窠臼。 此外，本文认为科学认定未成年犯刑事责任主要有以下两方面的的意义：第 一，适应国际轻刑化趋势，满足刑法改革主题的要求；第二，贯彻宽严相济的刑 重庆大学硕士学位论文 中文摘要 ii 事政策必然要求。 第二章是深入探究了未成年犯刑事责任的确定基础。刑事责任是国家对犯罪 行为进行评价并依法决定行为人必须承担的法律后果，是由于犯罪行为侵害的是 刑法所保护的特定社会关系，是行为人主观罪过的内容及其实现程度的客观化。 追本溯源，这种主观罪过的性质和支配行为人实施犯罪行为的心理态度在本质上 都可归因于行为人对社会秩序采取了“最明显最极端的蔑视”， 因而错误地运用了行 为能力和控制能力。 作为实施了犯罪行为的未成年犯， 也正是在这种以“蔑视”为基 础的主观心理态度的支配下，对法律所珍惜的价值不屑一顾，产生了强烈的对立 情绪，进而将不法意图具体化、客观化。因此，未成年犯刑事责任确定基础便找 到了容身之地，即未成年人对刑法所保护的价值的对立意志的强弱程度（违法性 认识），对行为的社会性质的认识（可谴责性），才是未成年犯承担刑事责任的 唯一依据。 既然刑事责任的承担与否与大小取决于对立意志强弱的程度，那么必须找到 这种对立意志的外化形式，才能实现司法操作的有效性。本文拟从未成年犯的刑 事责任能力和人格心理着手研究。在刑事责任能力方面，本文从主客观两面具体 阐述了影响未成年犯刑事责任能力的因素：一是主观方面的生理发育机能对未成 年人认识和控制能力的限制；二是来自于未成年犯身处的社会关系的限制来分析 客观因素的限制。在人格心理方面，本文借鉴了犯罪心理学中的“超我”概念，通过 明尼苏达多相人格调查表评析未成年犯的犯罪心理征表，并选取了个人智能认知 能力、家庭环境、学校和同类群体影响三个核心因素描画出未成年犯的成长心理 征表。通过以上两大方向的探究充分论证了在生理、心理和社会因素的共同作用 下，未成年人思由于思想单纯、性格摇摆不定、社会经历欠缺导致其认知和控制 能力的薄弱，最终也直接影响着他们对于法律的理解和尊重程度。 理论最终应导之于实践。本文辅以激情犯罪与社会危害性认识错误为例，提 出了在司法实务中如何通过对行为性质、行为结果、因果关系的认定把握对未成 年人对立意志强弱程度的判断标准。 第三章评析了目前我国未成年犯刑事责任的承担方式。结合前章所分析的未 成年犯之特点，若仍对未成年犯施以与成年犯无区别的刑罚，是否是卸下了原本 束缚在刑罚这把刺刀上的正义的铁链？鉴于此，本章分别从定罪判刑（包括刑罚 方式和非刑罚处罚方式）和定罪免刑两大方式从反思目前未成年犯刑事责任实现 方式的现有法律规定所存在的问题。 在刑罚方式方面，本文说明了无期徒刑的限制适用的原因，有期徒刑中禁止 不定期刑适用的缘由，罚金刑是否应该对未成年犯适用和执行方式如何分情况适 用的问题以及未成年犯不得单独适用剥夺政治权利的立法原意。在非刑罚处罚方 重庆大学硕士学位论文 中文摘要 iii 式方面，本文剖析了当前我国非刑罚处罚措施的现状，总结出现有制度存在的片 面性和效果差的弊端。在定罪免刑方面，笔者提出了在认定免刑时应把握的以下 四个前提：即关于办理未成年人刑事案件适用法律的若干问题的解释第 17 条 规定中的拘役、三年以下有期徒刑是指可能判处的宣告刑而非法定刑；被告人所 犯基本罪行及犯罪时系未成年人是考量因素；悔罪表现好也是对未成年罪犯适用 免予刑事处罚的必备条件以及犯罪情节轻微且不需要判处刑罚是对未成年罪犯适 用免予刑事处罚的核心判断。 第四章提出了完善未成年犯刑事责任制度的基本构想。正处于生理、心理青春 期的未成年犯拥有自我控制能力薄弱，极易受环境影响，可塑性极强的特点，本 文认为未成年犯刑事责任制度必须与成年犯有所区分。本章主要从刑事政策、量 刑原则、刑罚执行方式前科消灭制度的引入、非刑罚方式以及附条件不起诉制度 这六大方面进行未成年犯刑事责任制度的构建。 在刑事政策方面，本文阐述了宽严相济的刑事政策的价值体现并从未成年人 犯罪的主体方面、主观方面、未成年人犯罪造成的客观影响方面具体分析本政策 在未成年人犯罪案件中的适用条件。在量刑原则方面，本文提出进一步完善相称 原则、双向保护原则并总结出规范的量刑需纳入的因素：即社会容忍的环境、社 区与法院的联系和心理咨询、心理矫正。在刑罚执行方面，本文设想增加社区矫 正，并构想了以重庆市为背景的社区矫正工作重点。再来探讨了关注已久的前科 消灭制度的引入问题和在非刑罚性方式中拓展诸如司法警告、担保释放、监管令、 社区公益劳动等。最后本文侧重分析了如何改善附条件不起诉制度。本文在反思 现有的附条件不起诉制度的缺陷后，提出从明确附条件不起诉的适用条件、程序 设计、监督机制、法律后果四个方面进行改进。本文期望通过以上基本构想能为 未成年犯刑事责任制度建设添砖加瓦。 关键词：关键词：未成年犯，对立意志，刑事责任，制度完善 重庆大学硕士学位论文 英文摘要 iv abstract juveniles are the future of a nation, shouldering the fate of the world. as mr. liang qichao put it, “the nation will be powerful as long as there is a well-equipped young generation.” china is currently in a transitional period when social management and control are yet in the process of modification and improvement, witnessing an increasing number of juvenile crimes. the prevention and suppression of juvenile crimes have become the focal point of worlds criminal law institutions. however, in china, even though new theories are sprouting out, the confirmation basis of juvenile criminal liability still hasnt found its theoretical standing point, and the measurement standard of criminal liability is still hanging in the air. the lack of theoretical support directly leads to the mechanicalness in confirming criminal liability, which merely takes the physiological age as the prerequisite to determine whether a juvenile can take the criminal liability; it also leads to the mechanicalness in measurement of penalty that often results in inappropriate sentencing, whether too tight or too loose; the one-sidedness in implementation of criminal liability and the single formality of liability that result in poor punishment effect and other kinds of drawbacks. therefore to scientifically confirm juvenile criminal liability relies not only on a rational and appropriate institutional building, but also on a solid theoretical support so as to provide effective legal tool to solve juvenile criminal liability in juridical practices. this endeavor will surely produce long-term theoretical as well as practical significance in the protection of and caring for juveniles. in view of this, this paper aims at exploring the criminal liability of juvenile offenders and its institutional building in the following four aspects. the full content of this paper extends to around 40,000 characters. the first chapter is an overview of the criminal liability of juvenile offenders, in which the concept, the theoretical basis and significance of criminal liability are discussed. under the concept of criminal liability, there are three categories: category one is when the act constitutes a crime and requires imposition of penalty by law; category two is when the act constitutes a crime, but shall only give non-penalty punishment; the third category is when the act constitutes a simple declaration of guilt, but is free of all penalties and non-penalty punishment. combining the above three categories, the author then comprehensively analyzes the current four mainstream 重庆大学硕士学位论文 英文摘要 v perspectives on the concept of criminal liability, and re-defines the criminal liability of juvenile offenders that it arises from the implementation of criminal acts by juveniles, who is to bear certain legal consequences determined by the nations judicial organs according to law. this definition reflects the four basic characteristics of criminal liability that it is mandatory, and it conforms to severity, specificity, and unity of law and society. in the search for the theoretical basis for criminal liability of juvenile offenders, this paper evaluates and analyzes the following theories that most people are concerned about: father of the nation principle, chinas legal tradition of caring for the young, the western human-centered sociology of law theory and positive jurisprudence theory, and draws the conclusion that starting from the viewpoint of taking juveniles as a vulnerable group, we should not only exhibit the thought of the parental rights of father of the nation, follow the legal tradition of caring for the young, but also learn from new social defense theory that emphasizes the protection of human dignity and respect for human beings, and promotes the establishment of a rational penal system of education and security punishment, so as to have an original style of criminal liability system that prevents and stops juveniles crimes through a reasonable confirmation of liability and appropriate accountability means. in addition, the paper finds that the scientific definition of criminal liability of juvenile offenders is significant in the following two aspects: first, it meets the international trend of light punishment as well as the requirements of the criminal law reform; second, it is the inevitable requirement of the criminal policy of “tempering justice with mercy”. the second chapter probes into the confirmation basis of criminal liability of juvenile offenders. behind the liability is the attitude of the offender towards the values protected by the rules of criminal law. criminal acts infringes upon the specific social relations protected by the criminal law. however, the author believes that the mental attitude behind such acts can be attributed to, in essence, the offenders most obvious and extreme contempt against social orders. social danger or harm results caused by crimes are in fact the realization of illegal intent under the contempt attitude. it is the result of offenders misuse of their capacity and ability to control the outcome under the contempt attitude. therefore, the only confirmation basis of criminal liability of juvenile offenders resides in the will power against the values protected by the criminal law (illegal cognition) and the understanding of the social nature of behaviors 重庆大学硕士学位论文 英文摘要 vi (reprehensibility). since the criminal liability depends on the adversary will power, with subject of crime and subjective crime being the logical starting point and the core of crime constitution, the paper finds outer form of this adversary will power to be the capability of juvenile criminal liability and their personality psychology. under these internal physiological and psychological factors, as well as social factors, juveniles develop the most basic conception of world, life and value. these adolescent concepts directly influence their understanding of and respect for laws. in terms of the capability to shoulder criminal liability, this paper specifically addresses the factors affecting juveniles capability from both subjective side and objective side: the subjective side refers to their physiology that constrains the recognition and self-control and the objective side refers to constraints of the social relations they are in. in terms of personality psychology, this paper draws on the “superego” concept from criminal psychology, evaluates and analyzes juvenile criminals psychological representation through minnesota multiphasic personality inventory, and selects three core factors, i.e. intellectual cognitive competence, family background, and influence of school and community of interest to depict juvenile offenders path of psychological growth. in-depth exploration of the above aspects fully demonstrates that juvenile offenders contempt against the values protected by law results in the fact that they are in physiological and psychological puberty, na ve in thoughts, instable in temperament and weak in cognitive capacity and self-control, which is why they get so easily affected by the environment. ultimately theories should be employed to guide practice. this paper employs the crime of passion and mistaken understanding of social harm to be examples, and proposes the standard of the adversary will power of juveniles in judicial practices through recognizing the nature of behavior, behavioral outcomes and causation. in the third chapter, the author evaluates and analyzes the current implementation means of criminal liability of juvenile offenders. combining the characteristics of juvenile criminals stated in the first chapter, this chapter recollects the existing problems in current legal provisions concerning the implementations of juvenile criminal liability from two separate respects, convicted and sentenced (including the penalty method and non-penalty punishment) and pardon conviction. in terms of penalty methods, the paper illustrates the reasons for the restrictions applicable to life imprisonment and the prohibition of indeterminate sentence in limited 重庆大学硕士学位论文 英文摘要 vii term of imprisonment. it also discusses whether fine penalty should be applied to juvenile offenders, how to vary execution means with different situations, and the legislative intent that prohibits the deprivation of political rights of juvenile offenders. in terms of non-penalty punishment, the paper analyzes the current measures of non-penalty punishment in china and summarizes the existing one-sidedness and drawbacks of poor results of the institution. in terms of conviction pardon, the author finds that pardon should be made sure in the following four prerequisites: first, detention and three years or below in prison under article 17 of interpretation of a number of issues concerning laws applicable to handling juvenile criminal cases are not legally-prescribed punishment, but declared sentence that might lead to penalty; the basic crime that the defendant had committed and that he/she was under-age are important consideration factors; good repentance is also an essential condition for juvenile offenders to get exempted from criminal punishment; and committing only a minor crime that do not require the imposition of penalty is the core to exemption. the fourth chapter presents the basic concept of improving criminal liability institution of juvenile offenders. juvenile offenders are in their physical and psychological adolescent years when they have merely a weak self-control that they can easily get affected and shaped by the environment. this paper argues that the criminal liability institution of juvenile offenders must be distinguished from that of the adults. this chapter elaborates in six aspects to construct the institution, such as the criminal policy; sentencing principles; implementation means of penalty; introduction of elimination of criminal record; non-punitive approach and the system of not prosecuting the attached conditions. in terms of criminal policies, the paper elaborates the value of the “tempering justice with mercy” policy, and makes a concrete analysis of its application in juvenile crimes from the perspectives of subjective of crime, the subjective aspect, and the objective impact of juvenile delinquency. in terms of sentencing principles, the author holds that we should further improve the principle of proportionality and the two-way protection principles, and summarizes the factors to be included in sentencing: the environment of social tolerance, community links with the court, and psychological counseling and behavior modification. in terms of execution of punishment, this paper envisages an increase of community correction, and conceives the key works to be done in chongqings community correction. then the paper focuses on the long-anticipated system of elimination of criminal record and expanding the judiciary warning, security 重庆大学硕士学位论文 英文摘要 viii release, supervision, community welfare and labor in non-punitive means. a