刑法中的客观归责理论

【作者】 吴玉萍；

【导师】 于改之；

【作者基本信息】 山东大学 ， 刑法， 2006， 硕士

【摘要】 现代客观归责理论发轫于德国，中心在于解决过失犯的不法问题，是目前德国刑法学界研究的时尚。然而在我国大陆地区，这一理论并未被刑法学界所关注。笔者的硕士论文以客观归责理论为题，即是希望能为引介这一理论尽一份微薄之力。 此篇硕士论文分为四个部分。第一部分是“客观归责理论概述”。首先，笔者介绍了客观归责理论的涵义及任务。该理论是指，如果行为制造了危及行为客体而为法所不容的危险，并且这个危险实现了构成要件的结果，那么这种由人的行为所导致的结果是可归责的；其任务在于解释一个惹起是否属于构成要件性行为。继而，笔者探讨了国内外学界鲜有人研究的客观归责理论的根基，认为客观归责理论的哲学根基是新康德主义，价值根基是刑法谦抑，功能根基是人权保障，刑法理论根基是目的理性犯罪论。最后，笔者回顾了客观归责理论的历史发展，将其历史发展过程划分为缘起、孕育、形成三个阶段，经历了从黑格尔、拉伦兹到霍尼格、恩吉施、威尔哲尔再到洛克辛的历程。 第二部分是“客观归责理论的基本内容”。客观归责理论的内容是：只有当行为人的行为对于行为客体制造了不被容许的风险，并且该风险在具体的结果中实现了，而该结果又存在于构成要件的效力范围内时，由这个行为所引起的结果，才可以算作行为人的成果，而被归责给行为人。该理论中包含着三个判断规则，即制造不被容许的风险、实现不被容许的风险以及构成要件的效力范围。在这三个规则之下，包含一些反面的判断标准。在这一部分，笔者着重介绍了洛克辛的客观归责理论的基本内容，对雅科布斯的客观归责理论中独具特色的部分作了说明，向读者展示了客观归责理论的全貌。 第三部分是“客观归责理论的体系定位”。针对学界存在的对客观归责理论体系定位的种种争议，笔者将这一理论置于犯罪构成体系之中，分别检讨其与因果关系、构成要件符合性、违法性之间的关系，厘清各种争议，认为客观归责理论是客观的、实质的构成要件理论。 第四部分是“客观归责理论的评价及对我国刑法理论的启示”。笔者认为，客观归责理论是一个正处于发展之中的理论，其所开创的新的诠释方法对犯罪理论具有积极意义，但其本身也存在着一些难以克服问题。笔者认为，研究这一理论，对我国刑法理论的研究具有重要的启示：使刑法的研究转向客观的视角；为因果关系的研究提供新的思路；将过失理论的研究引向深入更多还原

【Abstract】 The modern objective imputation originated from Germany. Its center is solve the problem of negligent offence’s illegitimacy. It is the fashion of study in Gennan academy of criminal law. However, in the mainland of China, the theory hasn’t been concerned by our academy of criminal law. My master thesis is entitled "the objective imputation theory". This indicates that I want to try my best to introduce the theory.This thesis is divided into four parts. The first part is "an outline of the objective imputation theory". Firstly, I introduced the theory’s connotation and task. The theory means that if a behaviour made danger which endangered the objects and wouldn’t be allowed by law, and the danger realized the result of composing element, so the result caused by man’s behaviour can be imputed; the theory’s task is to explain whether a behaviour is the behaviour of composing element. Secondly, I discussed the theory’s foundation which few scholar domestic and foreign has studied. I think the theory’s philosophy foundation is Neo-Kantianism, value foundation is limiting criminal law, function foundation is human right guarantee, criminal law theories foundation is theory of purpose reason. At last, I reviewed the theory’s history. It’s history can be divided into three phases: beginning, gestating, coming into being, has undergone the course from Hegel, Larenz to Honig, Engisch ,Welzel then to Roxin.The second part is " the basic content of the objective imputation theory". The theory’s content is that only when human being’s behaviour made risk which wouldn’t be allowed by law to the object, and the risk realized in the result, and the result consisted in the efficacy scope of composing element, the result caused by the behaviour can be considered as the human being’s work and be imputed to the human being. The theory includes three judging rules: making risk which wouldn’t be allowed by law, realizing the risk which wouldn’t be allowed by law and the efficacy scope of composing element. Under the three judging rules, there are some contrary judging criterions. In this part, I primely introduced Roxin’s basic content of the theory and explained Yakobs’s characteristic content of the theory, showed the full views of the theory to the reader.更多还原