论实质预备犯的处罚根据及其限度  

On the Punishment Basis and Limitation of Substantial Offense with Preparatory Nature

作　　者：刘双阳 LIU Shuangyang

机构地区：[1]中国政法大学刑事司法学院,北京100088

出　　处：《政治与法律》2024年第4期118-132,共15页Political Science and Law

基　　金：2023年度国家社会科学基金项目“数字化条件下新型知识产权犯罪的刑法应对研究”(项目编号:23CFX063);2023年度最高人民检察院检察理论研究课题“数据安全合规的刑法激励机制研究”(项目编号:GJ2023D14)的研究成果。

摘　　要：实质预备犯的立法膨胀与司法扩张,直接推动刑事处罚日益前置化、过罪化,不当扩大刑法处罚范围,压缩了公民自由权利的行使空间,动摇了刑法的根基。回溯立法初衷,我国在刑法分则中设立实质预备犯,原本是为了消解《刑法》第22条规定的普遍处罚形式预备犯原则,并从形式可罚性与实质可罚性两个维度限定预备行为的处罚范围,将不具有刑事可罚性的预备行为排除出犯罪圈。因实质预备犯带有浓厚的积极预防、早期干预色彩,为避免其在立法实践与司法适用的过程中发生异化而滑向口袋化、工具化、恣意化的错误方向,设立实质预备犯应以保护重大法益为限;成立实质预备犯要求行为人主观上具有实施后续犯罪的目的,并且被实行化的预备行为客观上具有引起或者协同后续行为侵害法益的高度盖然性;解释实质预备犯的兜底条款应采取同类解释规则,仅包括与明确列举示例具有等价性或者同质性的事项;独立预备罪的犯罪预备尚未对法益形成一定的抽象危险,原则上不予处罚,从而合理划定实质预备犯的处罚边界。The legislative expansion and judicial extension of substantial offence with preparatory nature directly promote the pre-position of criminal punishment and over-criminalization,and the improper enlargement of the scope of criminal punishment limits the exercise of civil liberties and shakes the foundation of criminal law.Looking back on the original intention of legislation,the establishment of substantial offense with preparatory nature in the specific provisions of the criminal law of China was originally intended to counteract the principle of generally punishing formally preparatory offense stipulated in Article 22 of the"Criminal Law",and to limit the scope of preparatory acts subject to punishment from two dimensions of formal punishability and substantial punishability,thus excluding preparatory acts without criminal punishability from the circle of crimes.Because the substantial offense with preparatory nature has a strong hint of active prevention and early intervention,in order to avoid undesirable development of such offenses in the process of legislative practice and judicial application towards the wrong direction of becoming pocket crimes,instrumentalization and arbitrariness,for the establishment of a substantial offense with preparatory nature,it is necessary to limit the legal interest protected to important ones;it is necessary to require the perpetrator to subjectively have a purpose of implementing the subsequent crime and the preparatory act criminalized as an perpetrating act to objectively enjoy the high-level probability of causing or corresponding to an subsequent act of infringing upon legal interests;it is necessary to adopt the ejusdem generis rule to interpret the catch-all paragraph on the substantial offense with preparatory nature which only include those equivalent to or homogeneous as the numerated ones;the preparation for an independent offense with preparatory nature has not yet imposed considerable abstract danger on the legal interest and is not subject to punishment in prin

关 键 词：实质预备犯 形式预备犯 刑事可罚性 实行行为 法益侵害危险 

分 类 号：DF626[政治法律—刑法学]