形式解释论和实质解释论之争的质疑与剖析  

The Queries about and Analyses of Polemics between the Formal Interpretation Doctrine and the Substantial Interpretation Doctrine

作　　者：蔡桂生 CAI Guisheng

机构地区：[1]中国人民大学刑事法律科学研究中心,北京100872

出　　处：《政治与法律》2024年第5期98-113,共16页Political Science and Law

基　　金：教育部留学归国人员科研启动基金项目“刑法中抽象危险的法理研究”(项目编号:2015010999)的研究成果。

摘　　要：形式解释论与实质解释论之间的论争至今仍余热未消乃至“伪冷实热”,然而,这场论争存在概念误用、标签滥用和疏于考证历史之弊。解释与涵摄、判断是不能混同的三个概念。犯罪论上也不宜简单地贴上“形式”“实质”的标签。加上“实质”拥有“立法论之实质”与“司法论之实质”的不同含义,这种标签滥用造成了诸多误解。沿用文义解释和目的解释的术语,并承认文义解释较之于目的解释的优先性,将明显减轻争论所造成的误解。争论之误会走向扩大的另一原因在于不重史事之考察。对20世纪学说史的梳理,既能使前述两个弊端进一步明晰化,亦有助于确认争论所具有的有限意义:形式解释论在面对文义的边缘地带时尺度稍严,且其对犯罪手段与新古典体系之修正的考虑,使其异于实质解释论,并初步具有了20世纪下半叶人的不法论的部分形式。The heat has not been come off the polemic between formal interpretation doctrine and substantial interpretation doctrine which is actually"an hot issue in the disguise of a cold topic",however there are misused concepts,abused labels and a lack of historical review in such polemics.The interpretation,subsumption and determination are three different concepts which can not be confused.In terms of grounds for criminal liability,it is not advisable to simply fix labels of"formal"or"substantial".In combination with the act that"substantial"has different meanings of"one in terms of legislation"and"one in terms of judicial practice",such abused labels have caused many misunderstandings.To continue the use of terms of literal interpretation and teleological interpretation and recognize the priority of literal interpretation over teleological interpretation will obviously alleviate the misunderstanding caused by the polemic.Another reason for the enlarged misunderstanding due to the polemic is the shortage of attention on the historical events.The analyses of the history of doctrines in the 20th century can not only make the aforesaid two defects clear but also help confirm the limiting meaning enjoyed by the polemic:the formal interpretation doctrine is a little stricter in the face of the margin of literal meaning,and its account of criminal means and the amendment to the new classic system makes it be different from the substantial interpretation doctrine and enjoy partial form of the doctrine of wrongdoing of person in the 20th century.

关 键 词：形式解释论 实质解释论 文义解释 目的解释 人的不法论 

分 类 号：DF626[政治法律—刑法学]