非法采集人类遗传资源罪的实质解释论——兼及中国式生物安全治理模式的反思  

A substantive interpretation of the crime of illegal collection of human genetic resources:reflection on the Chinese model of biosecurity governance

作　　者：刘建利[1] 高明智 LIU Jian-li;GAO Ming-zhi

机构地区：[1]东南大学法学院,江苏南京210096

出　　处：《东南大学学报（哲学社会科学版）》2024年第3期50-62,151,共14页Journal of Southeast University(Philosophy and Social Science)

基　　金：国家社会科学基金项目“积极预防主义视野下生物安全风险的刑法规制研究”(21BFX177)成果之一。

摘　　要：中国式现代化视野下的生物安全治理要求谨防对刑罚的过度依赖,探索“民行刑共治、软硬法协同”的治理模式。我国人类遗传科研的新质生产力潜能以及刑法对实质理性的追求,均要求实质解释非法采集人类遗传资源罪,把不具有刑事处罚必要性的行为交由前置法评价。该罪的保护法益为“公众健康”以及“人类遗传资源的专用性”,可作为其开放性构成要件的实质解释依据。合法利用目的之下的公众健康受侵可能性,注定了无法通过“目的性限缩”来限定本罪的外延,故应诉诸“情节严重”这一整体评价要素来开展实质解释。在认定本罪“情节严重”时,须遵循“客观不法→主观责任”的二阶层审查思路,并把征表抽象危险的事实剔除在参考因素以外。行为虽违反前置法,但如果既未造成多人健康受损的具体危险又未实质侵害人类遗传资源专用性的,应以不构成“情节严重”为由出罪。仅获概括知情同意的非法采集行为如无其他客观违法情形,则不符合“情节严重”,应予出罪;而对剩余胚胎样本的二次采集行为则应分类讨论,如果没有提升人类遗传资源的专用性被侵害之风险,可考虑以不构成“情节严重”出罪。For biosecurity governance within the framework of the Chinese modernization perspective, there is a need to guard against excessive reliance on criminal penalties and to explore a governance model that involves “shared governance among civil action, administration and law enforcement, and coordinated application of soft and hard laws.” The new productive potential of human genetic research in China, as well as the pursuit of rationality in criminal law, calls for a substantive interpretation of the crime of illegal collection of human genetic resources, with behaviors lacking the necessity for criminal punishment subject to pre-legal evaluation. The protective interests of this crime lie in “public health” and the “special nature of human genetic resources,” which can serve as the substantive interpretation basis for the open constitutive elements. The potential invasion of public health under legitimate use purposes determines the impossibility of constraining the extension of this crime through the limitation of “purpose,” hence the need to resort to an overall assessment criterion of “seriousness of circumstances” for substantive interpretation. In determining the “seriousness of circumstances” of this crime, a two-tier review approach of “objective unlawfulness → subjective liability” should be followed, with the exclusion of abstract danger facts beyond the reference factors. If the conduct, while contrary to the pre-legal standards, does not pose a specific risk to public health nor violate the exclusive nature of human genetic resources, it should be exempted from criminal liability on the grounds of not constituting “seriousness of circumstances.” Unlawful collection conduct that is solely based on informed consent and lacks any other objective illegal circumstances should not qualify as “serious” and should therefore be exempted from criminal liability. As for secondary collection of remaining embryo samples, if there is no risk of violation to the exclusivity of hu

关 键 词：非法采集人类遗传资源罪 生物安全治理 开放的构成要件 概括知情同意 

分 类 号：D924.3[政治法律—刑法学]