论玩忽职守罪中警察保证人义务的来源及其限定  

The Basis and Limitations of the Police's Guarantor Obligations in the Crime of Dereliction of Duty

作　　者：崔涵 Cui Han

机构地区：[1]北京大学法学院 [2]英国牛津大学法律系

出　　处：《南大法学》2025年第2期36-55,共20页NanJing University Law Journal

基　　金：2024—2025学年北京大学“博士生短期出国(境)研究项目”资助。

摘　　要：警察保护型渎职犯罪在刑法研究中尚未得到充分关注。针对这一问题,关键在于区分公法上的作为义务与刑法上的保证人义务。为此,需要探究警察负有保证人义务的实质根据与限定范围。既有观点或是从“实然”中推导出“应然”,或是仅聚焦于国家的安全保障任务,至多只能证立警察于公法上的义务,且无法划定义务的具体边界。在紧急情况下“警察—国民”的互动关系中,由于警察可以通过下达指令、采取强制措施等方式为公民设立服从、配合、协助等义务,同时排斥公民的私力救济,因而警察的规范性权威实质上创设了一种规范上的支配地位,警察与公民之间由此形成了一种特殊依赖关系,这构成了警察保证人义务的理论基础。基于此,这种保证人义务的范围应受到三个方面的限制:公法上“危险预防”的门槛、刑法上“重大损失”的预见可能性和警察规范性权威的践行条件。The question of how to hold police accountable for crime of dereliction of duty due to failure to provide timely protection has not yet received sufficient attention in criminal law research.Addressing this issue hinges on delineating between the obligation of conduct in public law and the guarantor obligation in criminal law.Therefore,it is necessary to explore the substantive basis and scope limitations of the police's guarantor obligation.Some perspectives derive the “ought” directly from the “is”,while others focus solely on the state's duty to provide security,at most establishing the police's obligations in public law while failing to delineate the specific boundaries of their obligations.In emergency situations involving interactions between police and citizens,because the police can establish obligations such as obedience,cooperation,and assistance for citizens through issuing orders and implementing coercive measures,while excluding citizens' resort to self-help remedies,the normative authority of the police essentially establishes a normative dominance.Consequently,a special dependency relationship is formed between the police and citizens,which constitutes the theoretical basis for the police's guarantor obligations.Based on this,the scope of guarantor obligations should be limited by three factors:the threshold of “danger prevention” in public law,the foreseeable possibility of “great losses” in criminal law,and the conditions for the exercise of police normative authority.

关 键 词：玩忽职守罪 警察 保证人义务 不作为犯 规范性权威 

分 类 号：D92[政治法律—法学]