引入与调适：自然惩罚免刑规则的本土化建构

杜文俊; 陈超

English

杜文俊 , 陈超

引用本文: 杜文俊, 陈超. 引入与调适：自然惩罚免刑规则的本土化建构[J]. 学术月刊, 2023, 55(1): 95-109. shu

Citation: Wenjun DU, Chao CHEN. Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment[J]. Academic Monthly, 2023, 55(1): 95-109. shu

引入与调适：自然惩罚免刑规则的本土化建构

杜文俊 ,
陈超

作者简介: 杜文俊，上海社会科学院研究员（上海 200020）;陈超，中国政法大学刑事司法学院刑法学博士研究生（北京 100088）;

中图分类号: D9

Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment

Wenjun DU ,
Chao CHEN

Available Online: 2023-01-20
CLC number: D9

摘要: 定罪免刑意味着对行为人仅宣告有罪，但并不实际予以刑罚处罚。我国定罪免刑机制适用需满足“犯罪情节轻微”且“不需要判处刑罚”，即社会危险性与人身危险性并重的条件，而双重条件的限制以及实体标准的模糊性导致实践中对个案中行为人因犯罪行为遭受严重后果情节认定标准不一裁判结果各异。将行为人因犯罪行为遭受严重后果（自然惩罚）作为刑罚宽恕事由在域外立法及司法中有较为成熟的实践，并且将之纳入定罪免刑机制具有刑事政策与刑罚理论的正当依据。自然惩罚引入定罪免刑机制的本土化建构，在实体层面上对行为人遭受的严重后果内涵予以合理界定，同时从刑度和程度方面对自然惩罚免刑规则适用进行双重制约；在程序层面上以公共利益考量划分酌定不起诉与定罪免刑判决之间界限，凸显自然惩罚免刑规则程序出罪的内在价值，从而为自然惩罚案件妥当处理提供明确指引，有效推动个案正义的实现。
- 自然惩罚 /
- 定罪免刑 /
- 酌定不起诉 /
- 个案正义 /
- 刑罚宽缓事由
Abstract: “Conviction but exemption from punishment” means that the perpetrator is only declared guilty, but not punished. The application of the conviction and exemption mechanism in our country needs to meet the conditions of “the circumstances of a person’s crime are minor and do not require sentencing for punishment”, that is, the social dangerousness and the personal dangerousness are equally important. However, the limitation of the double conditions and the fuzziness of the substantive standards lead to the chaotic reality of different standards for identifying the circumstances of serious harm caused by the criminal acts and different judgment results in practice. There is a relatively mature practice in the legislation and judicature of foreign countries to regard the circumstances that a wrongdoer faces serious harm that results from her wrongdoing (natural punishment) as the cause of punishment forgiveness. It has the legitimate basis of criminal policy and penalty theory to incorporate it into the mechanism of conviction but exemption from punishment. The localization of this system must be constructed from both substantiality and procedure dimension. Not only to limit the serious consequences of natural punishment in substance, and restrict its specific application through the double standard setting of punishment and limit in the entity method, but also to clarify the independent value of the discretionary non-prosecution based on the exemption from natural punishment and standardize the application conditions of discretionary non-prosecution with the public interest,so as to highlight the value of procedural decriminalization.
- natural punishment /
- conviction but exemption from punishment /
- discretionary non-prosecution /
- case justice /
- the cause of punishment forgiveness
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引入与调适：自然惩罚免刑规则的本土化建构

杜文俊
陈超

作者简介:杜文俊，上海社会科学院研究员（上海 200020）

作者简介:陈超，中国政法大学刑事司法学院刑法学博士研究生（北京 100088）

网络出版日期: 2023-01-20

关键词:

摘要: 定罪免刑意味着对行为人仅宣告有罪，但并不实际予以刑罚处罚。我国定罪免刑机制适用需满足“犯罪情节轻微”且“不需要判处刑罚”，即社会危险性与人身危险性并重的条件，而双重条件的限制以及实体标准的模糊性导致实践中对个案中行为人因犯罪行为遭受严重后果情节认定标准不一裁判结果各异。将行为人因犯罪行为遭受严重后果（自然惩罚）作为刑罚宽恕事由在域外立法及司法中有较为成熟的实践，并且将之纳入定罪免刑机制具有刑事政策与刑罚理论的正当依据。自然惩罚引入定罪免刑机制的本土化建构，在实体层面上对行为人遭受的严重后果内涵予以合理界定，同时从刑度和程度方面对自然惩罚免刑规则适用进行双重制约；在程序层面上以公共利益考量划分酌定不起诉与定罪免刑判决之间界限，凸显自然惩罚免刑规则程序出罪的内在价值，从而为自然惩罚案件妥当处理提供明确指引，有效推动个案正义的实现。

English Abstract

Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment

Available Online: 2023-01-20

Abstract: “Conviction but exemption from punishment” means that the perpetrator is only declared guilty, but not punished. The application of the conviction and exemption mechanism in our country needs to meet the conditions of “the circumstances of a person’s crime are minor and do not require sentencing for punishment”, that is, the social dangerousness and the personal dangerousness are equally important. However, the limitation of the double conditions and the fuzziness of the substantive standards lead to the chaotic reality of different standards for identifying the circumstances of serious harm caused by the criminal acts and different judgment results in practice. There is a relatively mature practice in the legislation and judicature of foreign countries to regard the circumstances that a wrongdoer faces serious harm that results from her wrongdoing (natural punishment) as the cause of punishment forgiveness. It has the legitimate basis of criminal policy and penalty theory to incorporate it into the mechanism of conviction but exemption from punishment. The localization of this system must be constructed from both substantiality and procedure dimension. Not only to limit the serious consequences of natural punishment in substance, and restrict its specific application through the double standard setting of punishment and limit in the entity method, but also to clarify the independent value of the discretionary non-prosecution based on the exemption from natural punishment and standardize the application conditions of discretionary non-prosecution with the public interest,so as to highlight the value of procedural decriminalization.

引入与调适：自然惩罚免刑规则的本土化建构

作者简介: 杜文俊，上海社会科学院研究员（上海 200020）;陈超，中国政法大学刑事司法学院刑法学博士研究生（北京 100088）;

Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment

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通讯作者: 陈斌, bchen63@163.com

引入与调适：自然惩罚免刑规则的本土化建构

作者简介:杜文俊，上海社会科学院研究员（上海 200020）

作者简介:陈超，中国政法大学刑事司法学院刑法学博士研究生（北京 100088）

English Abstract

Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment

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引入与调适：自然惩罚免刑规则的本土化建构

作者简介: 杜文俊，上海社会科学院研究员（上海 200020）;陈超，中国政法大学刑事司法学院刑法学博士研究生（北京 100088）;

Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment

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通讯作者: 陈斌, bchen63@163.com

引入与调适：自然惩罚免刑规则的本土化建构

作者简介:杜文俊，上海社会科学院研究员（上海 200020）

作者简介:陈超，中国政法大学刑事司法学院刑法学博士研究生（北京 100088）

English Abstract

Introduction and Adjustment: Localization Construction of the Exemption from Natural Punishment

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