法学研究

文章摘要

二元规范论视角下刑法第13条但书规定的解释论展开

An Interpretative Analysis of the Proviso Clause in Article 13 of the Criminal Law from the Perspective of Dual-Norm Theory

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中文关键词: 刑法第13条但书;行为规范;制裁规范;犯罪论;罪量

英文关键词: proviso clause in Article 13 of the Criminal Law; behavioral norm; sanction norm; theory of crime; quantitative element of the offense

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作者	单位
李世阳	浙江大学光华法学院

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中文摘要:

刑法第13条但书规定的既有研究预设了形式的犯罪概念与实质的犯罪概念,这使得但书规定的地位与功能依附于犯罪论体系的构建。从犯罪与刑罚的互动关系出发,但书规定中的“不认为是犯罪”既包括罪量未达到刑事可罚程度的情形,也包括不值得发动刑罚的情形,还包括犯罪与刑罚缺乏互动关联的情形。行为规范与制裁规范相结合的二元规范论,为犯罪与刑罚的互动关系提供了清晰、合理的表达方式,为构建但书规定的解释论体系提供了理论资源。从二元规范论出发,但书规定可以理解为“行为违反行为规范的程度尚不足以发动制裁规范”,具体包括罪量未达到刑事可罚程度、违反行为规范的程度降低至不足以发动制裁规范、制裁规范的发动无助于国民形成遵守行为规范的动机、行为规范的效力已通过行为人的事后行为得到及时维护这四种情形。据此,但书规定的出罪功能通过事前审查、事中衡量、事后恢复而得到具体化。

英文摘要:

A primary research challenge concerning the proviso clause in Article 13 of the Criminal Law arises from the presupposition of either a formal or substantive concept of crime, thereby the status and function of the proviso clause is contingent upon the theory framework of the construction of a crime.From the perspective of the interactive relationship between crime and punishment, “not to be deemed crimes” in the proviso clause encompasses scenarios where the conduct does not meet the threshold of a criminal offense or is deemed unworthy of punishment, or where lacks an interactive connection between the crime and its corresponding punishment. The dual-norm theory, which integrates behavioral norms with sanction norms, offers a clear and rational framework for articulating the interplay between crime and punishment, thereby provides theoretical resources for developing an interpretative framework for the proviso clause. Within the dual-norm framework, the proviso clause can be understood as indicating that “the degree of violation of the behavioral norm by an act does not warrant the activation of the sanction norm”, and it specifically includes four scenarios where the quantitative element of the offense does not reach the level of warranting criminal punishment, the degree of violation of behavioral norms is insufficient to trigger sanction norms, the enforcement of sanction norms does not effectively motivate citizens to comply with behavioral norms, and the effect of behavioral norms has already been adequately maintained through the perpetrator’s post-act restorative actions. Consequently, the exonerative function of the proviso clause is materialized through pre-act review, in-process assessment, and post-act restoration.

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