行为无价值与结果无价值——山口厚

行为无价值与结果无价值——山口厚 时间:2008年4月25日 主讲人:山口厚 东京大学大学院法学政治学研究科教授 翻 译:金光旭 日本成蹊大学法学部教授 主持人:谢望原，中国人民大学法学院教授 嘉 宾:王利明，中国人民大学法学院院长、教授、博士生导师 刘明祥 中国人民大学法学院教授 谢望原教授: 山口厚教授是日本著名刑法学家平野龙一先生的得意弟子，他现在在东京大学担任教授，也是东京大学现职刑法教授中年纪最长者。他是当代日本彻底的结果无价值论的代 表 关于同志近三年现实表现材料材料类招标技术评分表图表与交易pdf视力表打印pdf用图表说话 pdf 人物。山口厚教授的主要经历:1953年出生于日本新泻;1972年东京大学法学部入学，1976年毕业;现任东京大学法学政治学研究科教授。从1991年到现在是日本刑法学会理事，2003年到2006年是日本刑法学会常务理事，长期担任日本司法考试考查委员。山口厚教授可以说是著作等身，他的主要代表作有《刑法总论》、《刑法各论》、《新判例看刑法》、《危险犯研究》、《问题探究 刑法总论》、《问题探究 刑法各论》、《理论刑法学的最前线》、《理论刑法学的最前线?》、《判例刑法总论》、《判例刑法各论》等等。 山口厚教授: 我能到中国人民大学来做这个讲座，感到非常高兴。今天我主要想通过对以往60年的回顾，来介绍一下日本刑法学对违法性理解的演变过程。针对实质违法性的理解，日本刑法学受到德国刑法学的影响，一直是围绕结果无价值与行为无价值这一对概念来展开讨论的。结果无价值是指对侵害或威胁刑法所保护的利益这一结果所进行的否定性评价，而行为无价值是指对行happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 为本身所进行的否定性评价。一般认为，借助这一对概念来展开讨论有助于揭示违法性的实质，我本人也赞成这一观点，所以我今天也想从行为无价值与结果无价值在违法性的理解中所具有的意义这一角度出发，来介绍一下日本刑法学对违法性的理解。在以下我的演讲中，我按照日本刑法学中一般性的称呼，将注重从行为无价值来理解违法性的见解称之为行为无价值论，将注重从结果无价值来理解违法性的见解称之为结果无价值论。 最初，结果无价值论这一称呼在一定程度上是一种贬称，因为这两种学说的对立首先是由注重行为无价值的见解对原有的学说展开批判而形成的。比如说原来的学说将犯罪的实质理解为法益侵害，只是片面地看到了结果无价值的一面，这对犯罪的理解不够全面。但在今天，结果无价值论这一称呼本身已不带有贬义的意思，支持结果无价值论的学者也堂堂正正地宣称自己的观点是结果无价值论。我今天的讲演虽然侧重介绍的是日本刑法学对违法性理解的演变过程，但通过这一介绍我希望大家能够了解从上世纪四十年代末一直到今天的日本刑法学整体的潮流。 上世纪四十年代末期，在违法性的理解问题上，在日本刑法学界占主流地位的是强调行为无价值的行为无价值论，其原因很复杂，我想大概可以列举以下几点: 首先，应该指出的是，在上世纪四十年代之前占主流地位的是道德主义的立场，即在违法性的理解上强调道德伦理的重要性。这一立场在二战以后仍被延续下来了。具体来讲，四十年代以前在学界具有极大影响力的小野清一郎博士将法的本质理解为道义，强调通过刑法来树立和维护国家的道德秩序，由此将违法性理解成了道义性。小野博士的弟子团藤重光博士，在四十年代至六十年代的日本刑法学界，可以说是具有决定性影响力的刑法学者，而团藤博士的学说中也多多少少保留了道德主义的倾向。团藤博士认为，虽然从法益侵害的观点来理解犯罪的见解有可取的一面，但它不能揭示犯罪中的规范性含义。基于此，团藤博士对法益侵害才是犯罪的本质这种立场采取了批判性的态度。按照团藤博士的观点，所谓违法性，不单纯意味着形式上的违法而是意味着在实质上违反了整体的法秩序，这归根到底意味着违反法秩序赖以存在的道德规范。但团藤博士同时也认为，违法性并不直接等同于违反社会道德规范，只是在道德规范足以支持法秩序的限度内才能将违法性与社会道德规范视为一体。而且在违法阻却的场合，团藤博士认为，行为不一定完全符合道德的 标准 excel标准偏差excel标准偏差函数exl标准差函数国标检验抽样标准表免费下载红头文件格式标准下载 。可见团藤博士并没有像小野清一郎博士那样一味强调反道义性。但即便如此，在强调仅靠结果无价值无法全面理解违法性、happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 强调违反社会伦理道德这一行为无价值的立场上，团藤博士的学说中渗透着浓厚的行为无价值论的色彩。团藤博士的学说，在这段时期的学术界与司法实践中可以说具有举足轻重的影响力。说团藤博士的学说奠定了上世纪四十年代后期以后的日本刑法学的基础，一点也不过分。 其次，行为无价值论的另一个缘由来自德国的目的行为论的影响。在德国，将目的行为论加以体系化的是汉斯?韦尔策尔教授，他主张对行为不应只作为因果过程来把握，而应该和该行为所追寻的目的相联系加以理解。目的行为论对违法性是做如下理解的，不法内容不可能仅仅由发生的结果来决定，只有特定的行为人的所作所为才可能构成违法。行为人所设定的目标、行为人在行为时的心理状态、行为人的义务等要素，与可能发生的法益侵害一起共同决定行为的不法性。因此所谓违法性，只能是对和特定的行为人相互联系起来的行为所进行的否定性评价，只能是与特定行为人相关的不法，这就是目的行为论提倡的所谓行为人违法论。这一违法论给行为无价值赋予了决定性的重要意义，甚至认为即使在不存在结果无价值，只存在行为无价值的场合都可以肯定犯罪的成立。在德国展开的目的行为论，在日本得到了平野龙一博士、平场安治博士、井上正治博士等极有影响力的刑法学者们的支持，在当时的刑法学界占据了重要的地位。曾经提倡主观主义刑法学的木村龟二博士，也一改以往的立场而转向支持目的行为论，可见这一理论在当时的影响之大。其后，目的行为论在福田平博士的倡导之下得到了进一步的发展。福田博士也和韦尔策尔教授一样，将违法性理解为行为人违法性，主张并非所有的法益侵害都构成违法，只有那些不具有社会相当性的法益侵害才构成违法。在评价违法性时，与法益侵害一道必须考虑行为无价值。 在此应该指出的是，在日本所主张的行为无价值论有一个重要的特征，那就是其折中性。也就是说，在这些学者们所提倡的行为无价值论中，结果无价值仍然占有重要的一席之地。行为无价值被赋予的作用是从那些引起结果无价值的行为中筛选出部分行为，将其评价为违法行为，以此来达到限定处罚范围的目的。在具体的解释论上，行为无价值论也不主张将仅仅存在犯罪意图的情况作为未遂犯处理。因此可以说，在当时的日本所主张的行为无价值论带有折中主义的色彩，这是一种比较稳妥的见解。 将行为无价值作为限定处罚范围的要素加以重视的行为无价值论，在日本得到支持的另一个原因是，在过失犯的领域出现了新的见解。按照以往的过失犯理论，过失犯的成立只要具备法益侵害的结果，即引起结果无价值以及对该结果的预见可能性即可。但是进入五十年代以后，随着汽车的普及以happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 及交通事故的增加，在造成死伤事故的场合，如何限定处罚范围成为刑法理论的一大课题。在这种背景之下，有的学者指出结果和预见可能性对于责任要件来说过于模糊，容易导致处罚范围过宽。为了限定处罚范围，需要通过其他的客观要件来加以限定。这些学者们主张，首先应该确定在具体场合行为人应该从事的标准行为，如果遵守了该标准，过失犯就不成立。换言之，这一观点主张，对过失犯应该要求违反标准这一客观要件。极力提倡这一观点的是藤木英雄博士，按照这一见解，从标准行为的脱离就是行为无价值。以行为无价值作为限定结果无价值的要件是必不可缺的，这种过失犯的理论将自己的立场称为新过失论，将传统的以预见可能性为标准来判断过失的立场称为旧过失论，并对其进行了激烈的抨击。这种以行为无价值来判断过失的立场，可以说从另一个侧面将行为无价值论推向了优势地位。但应该指出的是，藤木博士其后又提出了比行为无价值论色彩更浓厚的新新过失论。在此之前，不论是新过失论还是旧过失论，其共同的前提都是肯定过失犯必须具备预见可能性这一责任要件。但后来，藤木博士认为连这一要件也不需要，他主张行为人即使不可能预见到结果，仍应该对未知的结果抱有“不安感”(日文汉字为“危惧感”)。如果有了这种不安感，行为人就应该采取必要的措施来消除这种不安。如果采取了这一措施就可以避免结果发生的话，对未采取该措施的行为人就可以肯定过失犯的成立，这一见解被称为“不安感说”。因为这一过失论是比新过失论更新的过失论，所以也被称为“新新过失论”。引发藤木博士提倡该理论的直接契机是当时非常著名的所谓“奶粉案件”，即被告人所属工厂生产的婴儿奶粉中，因为掺加了砒霜，故造成了许多婴儿中毒死伤的结果。按照传统过失论，因为行为人对砒霜的掺入以及对结果缺乏预见可能性，是不能处罚的，但是“不安感说”则认为这种情况可以处罚。值得注意的是，提倡行为无价值论的过失论，将其原来主张限定处罚范围的立场进行了一百八十度的大转弯，开始主张扩大处罚范围。然而这种“不安感说”受到了学界的强烈的批判，被认为轻视法益侵害、淡化责任要件，即使在支持行为无价值论的学者之中，这一观点也未能被广泛接受。从这一事实也可以看出，日本的行为无价值论具有重视结果无价值的折中主义色彩。 结果无价值论在行为无价值论出现以前就存在着，其代表性的学者有泷川幸辰博士、佐伯千仞博士等。但是今天日本所提倡的结果无价值论主要是五十年代以后，在批判行为无价值论的过程中不断成熟起来的，其中平野龙一博士是最有影响力的学者。平野博士曾经是目的行为论的支持者，但其后改变了其立场，特别是在六十年代以后，平野博士从刑法的任务是保护法益的立场出发，主张应该排除对行为无价值的考虑，重视结果无价值。这一见happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 解出台后，给日本刑法学界带来了巨大的影响。之所以出现结果无价值论与行为无价值论相对抗的局面，和六十年代开始着手的全面修改刑法这一立法背景密不可分。修改工作在一九七四年结束，当时主导刑法修改起草工作的是小野清一郎博士。以平野龙一为首的学者们对此进行了强烈的批判，认为这次修改刑法的基本理念与立场是维护国家的道义，过度扩大处罚范围。给这一批判提供理论基础的，正是将反道德主义作为其核心内容的结果无价值论。其后，结果无价值论得到了内藤谦教授、中山研一教授、曾根威彦教授等学者的支持，平野博士的门下弟子町野朔教授、西田典之教授、前田雅英教授以及我本人也进一步推进了结果无价值论的发展。总之在今天的日本刑法学界，那些不赞成结果无价值论的学者们在主张自己的观点时，已经不能回避或忽视结果无价值论所提出的各种批判。如果说受到德国刑法学极大影响的日本刑法学有其自己特色的话，恐怕其最大特色就在于结果无价值论在日本所占有的重要地位。 现在谈谈几点结果无价值论在具体解释论中的观点。 首先，在违法论中有争议的一个问题是，判断违法性时要不要考虑行为人的主观要素。如果应该考虑，其根据何在,这是承不承认主观违法要素的问题。在支持结果无价值论的学者中，存在着像内藤谦教授、中山研一教授那样否定一切主观违法要素、主张只以客观要素来判断违法性而将行为人的主观目的等要件都归属于责任要素的观点。主张这一观点的学者们担心，如果在评价违法性时考虑主观要素，将会导致违法性的主观化，从而导致违法论向行为无价值论倾斜。所以他们特意强调，应该区别主观责任和客观违法，并将客观违法的含义理解为判断对象的客观性，从而拒绝考虑任何主观要素。但现在主张这种极端彻底的结果无价值论的观点还是少数。包括我在内，多数人认为，行为人欲进行法益侵害的行为意志，在增加法益侵害的危险性的意义上，应该成为影响违法性的要素。比如按照日本刑法第148条的规定，当存在行使的目的时，伪造货币的行为将作为伪造货币罪受到处罚。这里所规定的“行使的目的”就可以理解为主观违法要素。因为当存在“行使的目的”时，和没有该目的的场合相比，被伪造的货币流通于一般市场交易、从而使货币的信赖性受到侵害的危险性更大。在此意义上，是否存在行使的目的，对于货币的信赖性这一伪造货币罪所保护的法益是否面临侵害的危险是有影响的，因此可以将其理解为主观违法要素。同样，未遂犯中的既遂行为的意志也可以理解为主观违法要素。但既便如此，结果无价值论反对将故意一般性地作为违法性要素来对待，故意只是对客观犯罪事实的认识，因此它只能是责任要素，对于违法性的评价没有任何影响。在这一点上，行为无价happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 值论和结果无价值论的观点是截然不同的。行为无价值论认为，当存在故意时与没有故意的场合相比，行为人的违法意志更加强烈，需要对其给予更加强烈的否定，因此，故意是违法要素。但在结果无价值论者看来，这种理由不外是论证行为人责任的理由，行为无价值论其实是混淆了违法与责任这两个不同的概念。 其次，结果无价值论和行为无价值论存在对立的另一个焦点是违法阻却。其中一个重要的争议点是，就日本刑法第36条规定的正当防卫应不应该要求防卫的意志这一要件，换言之，正当防卫的成立是不是仅仅存在客观上属于防卫的行为即可，还是必须存在防卫的意图或动机。日本的法院早在1936年就做出判决，指出要肯定正当防卫必须存在防卫的意志，这一立场一直被延续至今，行为无价值论一般支持这一结论。但在结果无价值论看来，防卫意志不应当是防卫的要件。防卫的意图与动机的存在与否只不过反映了行为人主观恶性的程度，因此充其量只能构成责任要素，对此不应在评价违法性时加以考虑。另外，不管将防卫的意志理解为防卫的意图与动机，还是将其理解为对构成正当防卫事实的认识，这种认识都应属于正当防卫的故意。而如上所述，既然故意不能一般性地成为违法要素，这种正当防卫的故意也不应构成违法要素。日本的法院虽然现在仍然坚持防卫的意志这一要件，但已经不像以前那样积极地要求防卫的动机，而只是消极地将那些完全没有防卫动机的行为排除于正当防卫的范围之外。判例对防卫的意志这一要件也开始放松了。 在判断违法性时，实践中一个极其重要的问题是，对法益侵害的危险性具体应该怎样判断,比如，不能犯是界定未遂犯成立范围的一个问题。一般认为，不存在法益侵害的危险时构成不能犯，而不成立未遂犯。那么这时的危险性应该怎样判断呢,在此问题上，行为无价值论与结果无价值论的对立关系并不那么单纯。多数学者认为，未遂犯中的危险性应该站在第三人的立场上加以判断，包括平野龙一博士在内的支持结果无价值论的许多学者都采取这一观点。另外，支持行为无价值论的学者们也赞成这一观点，其中，将危险性理解为结果无价值的行为无价值论当然采取这一立场。另外，将行为无价值理解为行为人违反行为规范，从这一观点来考虑未遂犯危险性的学者们也没有采取仅仅凭行为人的主观内容来判断危险性的立场，而是主张站在一般人的立场上来客观地判断危险，因此其结论和上述观点也不存在差异。但是近年来，包括我在内的一些学者们从结果无价值论的立场出发，主张应当更加客观、科学地判断危险性。在此意义上，在这种更加彻底的结果无价happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 值论和行为无价值论之间，现在开始出现了对立的局面。 最后，我来介绍一下最近的学术动态。支持结果无价值论的学者们在各个具体的犯罪论领域中不断深化着其理论体系，与此同时，出现了行为无价值论重新复兴的现象。但在此应该指出的是，最近的行为无价值论在主张排除道德主义的立场上，和结果无价值论是完全一致的。换言之，这些学者主张的行为无价值论和团藤博士的行为无价值论不同，并不赞成从道德主义的立场上来主张行为无价值论，井田良教授、盐见淳教授就是其中的代表性学者。庆应义塾大学的井田良教授的违法论，其理论前提是违法性的实质是行为人对行为规范的违反，刑法的任务是通过规范的一般预防作用来保护法益。井田教授认为，应该通过规范来控制行为人的行为，从而达到保护法益的目的，因此，违法论的意义在于明示行为时违法与合法的界限。违法论的机能就是提示和告知行为规范，刑法的任务就是通过处罚违反规范的行为来维持规范的效力，从而引导人们去遵守规范。但如果将此立场加以彻底化的话，就会得出如下结论:法固然可以告诉行为人什么是规范，但法对事实的认识是无能为力的，对事实的认识只能依赖于行为人。因此，对于那些在事实认识上存在错误即客观上并不构成犯罪、但以行为人所认识的事实作为前提来判断构成犯罪的场合，法为了告诉行为人行为规范必须予以处罚。比如，行为人误把橙汁当作毒药企图杀人时，即使在一般人看来明显构不成犯罪，但因为不能否认这时行为人要违反禁止杀人这一规范，所以为了告知这一规范，对他应以杀人未遂加以处罚。当然，井田教授并没有采纳这一结论。这当然是一种妥当的见识。但问题是为什么不采纳这一结论,其根据是什么,井田教授认为，根据在于对处罚范围应加以限定，社会的报应感情并不要求对这种场合进行处罚。这就意味着井田教授将限定处罚的原理求之于保护规范以外的其他要素。另外，井田教授还承认，违法论在违法阻却的场合具有在相互冲突的利益之间进行调和的机能。所以，是否违法，不可能仅凭行为人单方面的认识来决定，还需要考虑行为对方的利益。因此，即使在行为人误以为存在紧迫的不法侵害的情况下，也不允许行为人作为正当防卫来侵害对方的利益，否则将无法达到调节相互冲突利益的目的。可见，井田教授的行为无价值论的特点在于，一方面排除伦理主义和道德主义的立场，另一方面从通过规范来实现一般预防的观点出发，将提示行为规范作为违法论的任务，将处罚的根据求之于行为人违反行为规范这一行为无价值。这一立场和以往的行为无价值论将处罚的根据求之于结果无价值，以行为无价值来限定处罚范围的传统的理解是完全不同的见解。从理论上讲，这一立场完全有可能发展到仅凭行为无价值来决定违法性的一元的行为无价值论的立场，但因为这种立场在日本的刑法解释论中是完全行不通的，所以不得不在结论上采happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 取了以行为无价值和结果无价值双方来判断违法性的二元的行为无价值论。京都大学的盐见淳教授所提倡的行为无价值论，也是将违法性的实质理解为违反规范，但他同时强调行为无价值论的发展方向应该是排除行为无价值论中的道德要素，引进法益侵害的视角。盐见教授从此立场出发，提倡重新构建违法侵害的概念，认为在社会中所产生的对法益安全的信赖的动摇，这才是法益侵害。换言之，法益侵害的实质在于行为所造成的社会对法益的安全感的动摇，在此所提倡的行为无价值的概念已经和道德主义告别，是和保护法益相互联系的概念。同时，盐见教授对福田平博士等传统的行为无价值论者在否定违法性时所使用的“社会相当性”这一概念，也进行了重新解释，认为具有社会相当性是指对法益安全的社会信赖并未受到损害的场合。如果以上述这些最近的行为无价值论的立场作为讨论的前提的话，那么问题的争点将会从对一般违法性的讨论转移到对具体的违法阻却要件如何解释的问题上。行为无价值论和结果无价值论之间的争论不再是抽象的一般性争论，而是围绕具体的解释论的争论。我认为，现在的行为无价值论和结果无价值论之间的这种讨论是非常具有建设性的。应该说，两种立场共同排斥道德主义，都将保护法益作为刑法的任务，这种前提的设定为这种建设性的讨论奠定了基础条件。 最后，简单介绍一下结果无价值论的内部动态。首都大学的前田雅英教授是一贯主张结果无价值论的学者，他特别强调国民的规范意识。但是应该指出的是，他所强调的国民规范意识具有给道德主义重新开辟活路的危险性。因为什么是国民的规范意识并不存在一个客观的衡量标准，在此名义之下，道德主义完全有可能卷土重来。这种见解也许有助于了解日本最近的立法现象，但在日本的刑法学界，这一观点并没有被广泛地接受。我认为，不应该抽象地谈论什么国民的规范意识，重要的是具体的问题应该怎样考虑、怎样判断。 以上对日本的学说状况进行了宏观的介绍，由此可以看出，在今天，行为无价值论和结果无价值论的对立关系，在如何理解违法性、进而如何理解刑法的作用问题上，仍然提供着一个重要视角。在这一点上，日本刑法学和把行为无价值论作为当然的理论前提的德国相比，具有根本的不同。也可以说，这是日本刑法学在学习德国刑法学的过程当中形成的自己的特色。另一方面，虽然行为无价值论与结果无价值论的对立轴今天仍然重要，但在道德主义的立场已经退出正面历史舞台的今天，可以说在抽象理念意义上展开两派之争的时代已经结束了。在今天更加重要的是针对具体的问题，两种立场各自提出具体的论据来展开讨论。反对道德主义这一最共同的理论前提，为happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 展开这种建设性的讨论铺垫了基础。谢谢大家～ 谢望原教授: 非常感谢山口厚教授给我们带来的一场刑法学的学术盛宴。虽然行为无价值论和结果无价值论早就被引入中国刑法学了，但是学术界关于这个问题的研究，应该说还是非常有局限性。希望大家提问。 提问一: 现在在日本结果无价值论已经有成为主流学说的趋势，而在德国，将行为无价值论与结果无价值论相融合的这种二元论一直都是主流的学说。比如说，日本认为不可罚的不能犯，在德国很多都认为是可罚的。想请教山口老师的问题是，您认为产生这种差异的根源是什么呢,谢谢～ 山口厚教授: 你刚才讲的，在不能犯处理问题上德国和日本为什么会出现差别，这恐怕是源于对未遂犯为什么要处罚，即对未遂犯的处罚根据的理解上，两国之间有所不同。在日本，传统上一直都是把未遂犯的处罚根据求之于法益侵害的危险，即客观危险。不光学说是这样，司法部门的判例也是采取这种观点。在很早以前，在日本就有一个判例，被告人在被害人喝的汤里面掺入了硫磺粉末，对此案件，法院认为被告人构成未遂犯。像这种以杀人为目的把硫磺粉末掺入食物里面的行为构成杀人未遂，针对这一点，在日本无论是结果无价值论还是行为无价值论都同意这种结论。所以在日本，即使是行为无价值论者，他们也要求法益侵害的危险性，对于这一点在日本不存在太大的争议。在这个问题上很有意思的是，在未遂犯的处罚范围上，学说上要求的处罚范围反而比判例更广。我对于未遂犯的观点是基本同意判例的立场，就是从更客观的立场上来判断法益侵害的危险性，基本上是这个立足点。我是从这种客观主义出发，尽量在理论上合理地来解释判例，所以对未遂犯采取这一观点。对不能犯的处理，德国跟日本有很大的不同，在德国未遂犯的处罚范围更宽。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 提问二: 大家知道，张明楷老师是站在法益侵害说的立场上，是一个结果无价值论者，但是我想提两个问题，如果从结果无价值的角度出发的话，对于偶然防卫，举个例子来说，甲准备用枪射击乙时，刚好乙已经在他外套里面藏着手枪准备射击甲。这个偶然防卫，如果从行为无价值论的立场去判断的话，可能就是一种故意杀人的既遂。如果从结果无价值论上判断的话，属于正当防卫。又如，不能犯的问题，举例来说就是将尸体作为活体来杀害的情况，站在行为无价值论的角度来判断，是一种杀人未遂，但是如果站在结果无价值论的角度上来判断，是一种不可罚的不能犯。我想，如果是站在结果无价值论的立场来判断的话，与中国现在司法实践的作法是不一致的。我想请教一下山口厚教授，在中国出现这样一种情况，如何来解决这样一个问题，如何评价这个问题, 山口厚教授: 先回答你举的第一个例子，即偶然防卫的例子。你举的例子好像看上去能得出你那样的结论:如果采取行为无价值论的观点的话，是杀人既遂，如果采取结果无价值论的话就成为正当防卫，无罪。但其实，在日本主张行为无价值论和结果无价值论得出的结论都是一样的，不管采取哪一种理论都是杀人未遂。为什么呢,因为行为无价值论者采取的是二元的行为无价值论，即不仅要求行为无价值，还要求结果无价值。像这种偶然防卫的情况，结果无价值不存在，所以不能肯定他构成杀人既遂罪。但是，行为无价值存在着，那么他们肯定杀人未遂罪的成立。另一方面，结果无价值论，他们当然是要否定杀人既遂罪的成立，但是，他们另一方面不排除杀人未遂罪成立的可能性。因为，虽然结果是有价值的，不能说是无价值的，但是法益侵害的危险性是造成了的，所以他们肯定杀人未遂罪的成立。从结果来看，这两种立场得出的结论是一样的。 第二个例子，就是那个不能犯的例子，客观上人已经死了就是尸体，然而主观上认为还活着，于是开枪。这种情况下，如果确实要站在结果无价值论的立场上，对这种情况，如果要认定为杀人未遂的话，是一个很困难的事情。但是，根据具体的场合和具体的案件事实，也不是完全没有可能认定为杀人未遂。学说上也有这种观点。在具体司法实践中，日本也有作为杀人未遂处理的例子，高等法院的判例中也有这样的例子，认为可以作为杀人未遂happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 罪处罚。 提问三: 我想问一下山口老师，许霆这样的案件如果发生在日本，会怎样处理,会不会像我们这样有这么大争论，我们现在在民事或者是刑事上都有分歧。像这样的案件在日本会不会去处理,结合今天山口老师演讲的这个主题，应该如何处理这个案子,,谢望原教授:我来解释一下许霆案。当时许霆发现ATM机上的信息系统出现错误～他每次取款一千元～但是只在他账户里扣一元钱。他原来的账户里只有一百七十四元～他就利用ATM机的系统错误取了一百七十来次～总共取了17.5万元。) 山口厚教授: 先说说在日本法律上如何处理这个问题，他第一次取款不是故意的，所以对其第一次的行为在日本法院按遗失物侵占罪来处理。第二次以后，他是知道ATM机出了问题，第二次及其以后的行为在日本按盗窃罪来处理。这个案件如何处理跟采取行为无价值论还是结果无价值论没有什么直接的关系。 提问四: 西田典之老师的书中提到，刑法的机能中有一个机能就是保护法益，他也有提到刑法的任务也是保护法益。还有您提到刑法的目的也有法益保护的功能。刑法的机能、刑法的目的、刑法的任务三者是什么样的关系, 山口厚教授: 在日本，对刑法的机能、刑法的任务、刑法的目的这三者，并没有有意识地将它们加以区别，都是在一个层面上来加以理解的。当然，如果要细分的话，一般谈机能，不具有规范的意义，只是在事实上所起的作用。而谈目的，可能有一些规范的含义在里面。所以在这一意义上可能有所区别，但是一般没有严格的区分。至少西田典之教授完全是在同一层面来加以理解的。 提问五: 我想请问山口教授，对您刚才所说的结果无价值论，存在一种情况，就是对法益存在紧迫的危险，对于这个问题和行为无价值中的对行为本身的否定性评价，这两种情况好像难以区分。我想这是一个灰色地带，对法益造成happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 的紧迫的危险和行为本身是归于结果无价值论还是行为无价值论, 山口厚教授: 你想问的问题可能是，既然结果无价值论是以法益侵害的结果作为违法性评价的根据，那么为什么它还谈对法益的危险，是吧,首先应该明确的是，在日本不管是结果无价值论还是行为无价值论，它们共同的前提是仅仅有法益侵害的结果还不能构成犯罪，这只是一个前提条件。引起法益侵害的结果，这是犯罪成立必须具备的条件。因此还不能承认犯罪的成立，必须对其处罚的范围加以限定，如何限定，在这个问题上出现了行为无价值论和结果无价值论的争议。两者限定的标准或想法不一样，如果按照行为无价值论的限定标准，行为人的主观方面，看行为人是什么目的，行为时的心理状态是什么，对行为人的主观的责难可能性有多大。他们从主观的角度，借助引起法益侵害的内心活动限定处罚的范围。这是行为无价值论的思维方式。对结果无价值论来说，他们从行为的危险的角度，即使结果已经发生，但行为必须具有紧迫的危险的情况下，才能承认犯罪的成立。所以，他们从客观的危险性来加以限定处罚的范围，而对主观有多大的责难可能性，是放在责任那边去讨论的。所以两者限定处罚范围的思维方式或标准不一样。但前提都是仅有法益侵害的结果还不够。 提问六: 现在日本行为无价值与结果无价值二元论和德国的、包括早期的行为无价值一元论有区别。也就是说，不单单是考虑行为的规范违反性，同时也考虑法益侵害性。处罚范围究竟是哪一个更宽一些,或者说能不能简单地认为，行为无价值二元论所造成的处罚范围，因为它同时考虑法益侵害和行为的规范违反性，造成的处罚范围反而比结果无价值的处罚范围要窄,还是请老师再给大家解释一下。 山口厚教授: 刚才付老师(付立庆博士)的提法是，行为无价值的二元论，就是它既要求行为无价值也要求结果无价值，其结果是不是会导致处罚范围比结果无价值论的处罚范围要窄，这是他的提问。但我的回答相反的，实际上行为无价值论的处罚范围要比结果无价值论宽。为什么呢,理由有两个。第一，行为无价值论所说的结果无价值往往都讲得特别抽象，不像结果无价值论把具体的法益侵害作为结果无价值。行为无价值论虽然在理论上应该要求结果无happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 价值，但往往把重点更多是放在行为无价值，对行为无价值论中的结果是比较抽象的结果，所以处罚范围往往会变得很宽。第二个理由，特别明显地反映在违法阻却的场合，结果无价值论只要结果有价值的话，违法就要阻却。而行为无价值论者认为，除了结果有价值，行为还必须得有价值，行为不能是没有价值的，所以等于是他们限定了违法阻却的范围，就是说使正当防卫的要件变得更加严格。在这个时候，行为无价值论者并不是只要有结果无价值，就承认违法阻却，还必须要求行为也是符合规范的。等于说行为不是限定犯罪范围的，而是限定正当防卫的范围的这样一种要素，在这个意义上，他们又扩大了处罚的范围。所以行为无价值论要比结果无价值所主张的处罚范围宽。 谢望原教授: 山口厚教授不仅在刑法学研究方面有非常精深的见解，而且还在研究刑法学的方法上给我们带来了许多启示。中国刑法学也应当有自己的特色。日本刑法学早期向德国学习，但现在已经和德国的刑法学有明显的不同，形成了自己的风格。今天山口厚教授又讲到了同样的问题，我觉得作为我们中国的刑法学教学、研究人员，应该谨记这个教训，应该真正建立起中国的刑法学体系。 关于结果无价值和行为无价值的问题，我本人没有太多研究，只有一些基本上的了解。我的看法是它和国家的刑事政策价值取向有关系。正如山口厚教授刚才讲到的，行为无价值打击、防范的范围要宽于结果无价值的范围。德国倾向于选择行为无价值，日本现在主要倾向于选择结果无价值，恐怕与两国的刑事政策都有关系。不好说哪一个是绝对对的，哪一个是绝对不对的，这是我个人的一点见解。另外，英美法上不讲结果无价值还是行为无价值，但是同样要面对犯罪和刑罚的问题。英美法系国家一样处理得非常科学。我们研究这些问题应该切合中国的实际，力求发展出有中国特色的刑法学理论。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party