主客观相统一原则在司法实践中的运用

论文共分三个部分： 第一部分：主客观相统一原则概述。1.主客观相统一原则的历史渊源。主客观相统 一原则是前苏联刑法学家以马克思主义法学理论为指导，摒弃了资产阶级刑法理论中的 客观主义和主观主义，在批判的基础上建立起来的刑法理论；2.主客观相统一原则的理 论基础。马克思主义辩证唯物论认为，物质决定意识，意识反作用于物质，人的意识具 有主观能动性，人的犯罪行为同样是一定的客观危害行为和一定的主观罪过的统一；3. 主客观相统一原则的基本内涵。在认定犯罪时，不仅要求行为人的行为对刑法所保护的 社会关系造成严重危害，而且要求行为人具有刑事责任能力和罪过（故意或过失），否 则，就不构成犯罪；4.是主客观相统一原则的刑法价值。主客观相统一原则是以人的相 对意志自由论为理论基础,以马克思唯物辨证论为逻辑起点,建立起来的一种科学的刑 法观，体现了现代刑法限制国家的刑罚权，防止其过分扩张，以保护人权的价值取向， 同时这一原则确定了正确的刑罚目的：以预防为主兼顾报应。 第二部分：当前在司法实践中贯彻主客观相统一原则存在的问题。1.在指导思想上 违反主客观相统一原则，主要表现有：主观臆断，背弃事实和法律；先入为主，有罪推 定；凭经验办案，情绪化司法；超越职责，充当“帮手”。2.在犯罪成立标准上违反主 客观相统一原则，主要表现有：主观归罪、客观归罪和客观免责。3.在刑罚适用上违反 主客观相统一原则，主要表现有：惟结果论、惟过错论、惟态度论。 第三部分：主客观相统一原则在司法实践中的具体运用。1.贯彻主客观相统一应当 坚持的原则。包括证据裁判原则、居中裁判原则、罪刑法定原则、无罪推定原则、罚当 其罪原则；2.贯彻主客观相统一原则的基本方法。包括在指导思想上牢固树立主客观相 统一原则、用科学的方法贯彻主客观相统一原则以及理论联系实际；3.主客观相统一原
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则在司法实践中的具体运用，包括在定罪阶段的运用、在量刑阶段的运用、在行刑阶段 的运用三个部分。在定罪阶段的运用包括在认定罪与非罪中的运用、在认定此罪与彼罪 中的运用、在认定共同犯罪中的运用、在认定犯罪形态中的运用、在认定犯意转化中的 运用、在认定罪数形态中的运用等六个具体问题。在量刑阶段，主、客观要件是决定刑 罚的基本根据，犯罪人的人身危险性也是量刑时应当予以考虑的重要因素，行为人的身 份、健康状况、侵害对象与其主观恶性和社会危害程度有关联，在决定刑罚时亦应予以 区别对待。在行刑阶段，主客观相统一原则体现在死缓、缓刑、减刑、假释四个方面。
关健词：主客观相统一原则；司法实践；运用
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Abstract
Unity Principle of Subjectivity and Objectivity is the basic principle of Chinese Criminal Law with extensive and far-reaching criminal value. Its guiding role embodied not only in legislative field but also in judicial field. This principle possesses programmatic effect to basic theory established by general provisions by criminal law and stipulated specifically judicial application of all charges in special provisions. Unity Principle of Subjectivity and Objectivity is a scientific guiding ideology on crime and penalty which formed under the guide of Marxist philosophy. The above-mentioned principle guides the determinant of crime, as well as embodying in all process of Sentencing and execution of penalty, and so on.
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The third part is for introduction of specific application in judicial practice of above-mentioned principle. One is the specific principle for implementing Unity Principle of Subjectivity and Objectivity, including principle of judging by proofs, judging fairly, crime and penalty stipulated by law, presumption of no-guilty, consistence of crime and penalty. The second aspect is basic methods to implement Unity Principle of Subjectivity and Objectivity, including guiding ideology aspect, scientific method of linking theory with practice. The third aspect is specific application of this principle in judicial practice, including the phase of conviction, phase of measurement of penalty, phase of execution of penalty. In phase of conviction, the judge of guilty or no-guilty, judge of this crime or that prime, judge of joint offence or not, judge of transform of crime of intention or not and judge of one offence or several offence are included. In stage of measurement of penalty, subjective and objective important inducements are the basic gist, and the personal dangerousness of criminal is another essential factor to weight, different identity of criminal and health standing should be regard differentially because of its relation to subjective guiltiness and degree of social detriment. In the phase of execution of penalty, the principle of unity of subjectivity and objectivity should be implemented in aspects of suspended of death, suspended of set term of imprisonment, commutation and parole.
This paper have three parts. The first part is for summarization of Unity Principle of Subjectivity and Objectivity, including its historical origin, theoretical basis, basic connotation and criminal value. This criminal theory is established with critical attitude by penologist of former Soviet Union who guided by Marxist law theory and scrapped the objectivism and subjectivism in criminal theory of Bourgeois. Dialectical materialism of Marxism holds that matter decides mentality, mentality counter-act to matter, and the mentality bears subjective. From this, people’s crime is similarly the unity of subjective fault and objective detriment act. When asserting the crime, the preconditions are the people’s action which jeopardized seriously the social relations protected by criminal law and the doer who have to hold the ability of taking criminal responsibility and subjective fault, including intention and negligence. Otherwise, the crime cannot be constituted. Unity Principle of Subjectivity and Objectivity is a scientific criminal view which established basing on the theory of people’s relative will-freedom and the logical starting point of Dialectical materialism of Marxism. This criminal principle aims to restrict the abuse of right of our country’s penalty and protect human right. Moreover, this principle ascertained the correct purpose of penalty that prevention is first and retribution is second. The second part is to raise problems in implementing this principle in judicial practice. One is problem of guiding ideology, which includes four aspects, such as supposition without gist of law and fact, presumption of guilt, handing cases by experience and mood, acting beyond one's authority to help some parts. The other is the problem of standard of constitution of a crime, such as taking result, fault or attitude as the unique constitution of a crime.
Hale Waihona Puke 内容提要主客观相统一原则是我国刑法的基础性原则，它具有宽泛和深远的刑法价值，它的 指导意义不仅体现于立法领域，亦体现于司法领域，它不仅对刑法总则所确立的基础理 论起着纲领性的作用，同时亦具体规范着分则各罪名的司法适用。主客观相统一原则是 在马克思主义哲学思想指导下所形成的关于犯罪与刑罚问题的科学指导思想，它不仅指 导和适用于对犯罪的认定，而且体现于量刑、行刑等刑事司法全过程。