导　　师： 许发民

学科专业： 030104

授予学位： 博士

作　　者： ;

机构地区： 武汉大学

摘　　要： 首要分子是我国特有的一类犯罪人,现行刑法第97条规定“首要分子是指在犯罪集团或者聚众犯罪中起组织、策划、指挥作用的犯罪分子。”现行刑法关于首要分子的规定并非是一蹴而就形成的,而是经历了一个漫长的演变过程,最早关于首要分子的规定可以追溯到三千年前的《尚书·胤征》。纵观其他国家的刑法规定,虽然他国并没有明确提出首要分子的概念,但也有不少国家提出近似的概念以及相关的理论来解决类似的行为人的刑事责任。如日本刑法中的“首谋”和刑法理论中的“共谋共同正犯理论”、德国刑法中的“领导者或幕后人物”和刑法理论中的“犯罪支配理论”、韩国刑法中的“首犯”等。 首要分子作为一类独特的犯罪人,主客观方面都表现出自身的特征。首要分子的客观方面表现为一种广义上的组织性行为,具体而言表现为在犯罪集团或者聚众犯罪中实施组织、策划、指挥的行为,首要分子的主观方面是指明知在自己的组织、策划、指挥行为下,其他参加者的行为必然或者可能会发生危害社会的结果,并希望或放任这种结果的发生。一般而言,首要分子需要承担最为严重的刑事责任,其行为本质是其承担刑事责任的根基。犯罪集团首要分子的行为本质是通过稳定的、严密的集团内部组织结构来控制、支配集团成员的行为,进而对集团成员的危害行为进行支配,而聚众犯罪首要分子则是在共同的行为目的下实现对其他行为者的临时性、纠合性、松散性支配。首要分子属于我国的传统刑法理论范畴,其与当代刑法理论中有关概念的关系错综复杂,主犯与首要分子之间是一种交叉的关系,主犯包含了部分首要分子,首要分子中的一部分不属于主犯的范畴,具体而言是犯罪集团首要分子属于第一种主犯,部分聚众犯罪中的首要分子属于第二种主犯。我国刑法典中并没有明确规定“组织犯”的概念,但学界一致认为我国刑法典中暗含着组织犯的规定。从对组织犯的演变历程和现存法律语境考察可知,组织犯应当存在于一般共同犯罪之中。首要分子与组织犯之间形成了交叉关系,组织犯包括部分首要分子和其他属于组织犯的行为人。 首要分子是犯罪集团和聚众犯罪中危险性最大、参与程度最深的犯罪分子,是整个犯罪集团和聚众犯罪的核心。对首要分子进行认定的第一步就是要对其存在范围进行界定,只有犯罪集团和聚众犯罪中才会存在首要分子。第二步是通过对行为人的主客观两个方面的判断进行认定。对首要分子进行分类研究有利于进一步深入系统的研究首要分子相关问题,依据不同的标准可以将首要分子分为不同的类型。依据首要分子的存在范围可以将首要分子分为犯罪集团首要分子和聚众犯罪首要分子,按照首要分子与其他行为人的共同故意形成时间可以将首要分子分为事前同谋的首要分子和事中通谋的首要分子,依据首要分子所实施的行为种类可以将首要分子分为纯正首要分子与不纯正首要分子,依据首要分子是否与其他参与者构成共同犯罪可以将首要分子分为共犯首要分子与单独首要分子,依据首要分子组织犯罪时是否出现在现场为标准可以将首要分子分为现场的首要分子与幕后的首要分子。 当首要分子属于组织犯时,其行为具有共犯二重性的特征,即独立性和从属性。首要分子与实行犯之间存在本质的区别,但也会发生竞合关系,两者的竞合可能是基于法条发生的竞合,也可能是基于事实发生的竞合。首要分子与间接正犯虽然存在差异但也有其共通性,特殊情况下还会发生并存关系和择一关系。首要分子与教唆犯之间存在着明显的差异,但在特殊情况下两者也会发生法律上的竞合和事实上的竞合。首要分子与帮助犯之间可谓差异甚大,但两者之间也会存在事实上的竞合。 首要分子在组织实施犯罪的过程中也存在停止形态,其停止形态可以分为完成形态和未完成形态。依据首要分子的立法现状,首要分子的犯罪既遂可以分为分则型首要分子的既遂形态和总分型首要分子的既遂形态。首要分子的预备形态可以分为组织、煽动型首要分子的预备犯和实行依靠型首要分子的预备犯。并不是首要分子所组织的所有犯罪都会发生未遂形态,只有属于行为犯的分则型首要分子存在犯罪未遂形态,而刑法分则明确规定的总分型首要分子都存在未遂形态。首要分子的中止条件并不完全相同,组织、煽动型首要分子只需依据首要分子自己的组织性行为就可以判断中止与否,实行依靠型首要分子的中止认定则需结合实行犯的行为进行判断。 首要分子的罪数认定可以分为两种情况进行分析,一是罪数结合型首要分子的罪数认定,二是罪数附属型首要分子的罪数认定。无论是何种类型的首要分子,其罪数认定的核心均是首要分子与实行犯所形成的共同犯罪个数。 首要分子的刑事责任问题是首要分子问题研究的最终归宿,犯罪集团首要分子和聚众犯罪首要分子的刑事责任承担原则截然不同。犯罪集团首要分子需要对集团所犯的全部罪行负责,而聚众犯罪首要分子属于共同犯罪时按其所参与的或者组织、指挥的全部犯罪处罚。首要分子的刑事责任也会受到错误、实行过限、身份等因素的影响。 The ringleader exists only in China.According to the 97th provisions,the ringleader is the person who organises or schemes or conducts the criminal group or mob crime.The current provisions about the ringleader is not stipulated immediately,but evolutioned in the long time. The most ancient provisions about ringleader is traced to Shangshu-Yinzheng three thousand years ago.Compared with the provisions in the other countries,the similar content is stipulated in some countries'criminal law,such as primary conspirator and the theory about conspiracy in the Japanese criminal law,the backstairs influence and the theory about controlling crime in the German criminal law,the primary crime in the South Korea. As the particular criminal,the ringleader has the characteristic in the objective aspect and subjective aspect.In the objective aspect,the ringleader carrys out the organizational action in the generalized meaning. Specially,the organizational action includes organizing or scheming or conducting the crime.In the subjective aspect,the ringleader wishes or indulges the harmful result in the case of other participants' behavior leading to the harmful result inevitably or probably under its own organizing or scheming or conducting behavior. Generally,the ringleader should assume the worst serious responsibility,and which basis is the essence of the behavior.Through controlling the stable and strict organization,the ringleader dominates the behavior of member of organization,then administrates the harmful behavior of member of organization.By the same intent,the ringleader of mob crime can dominate the other member's behavior temporarily and loosely and gatheredly.The theory about ringleader is the traditional Chinese theory,which is different from the some concepts in present theory of criminal law.The chief criminal includes the part of ringleader. Specifically,the ringleader in crime group is belonged to the first kind of chief criminal,and the part of the ringleader in mob crime is belonged to the second kind of chief criminal.The concept of organizational criminal is not stipulated in our country's criminal law.But the scholars think that this concept is implied in the criminal law.From the perspective of the histroy about organizational criminal and current articals,the organizational criminal exists in the general common crime.The organizational criminal includes the part of the ringleader and the other criminal. The ringleader who participates in the criminal organization and mob crime most deeply is the most dangerous criminal,who is the core of the criminal organization and mob crime and exists only in the criminal organization and mob crime.How to decide who is the ringleader in the criminal organization and mob crime.The first step is to judge the being scope of the ringleader.Then,the second step is to judge the objective and subjective aspect of behavior. Considering the category of the ringleader is beneficial to recognizing the questions about ringleader deeply and systemically.The ringleader can be calssified into different catogary by different criterions.By the ringleader's being area,the ringleader can be classified into ringleader of criminal group and ringleader of mob crime.By the time that ringleader makes the same intention with the others,the ringleader can be classified into ringleader that conspiring before perpetration and ringleader that conspiring into perpetration.By the criminal bahavior,the ringleader can be classified into genuine ringleader and non-genuine ringleader.By the ringleader committing the crime with the others together,the ringleader can be classified into ringleader belonging to joint crime and ringleader belonging to separate crime.By the site that ringleader appears,the ringleader can be classified into ringleader in the site and ringleader on backstage. When the ringleader belongs to the joint organized crime,who has independent and dependent characteristics.The ringleader is different from the perpetrator essentially,but concurs with the perpetrator occasionally.The concurrence is because of the provisions or because of the fact.The ringleader has the same and different features with the indirect guilt. In the special circumstances,the ringleader can be concurrent with the indirect guilt,but in the special circumstances can not.The ringleader is different from the instigator apparently,but who can concur with the instigator based on the provisions or fact.The ringleader is different from accessory,but who can concur with the accessory based on the fact. The ringleader's behavior may be stopped by different reasons during the criminal process. The cessation form of the ringleader can be classified into finished form and unfinished form. The crime committed can be classified into different catogary based on the specific provisions or based on the general and specific provisions.The crime in preparation of the ringleader can be classified into the crime preparation based on organizational or instigating behavior and the crime preparation based on perpetration.The crimes ringleader organizing don't have the form of criminal attempt all.Just the ringleader based on the specific provisons may take place the form of criminal attempt who belongs to the behavioral offense. The different ringleader's form of criminal suspension has different requirement. The criminal suspension of ringleader based on organizational or instigating behavior depends on its organizational behavior broadly.The criminal suspension of ringleader based on perpetration should depend on the perpetrator's behavior and its own bebavior. The quality of crime of ringleader is classified into two catogaries.One to judge the quality of crime of ringleader is by its own behavior and the perpetrator's behavior.The other is by the perpetrator's behavior.Whichever kind of the ringleader,the core of judging the quality of crime is the quality of common crime between ringleader and the perpetrator. The criminal liability of ringleader is the terminaion of studying on the ringleader.By Chinese criminal law's provisons,the principle of bearing the criminal liability is different between the ringleader of criminal group and the ringleader of mob crime.The ringleader of criminal group bears the all criminal liability that criminal group commits the crime,but the ringleader of mob crime bears the criminal liability by the specific provisions in criminal law.When mob crime is belonged to the common crime,the ringleader of mob crime bears the criminal liability that he participates in or organizes and conducts the all crimes.The criminal liability of the ringleader is influenced by some factors,such as recongizing mistake,surplus behavior,identity and so on.

关 键 词： 首要分子 共同犯罪 停止形态 罪数形态 刑事责任

分 类 号： [D924.1]

领　　域： [政治法律] [政治法律]