牵连犯研究
摘要
牵连犯理论在罪数形态研究中属于难点之一。目前我国刑法理论界对于牵连犯的研究呈现出了一种多样化的格局，其中争议焦点主要集中在牵连犯的定义和特征、牵连犯中的牵连关系、牵连犯的处罚原则以及牵连犯与其他罪数形态的区别等问题上。众多学者从多个视角对于牵连犯的研究取得了许多有价值的成果。
牵连犯是罪数形态理论中的一个重要且复杂的问题。新修订的我国刑法典尽管在总则中对牵连犯的概念和处罚原则没有作明文规定，但是分则一些条文规定的内容，却充分体现了对牵连犯的处罚原则。不仅如此，这些体现的处罚原则又包括几种不同类型：数罪并罚；从一重处断；单独的法定刑等等。
近年来，在我国的刑法理论界，牵连犯理论也面临着种种的挑战：有的学者建议在刑法中增设牵连犯的规定；另外一些学者则认为不必发展牵连犯理论；更有部分学者主张废止牵连犯的提法。
针对立法上的混乱状况和理论上的莫衷一是以及牵连犯理论发展并不明朗的前景，笔者试图从牵连犯的历史沿革、地位、拓展研究等方面作一综合论述。本文分为七部分，约四万七千字左右。管中之见，以期引起刑法学界对牵连犯理论的关注。
本文的第一部分追忆了牵连犯的历史沿革。牵连犯一词最早源于德语的Verbrechen skonkurrenz。从德国刑法学家费尔巴哈(1775-1833年)于1824年受命起草的《巴伐利亚刑法典(草案)》到曾在牵连犯问题上有过反复，但现在仍在施行的1907年(明治40年)颁布的《日本刑法典》；从1910年颁布的《大清新刑律》、1912年颁布的《中华民国暂行新刑律》和1928年颁布的《中华民国刑法》到我国台湾地区现仍在适用的1935年颁布的《中华民国刑法》，牵连犯的理论思想无不化身其中。据笔者目前掌握的情况，除个别国家和地区如日本和我国台湾等以外，世界上大多国家的刑法典都没有对牵连犯作出规定。尽管各国对于牵连犯适用和处罚原则在理论上和司法实践中也曾作过不少的研究，但认识并不尽相同，如英美
法系国家在刑事理论和司法实践中，对具有牵连关系的数个犯罪，都是按照数罪
并罚予以处断的:前苏联及东欧国家在刑事立法上也不承认牵连犯的概念，这些
国家的刑法理论界对于牵连犯也很少有持肯定态度的。在中国大陆，《中华人民共
和国刑法》(1979年)以及1997年经修订后的现行刑法对牵连犯的概念都未作明
文规定，但在理论上和司法实践中一般都予以认可和适用。
本文的第二部分是牵连犯的概念和特征。该部分是本文研究的重点之一。笔
者在这一部分评析了诸种理论观点的得失，提出了基于二特征说的比较创新的牵
连犯概念和特征的理论观点。
本文的第三部分是牵连犯的处罚原则。该部分着力评析了“数罪并罚说”与
“从一重处断说”理论与现实意义。笔者指出，虽然“数罪并罚说”在我国刑法
理论界具有众多的拥护者、在司法实践中具有较好的实际操作性等优势，但是基
于牵连犯的理论根基，“从一重处断”才能作为牵连犯处刑的基本原则、正本之源。
本文的第四部分主要阐述的是牵连犯与其他罪数形态之间的区别，其中部分
内容还涉及了它们之间的联系。这一部分的重点是“牵连犯与吸收犯的区别”。
本文的第五部分是牵连犯的地位。该部分论述了牵连犯在刑法学中以及在罪
数形态中的地位问题。
本文的第六部分是牵连犯的拓展研究。目前，我国刑法学界对牵连犯的研究，
主要是集中在它的概念、牵连关系的界定、处罚原则等问题上，这些都是以牵连
犯的典型形态为基础的。至于牵连犯的中断、转化、、共犯、竞合等常见非典型形
态问题的研究涉及不多，笔者试对这些问题作以研讨，以期拓展牵连犯的研究视
野，使牵连犯理论更加贴近司法实际。
本文的最后一部分是牵连犯理论的价值取向。该部分通过对牵连犯理论的过
去、现状的研究，展望了牵连犯理论研究的未来趋势。
Implicated offense is one of the difficulties in the study of the forms of offense numbers. At present the study on implicated offense in law circles of our country represents a pattern of diversification, on which the definition and characteristics of implicated offense, its implicated relation, the principle of punishment and the differences between implicated offense and other forms of offense numbers are focused. On the study of implicated offense many scholars have achieved valuable fruits from different angle of view.
Among the study of the forms of offense numbers, implicated offense is the one that is significant but complicated. There is no specific regulation about the definition and punishment to implicated offense in the general principles of the newly revised corpus juries, but in some sub-principles the rules of punishment are fully represented. Furthermore, different kinds of rules are included: combined punishment for plural crimes, heavier punishment for a major offense and specified regulation to the extent of discretion of punishment.
In recent years, there are more and more challenges against the theory of implicated offense: some scholars argue for an added regulation in criminal law; others think it unnecessary to develop such theory; even some propose to abolish the parlance of implicated offense.
Aimed at the chaos situation and different attitudes to implicated offense and its noncommittal foreground in development, I make a integrated dissertation, which is divided into seven parts and about 47,000 words, on implicated offense from its history, its status and the research on its expansion, the purpose of which is to attract necessary attention in the circles of criminal law.
The first of the dissertation looks back the historical evolution of the theory of
implicated offense. The word was rooted in German "Verbrechen skonkurrenz". The theory of implicated offense was embodied everywhere among "Bavaria Penal Code(draft)" written in 1824 by P.J.A. Feuerbach (1775-1833), German scholar on criminal law, "Japan Penal Code" published in 1907 still in use now;" The Great Qing Dynasty New Criminal Law " in 1910, "New and Temporary Criminal Law of the Republic of China" in 1912, "Criminal Law of the Republic of China" in 1928 and the one made in 1935 still used in Taiwan. From the information at hand most countries make no regulation to implicated offense in their penal code, except for some country and areas such as Japan and Taiwan. Different countries have different researches on the application and punishment of implicated offense both in theory and in practice, but with different consequences. For example, in British, America and France combined punishment for more than one crime is applied, in theory and in practice, to those of several implicated offenses. From penal legislation the definition of implicated offense is not accepted in the former Russia and the socialism countries in east Europe. The circles of criminal law from these countries seldom hold an affirmative attitude towards it. In the mainland of our country it is admitted and applied although there is no specified regulation to its definition in present "Criminal Law of PRC"(1979) and its revised edition in 1997.
The second part of the dissertation, the definition and characteristics of implicated offense is one of the essentials. In this part an analysis is made on the advantages and disadvantages of the difference theories, and based on the theory of twain-character, a creative viewpoint on the definition and its characteristic of implicated offense are put forward.
The third part of the dissertation focuses on theological and realistic significance of two theories applied in the measurement of penalty for implicated offense: the theory asserting combined punishment for plural crimes and the theory asserting heavier punishment for a major offense. Based on the implicated offense theory the latter is in
fact the basic principle and source for the measurement of penalty although the former has more ad
牵连犯是罪数形态理论中的一个重要且复杂的问题。新修订的我国刑法典尽管在总则中对牵连犯的概念和处罚原则没有作明文规定，但是分则一些条文规定的内容，却充分体现了对牵连犯的处罚原则。不仅如此，这些体现的处罚原则又包括几种不同类型：数罪并罚；从一重处断；单独的法定刑等等。
近年来，在我国的刑法理论界，牵连犯理论也面临着种种的挑战：有的学者建议在刑法中增设牵连犯的规定；另外一些学者则认为不必发展牵连犯理论；更有部分学者主张废止牵连犯的提法。
针对立法上的混乱状况和理论上的莫衷一是以及牵连犯理论发展并不明朗的前景，笔者试图从牵连犯的历史沿革、地位、拓展研究等方面作一综合论述。本文分为七部分，约四万七千字左右。管中之见，以期引起刑法学界对牵连犯理论的关注。
本文的第一部分追忆了牵连犯的历史沿革。牵连犯一词最早源于德语的Verbrechen skonkurrenz。从德国刑法学家费尔巴哈(1775-1833年)于1824年受命起草的《巴伐利亚刑法典(草案)》到曾在牵连犯问题上有过反复，但现在仍在施行的1907年(明治40年)颁布的《日本刑法典》；从1910年颁布的《大清新刑律》、1912年颁布的《中华民国暂行新刑律》和1928年颁布的《中华民国刑法》到我国台湾地区现仍在适用的1935年颁布的《中华民国刑法》，牵连犯的理论思想无不化身其中。据笔者目前掌握的情况，除个别国家和地区如日本和我国台湾等以外，世界上大多国家的刑法典都没有对牵连犯作出规定。尽管各国对于牵连犯适用和处罚原则在理论上和司法实践中也曾作过不少的研究，但认识并不尽相同，如英美
法系国家在刑事理论和司法实践中，对具有牵连关系的数个犯罪，都是按照数罪
并罚予以处断的:前苏联及东欧国家在刑事立法上也不承认牵连犯的概念，这些
国家的刑法理论界对于牵连犯也很少有持肯定态度的。在中国大陆，《中华人民共
和国刑法》(1979年)以及1997年经修订后的现行刑法对牵连犯的概念都未作明
文规定，但在理论上和司法实践中一般都予以认可和适用。
本文的第二部分是牵连犯的概念和特征。该部分是本文研究的重点之一。笔
者在这一部分评析了诸种理论观点的得失，提出了基于二特征说的比较创新的牵
连犯概念和特征的理论观点。
本文的第三部分是牵连犯的处罚原则。该部分着力评析了“数罪并罚说”与
“从一重处断说”理论与现实意义。笔者指出，虽然“数罪并罚说”在我国刑法
理论界具有众多的拥护者、在司法实践中具有较好的实际操作性等优势，但是基
于牵连犯的理论根基，“从一重处断”才能作为牵连犯处刑的基本原则、正本之源。
本文的第四部分主要阐述的是牵连犯与其他罪数形态之间的区别，其中部分
内容还涉及了它们之间的联系。这一部分的重点是“牵连犯与吸收犯的区别”。
本文的第五部分是牵连犯的地位。该部分论述了牵连犯在刑法学中以及在罪
数形态中的地位问题。
本文的第六部分是牵连犯的拓展研究。目前，我国刑法学界对牵连犯的研究，
主要是集中在它的概念、牵连关系的界定、处罚原则等问题上，这些都是以牵连
犯的典型形态为基础的。至于牵连犯的中断、转化、、共犯、竞合等常见非典型形
态问题的研究涉及不多，笔者试对这些问题作以研讨，以期拓展牵连犯的研究视
野，使牵连犯理论更加贴近司法实际。
本文的最后一部分是牵连犯理论的价值取向。该部分通过对牵连犯理论的过
去、现状的研究，展望了牵连犯理论研究的未来趋势。
Implicated offense is one of the difficulties in the study of the forms of offense numbers. At present the study on implicated offense in law circles of our country represents a pattern of diversification, on which the definition and characteristics of implicated offense, its implicated relation, the principle of punishment and the differences between implicated offense and other forms of offense numbers are focused. On the study of implicated offense many scholars have achieved valuable fruits from different angle of view.
Among the study of the forms of offense numbers, implicated offense is the one that is significant but complicated. There is no specific regulation about the definition and punishment to implicated offense in the general principles of the newly revised corpus juries, but in some sub-principles the rules of punishment are fully represented. Furthermore, different kinds of rules are included: combined punishment for plural crimes, heavier punishment for a major offense and specified regulation to the extent of discretion of punishment.
In recent years, there are more and more challenges against the theory of implicated offense: some scholars argue for an added regulation in criminal law; others think it unnecessary to develop such theory; even some propose to abolish the parlance of implicated offense.
Aimed at the chaos situation and different attitudes to implicated offense and its noncommittal foreground in development, I make a integrated dissertation, which is divided into seven parts and about 47,000 words, on implicated offense from its history, its status and the research on its expansion, the purpose of which is to attract necessary attention in the circles of criminal law.
The first of the dissertation looks back the historical evolution of the theory of
implicated offense. The word was rooted in German "Verbrechen skonkurrenz". The theory of implicated offense was embodied everywhere among "Bavaria Penal Code(draft)" written in 1824 by P.J.A. Feuerbach (1775-1833), German scholar on criminal law, "Japan Penal Code" published in 1907 still in use now;" The Great Qing Dynasty New Criminal Law " in 1910, "New and Temporary Criminal Law of the Republic of China" in 1912, "Criminal Law of the Republic of China" in 1928 and the one made in 1935 still used in Taiwan. From the information at hand most countries make no regulation to implicated offense in their penal code, except for some country and areas such as Japan and Taiwan. Different countries have different researches on the application and punishment of implicated offense both in theory and in practice, but with different consequences. For example, in British, America and France combined punishment for more than one crime is applied, in theory and in practice, to those of several implicated offenses. From penal legislation the definition of implicated offense is not accepted in the former Russia and the socialism countries in east Europe. The circles of criminal law from these countries seldom hold an affirmative attitude towards it. In the mainland of our country it is admitted and applied although there is no specified regulation to its definition in present "Criminal Law of PRC"(1979) and its revised edition in 1997.
The second part of the dissertation, the definition and characteristics of implicated offense is one of the essentials. In this part an analysis is made on the advantages and disadvantages of the difference theories, and based on the theory of twain-character, a creative viewpoint on the definition and its characteristic of implicated offense are put forward.
The third part of the dissertation focuses on theological and realistic significance of two theories applied in the measurement of penalty for implicated offense: the theory asserting combined punishment for plural crimes and the theory asserting heavier punishment for a major offense. Based on the implicated offense theory the latter is in
fact the basic principle and source for the measurement of penalty although the former has more ad
引文
1、[意]贝卡利亚著：《论犯罪与刑罚》，黄风译，中国大百科全书出版社1993年版。
2、陈兴良著：《刑法适用总论》，法律出版社1999年版。
3、马克昌主编：《犯罪通论》，武汉大学出版社2000年版。
4、吴振兴著：《罪数形态论》，中国检察出版社1996年版。
5、高铭暄主编：《刑法学原理》，中国人民大学出版社1993年版。
6、姜伟著：《犯罪形态通论》，法律出版社1994年版。
7、高铭暄、马克昌主编：《刑法学》，北京大学出版社、高等教育出版社2000年版
8、张明楷著：《犯罪论原理》，武汉大学出版社1991年10月版。
9、老遇春著：《刑法释义》，百城书局1935年版。
1、郝守才：《论牵连犯的价值取向》，载于《中州学刊》2003年第5期。
2、邵砚涛：《牵连犯若干问题辨析》，载于《政法论丛》1999年第3期。
3、钊作俊：《牵连犯中牵连关系的新界定》，载于《中国刑事法杂志》2002年第3期。
4、何全民、甘娅：《吸收犯与牵连犯探微》，载于《东北财经大学学报》2002第1期。
5、包健、于英君：《试论牵连犯定罪量刑的价值取向》，载于《法学》1998年第4期。
6、荣莉、李艳波：《牵连犯刍议》，载于《黑龙江农垦师专学报》1999年第3期。
7、向朝阳、莫晓宇：《牵连犯定罪量刑之价值定位与模式选择---试评新刑法牵连犯条款》，载于《中国刑事法杂志》总第45期。
8、余亚勒：《牵连犯理论面临的挑战》，载于《中外法学》1990年第5期。
9、刘宪权：《我国刑法理论上的牵连犯问题研究》，载于《政法论坛》2001年第1期。
2、陈兴良著：《刑法适用总论》，法律出版社1999年版。
3、马克昌主编：《犯罪通论》，武汉大学出版社2000年版。
4、吴振兴著：《罪数形态论》，中国检察出版社1996年版。
5、高铭暄主编：《刑法学原理》，中国人民大学出版社1993年版。
6、姜伟著：《犯罪形态通论》，法律出版社1994年版。
7、高铭暄、马克昌主编：《刑法学》，北京大学出版社、高等教育出版社2000年版
8、张明楷著：《犯罪论原理》，武汉大学出版社1991年10月版。
9、老遇春著：《刑法释义》，百城书局1935年版。
1、郝守才：《论牵连犯的价值取向》，载于《中州学刊》2003年第5期。
2、邵砚涛：《牵连犯若干问题辨析》，载于《政法论丛》1999年第3期。
3、钊作俊：《牵连犯中牵连关系的新界定》，载于《中国刑事法杂志》2002年第3期。
4、何全民、甘娅：《吸收犯与牵连犯探微》，载于《东北财经大学学报》2002第1期。
5、包健、于英君：《试论牵连犯定罪量刑的价值取向》，载于《法学》1998年第4期。
6、荣莉、李艳波：《牵连犯刍议》，载于《黑龙江农垦师专学报》1999年第3期。
7、向朝阳、莫晓宇：《牵连犯定罪量刑之价值定位与模式选择---试评新刑法牵连犯条款》，载于《中国刑事法杂志》总第45期。
8、余亚勒：《牵连犯理论面临的挑战》，载于《中外法学》1990年第5期。
9、刘宪权：《我国刑法理论上的牵连犯问题研究》，载于《政法论坛》2001年第1期。