作者：陈璇
作者介绍：中国人民大学刑事法律科学研究中心研究员
出版日期：2023年4月9日
内容提要 如何合理界定过失犯远因溯责的范围，是一个兼具总论和分论意义的重要课题。对此，应当以限制正犯概念为基点，采取“先收后放”的思路。根据自我答责原则，介入因素究竟是单纯的自然力还是第三人的自由行为对于远因溯责的认定具有截然不同的意义。一旦第三人基于自由意志实施了犯罪行为，他就建立起一个专属而排他的答责空间，除非存在扩张注意义务的特别根据，否则即产生阻断远因溯责的效力。与此同时，为有效应对现代社会中出现的各类复杂风险，法律有必要适当拓宽注意义务的辐射范围。以渎职犯罪为分析素材，注意义务的扩张主要有两种类型：一是初始过失行为对第三人归责瑕疵的形成发挥了不可或缺的作用力，由此成立过失间接正犯。二是初始过失行为人对防止第三人犯罪负有保证人义务，由此成立过失不作为正犯。
关键词 过失犯 溯责禁止 自我答责 限制正犯概念 渎职犯罪
Abstract: How to reasonably define the scope of retroactive responsibility for indirect cause of the negligent crime is an important topic with the significance of both general and specific provisions. In this regard, we should take the concept of restricting the principal offender as the basis and adopt the idea of ‘limiting first and then expanding’. According to the principle of self-responsibility, whether the intervening factor is the natural force or the act of a third party has completely different significance for the determination of retroactive responsibility for indirect cause. Once the third party commits a criminal act based on free will, he will establish an exclusive space for responsibility which has the effect of blocking retroactive responsibility for indirect cause unless there is a special basis for expanding the duty of care. At the same time, in order to effectively deal with various complex risks in the modern society, it is necessary for the law to appropriately expand the scope of duty of care. Taking the crime of malfeasance as the analysis material, there are two main types of expansion of the duty of care: First, the initial negligent behavior plays an indispensable role in the formation of the defect of third-party imputation, thereby establishing an indirect principal offender of negligence. Second, the initial negligent actor has the obligation to prevent a third party from committing a crime, thereby establishing the principal offender of negligent omission.