作者：王良顺
作者介绍：中南财经政法大学法学院教授
出版日期：2026年6月9日
内容提要 既有研究将预防性犯罪化作为一个整体展开学理建构，制约了预防性犯罪化理论的发展和其对预防性犯罪化实践的指导作用。预防性犯罪化作为犯罪化的补充方式，可区分为直接预防性犯罪化和间接预防性犯罪化。直接预防性犯罪化和间接预防性犯罪化都具有报应根据和预防根据，但是两种根据在各自正当性中的地位存在差异。直接预防性犯罪化立法应当受到“为了保护重大超个人法益”“仅处罚严重侵害重大超个人法益的侵害犯不能有效保护法益安全”和“提前处罚危险行为具有预防法益侵害结果发生的功能”三项原则的限制。间接预防性犯罪化立法应当受到“为了保护重大超个人法益”“仅提前处罚危险行为不能有效预防法益侵害结果的发生”“早期危险行为具有促进严重侵害重大超个人法益的后续犯罪发生的严重危险”和“超前处罚早期危险行为具有阻止后续犯罪的功能”四项原则的限制。除坚持上述限制原则外，预防性犯罪化立法还应当具有实证基础。
关键词 预防性立法 直接预防性犯罪化 间接预防性犯罪化 重大超个人法益 立法限制
Abstract: Previously, academia treated preventive criminalization as a monolithic whole in its theoretical research, which constrained the development of the doctrine and its ability to guide practice. Preventive criminalization is in fact a supplementary mode of criminalization and can be divided into direct and indirect forms, with the former playing the primary role and the latter a secondary one. Both direct and indirect preventive criminalization can be justified by retributive and preventive grounds, yet the weight of each ground differs in their respective justificatory structures. Legislation on preventive criminalization must therefore be subject to differentiated, typology-based limits. Direct preventive criminalization statutes should be confined by three principles: they must protect significant supra-individual legal interests; punishment of concrete offences that seriously infringe such interests must prove insufficient to safeguard those interests; penalizing the dangerous conduct in advance must demonstrably help prevent the materialization of harm to the interests. Indirect preventive criminalization statutes should be confined by four principles: they must likewise protect significant supra-individual legal interests; punishing the dangerous conduct in advance must not itself be capable of effectively preventing the resulting harm; the early-stage dangerous conduct must create a grave risk of facilitating subsequent, serious offences against those interests; punishing that early-stage conduct must be shown to have the capacity to block the later offences. All preventive criminalization legislation must rest on an empirical foundation.