论结果加重犯的因果关系

On the Causation Requirement in Aggravated-Result Offenses

摘要: 在我国刑事司法实践中，结果加重犯的刑罚设置普遍高于基本犯与相应过失犯罪刑罚之和，这要求其加重处罚的根据必须在因果关系认定中得到充分体现。然而，既有的因果关系理论——包括传统理论、条件说与相当因果关系说——均难以完满证成刑罚如此显著加重的正当性，导致结果加重犯的适用与责任主义、罪刑相适应原则之间产生紧张关系。本文以因果关系为切入点，致力于构建与结果加重犯规范目的相契合的因果关系认定标准，旨在缓解上述理论张力，并明确处罚范围的合理边界。研究认为，因果关系在结果加重犯中不仅承担事实归因功能，更应体现规范归责的实质内涵。通过将加重结果的可归责性与行为人的主观可责性、行为创设的特定风险实现紧密关联，可使因果关系理论实质承载加重处罚的正当根据，从而限制结果加重犯的不当扩张，实现刑罚严厉化与责任主义的协调。

Abstract: In China’s criminal justice practice, the penalty for consequential aggravated offenses is generally set higher than the sum of the penalties for the basic offense and the corresponding negligent offense. This requires that the justification for imposing such enhanced penalties must be fully reflected in the determination of causation. However, existing theories of causation—including traditional theories, the condition theory, and the theory of adequate causation—fail to adequately justify the significant increase in penalties, leading to tension between the application of consequential aggravated offenses and the principles of culpability and proportionality in sentencing. This paper takes causation as the starting point and aims to develop a standard for determining causation that aligns with the normative purpose of consequential aggravated offenses. The goal is to alleviate the aforementioned theoretical tensions and clarify the reasonable boundaries of punishment. The study argues that causation in consequential aggravated offenses should not only serve the function of factual attribution but also embody the substantive meaning of normative imputation. By closely linking the imputability of the aggravated outcome to the actor’s subjective culpability and the realization of specific risks created by the act, the theory of causation can substantively carry the justification for enhanced penalties. This approach would help restrict the improper expansion of consequential aggravated offenses and achieve a balance between the severity of punishment and the principle of culpability.