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[刑法中罪责的规范概念:处于意志自由与神经生物学决定论之间]

[The normative concept of guilt in criminal law between freedom of will and neurobiological determinism].

作者信息

Czerner Frank

机构信息

Institut für Kriminologie der Universität Tübingen.

出版信息

Arch Kriminol. 2006 Nov-Dec;218(5-6):129-57.

Abstract

To make criminal conduct liable to punishment, criminal responsibility, defined as individual blameworthiness in terms of social ethics, is required as point of reference--both to create and limit the state's right to punish the offender. Neurobiological findings and more recent investigations in brain research have given rise to serious doubts regarding this "conditio sine qua non" of the state's power monopoly. As a result of preceding unconscious decisions, so the argument goes, Man is not free in his will, and the normative principle of culpability would need to be relinquished in favour of a "law of measures" detached from guilt. A detailed analysis of the underlying experimental setups, in particular the investigations by Benjamin Libet involving the measurement of the readiness potential, has shown, however, that the results of the test methods do not justify the demand for a profound change up to the point of a total revision of criminal law, and that they cannot invalidate the concept of freedom of will apostrophised on principle. The empirical data obtained fail to demonstrate if and why decisions of the will should not be free, the more so as the nomothetic method used ignores completely the idiographic understanding and interpretation of the always context-related and socio-structurally (pre)-moulded personality of the offender. Performed in a laboratory setting as individual actions with a comparatively simple structure and unrelated to a concrete situation, they can by no means be translated to the (more) complex situation under which an offence is committed including the decision-making processes determined by psychodynamic, motivational and intentional aspects as well as highly specific reciprocal interactions within the offender-victim constellation. Even if these experiments had shown the determined nature of human decisions, they would not necessarily have to bring about a conceptual change of paradigms of the normative concept of guilt, because as a result of self-attribution, the intra- and inter-subjective experience of the freedom of will renders the mere "illusion of freedom" sufficient to assign to an individual the appropriate sense of responsibility, which is also accepted by him. The alternative of a law of measures independent of guilt and culpability must be rejected because it is incapable of instituting sufficient protection, both in qualitative and quantitative terms, against prognostically diffuse and utilitarian hypertrophied prophylactic efforts on the part of the state up to the point of a revolutionised anthropological design, as shown quite clearly by the repressive and restrictive tendencies apparent in criminal policy since 11 September 2001. Consequently, the classic principle of guilt as one of the humanitarian foundations of punishment imposed by the state needs to be protected and upheld in the face of rash and inadequately considered law amendment endeavours. With its principles having slowly grown over the ages under democratic consent, criminal law is capable of immunising itself against uncritically generalised restructuring attempts based on inductive false conclusions and the confusion of coincidence, correlation and causality, let alone against the neurobiological "occupation tendencies" of normative premises. Regardless of their undeniable fascination, future brain research activities and the respective findings in the neurobiology of thinking, decision-making and acting as an indispensable empirical and epistemological starting point must always be reviewed in terms of their factual and normative implementation powers in favour of or against the human freedom of will.

摘要

要使犯罪行为应受惩罚,就需要以刑事责任作为参照点——刑事责任被界定为社会伦理层面的个人可责性,以此来创设并限制国家惩罚犯罪者的权力。神经生物学的研究结果以及脑科学领域的最新调查引发了人们对国家权力垄断这一“必要条件”的严重质疑。有一种观点认为,由于先前存在无意识的决定,人在意志上并非自由的,罪责的规范性原则应当被摒弃,转而支持一种与罪责无关的“措施法则”。然而,对相关基础实验设置的详细分析,尤其是本杰明·利贝特关于准备电位测量的研究表明,测试方法的结果并不能证明有必要进行深刻变革直至彻底修订刑法,而且这些结果也无法否定原则上所倡导的意志自由概念。所获得的实证数据未能证明意志决定是否以及为何不应是自由的,更何况所采用的规范方法完全忽视了对犯罪者总是与具体情境相关且在社会结构上(预先)塑造的个性进行个性化理解和阐释。这些实验是在实验室环境中作为结构相对简单且与具体情境无关的个体行为进行的,绝不能直接套用到犯罪发生时更为复杂的情境中,包括由心理动力、动机和意图等方面以及犯罪者 - 受害者关系中高度特定的相互作用所决定的决策过程。即便这些实验表明了人类决策具有决定性,也不一定非要导致罪责规范概念范式的概念性转变,因为由于自我归因,意志自由的主观内省和人际体验使得仅仅是“自由的幻觉”就足以赋予个体适当的责任感,而个体也接受这种责任感。必须摒弃与罪责和过错无关的措施法则这一替代方案,因为它在质和量方面都无法充分保护人们免受国家在预测上模糊且功利性过度膨胀的预防措施的影响,直至达到一种彻底改变的人类学设计,2001年9月11日以来刑事政策中明显的镇压和限制倾向就清晰地表明了这一点。因此,面对轻率且考虑不充分的法律修订努力,国家施加惩罚的人道主义基础之一——经典的罪责原则需要得到保护和维护。刑法的原则在民主同意的情况下历经岁月逐渐形成,它能够使自身免受基于归纳错误结论以及对巧合、相关性和因果关系的混淆而不加批判地进行的普遍化结构调整尝试的影响,更不用说免受规范前提的神经生物学“占据倾向”的影响。无论未来的脑科学研究活动及其在思维、决策和行动的神经生物学方面的相应发现具有多么不可否认的吸引力,作为不可或缺的实证和认识论起点,必须始终从其对人类意志自由有利或不利的事实和规范实施能力方面对其进行审视。

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