致诚实习生 · 活动回放 | 刑事责任年龄的国际比较探讨

主题介绍

This topic was presented by three American law students: Sarah Cox, Lily Frautschi, and Cameron Mercer. To better shed light on how the United States has different approaches toward juvenile justice in different states, they began with a general overview of key American legal concepts such as Federalism and negative and positive rights.

Federalism describes the relationship between the national government and state governments. According to the U.S. Constitution, both the federal govern- ment and the states have powers either enumerated in that Constitution or established through case law. This split of powers shows that while there can be regulation at the federal level, each state has the potential to set their own rules regarding the minimum age of criminal responsibility (MACR). 

They also discussed the idea of positive and negative rights. Positive rights assert the government’s affirmative duty to protect, provide for, or serve their citizens; negative rights assert a citizen’s right to be shielded from actions the government could take.

本次活动的三位主讲人分别是Sarah Cox、Lily Frautschi和Cameron Mercer，他们均是美国JD在读。为了更好地阐述美国各州对于青少年司法所采取的不同方式，他们首先概述了联邦制、积极权利、消极权利等重要的美国法概念。联邦制指联邦政府与州政府之间的关系。根据美国宪法，联邦政府和各州都拥有一定的权力，这些权力或在宪法中列举，或是通过判例法所确立。由于这种权力的分配，联邦政府虽有规制的权力，但各州仍可自行制定最低刑事责任年龄（MACR）。他们还讨论了积极权利与消极权利的概念。积极权利是指政府有责任保护和服务于其公民；消极权利是指公民有权免受政府可能采取的行动的影响。

After this, they gave a brief history of juvenile criminal and statutory offenses in the U.S. Since its creation, the U.S. legal system has become increasingly less punitive toward juveniles’ actions due to an developing understanding of minors’ lessened moral culpability. There was an abandonment of milder punishments when the crime rates skyrocketed in the 1990s, but since then, a more rehabilitative approach and a goal of less or no incarceration has been retaken. Additionally, the death penalty was abolished in 1988 for crimes committed under the age of 18, and most states now have moved away, or are moving away, from life sentences without parole for crimes committed under the age of 18.

在此之后，他们简要回顾了美国青少年刑事和法定犯罪的历史。美国法律体系自构建以来，越发承认未成年人应有较低的道德责任，因此对青少年不良行为的惩罚措施愈发宽容。1990年代美国犯罪率飙升时，司法系统废除了较轻的惩罚措施，此后又采取了一些做法，以再教育和减少或避免监禁为目标。此外，对未成年人犯罪的死刑于1988年被废除，且现在大多数州已经或正放弃对未成年犯罪者可能采取的无期徒刑且不得假释的判决。

In overviewing the juvenile justice system, it was reiterated that while there are similarities to the adult criminal court system, the goal of the juvenile justice system is different. Like in China, the focus is on the rehabilitation of the children and their reintroduction into society following a delinquent act. However, just like in China, that is not always what takes place. For example, racial discrimination often leads to disparities in the application of legal processes in juvenile and criminal court.

在概述青少年司法系统时，主讲人重申，尽管青少年司法系统与成人刑事法院系统有相似之处，二者的目的并不相同。与中国的相关政策相同，美国青少年司法系统的重点在于对未成年人犯罪者的再教育，以及帮助其重新融入社会。然而，也正如中国的情况，这一目标有时难以实现。例如，种族歧视常常会导致在青少年和刑事法庭法律程序应用上的差异化对待。

In the United States, some states have age limits for both prosecuting children in juvenile court as well as transferring them to adult criminal court that are very low—if they have a limit at all. Twenty-four states have no age limit for prosecuting children in juvenile courts (others set it from 7 to 13, with the most common age being 10) and eleven states have no minimum age in place for trying children as adults. In fact, every year, dozens of children under 14 are judicially transferred to adult courts.

在美国，一些州对在少年法庭起诉儿童以及将他们转移到成人刑事法庭的年龄限制都非常低——如果这些州设置了限制。24个州没有在青少年法庭起诉儿童的年龄限制(其他州将年龄限制在7岁到13岁之间，最常见的是10岁)，11个州没有将儿童作为成年人审判的最低年龄限制。事实上，每年都有数十名14岁以下的儿童被司法转移到成人法庭。

There are three ways to transfer a minor from juvenile court to criminal court: judicial transfer, statutory exclusion, and direct file.

未成年人从青少年法庭移送至刑事法庭的方式有三种：司法转移、法定排除和直接起诉。

In judicial transfers, there are 3 types of waiver: discretionary waiver, presumptive waiver, and mandatory waiver. Discretionary waiver is when a judge uses her own discretion in deciding whether a case should be transferred to criminal court. A judge will look at the seriousness of the offense; the level of involvement the juvenile had in the offense; the prior history of the juvenile; the juvenile’s mental and emotional condition; and the likelihood of rehabilitation through court services. A presumptive waiver is when a juvenile must show that he or she should not be transferred. If argued successfully, the juvenile will stay in juvenile court. In a mandatory judicial waiver, a juvenile’s case is auto-matically transferred according to state statute.

在司法转移中，有三种豁免类型：自由裁量豁免、推定豁免和强制豁免。自由裁量豁免是指法官自行决定是否将案件转移到刑事法庭。法官会考虑犯罪的严重性、青少年在犯罪中的参与程度、青少年的过往经历、青少年的心理和情绪状况以及通过法院进行再教育的可能性。推定豁免是指青少年必须证明他或她不应该被转移。如果辩护成功，青少年将留在青少年法庭。在强制司法豁免中，根据州法律，青少年的案件会自动移送到成人法庭。

Statutory exclusion is when state law mandates a youth be processed as an adult. For example, under Minnesota law, juveniles who drive while intoxicated will automatically be prosecuted as an adult.

法定排除是指州法律规定青少年必须被当作成年人对待。例如，根据明尼苏达州法律，未成年人醉酒驾驶将自动被当作成年人起诉。

For direct files, the prosecutor directly files criminal charges against a juvenile. In some states, if a juvenile has committed a crime in the past, they will automatically be tried as an adult.

在直接起诉中，检察官直接对未成年人提起刑事指控。在一些州，如果一个青少年过去有犯罪历史，他们将自动被视为成年人审判。

A real example of judicial transfer is the case In Re X.S. The Texas Juvenile Court transferred the defendant’s case to criminal court after considering four important factors: the crime resulted in the victim’s death; the offender belonged to a gang; the defendant had “Murda [murder] doctor” in his social media bio; and the defendant continued to engage in delinquent behavior despite prior referrals to juvenile services.

司法转移的一个真实案例是In Re X.S.案。德克萨斯州青少年法庭在考虑了四个重要因素后，将被告的案件转移到刑事法庭：犯罪导致受害者死亡；犯罪者属于一个帮派；被告在社交媒体简介中写有“谋杀博士”；同时，被告曾被转至青少年管教部门，此后仍继续从事不良行为。

The presenters then discussed the current arguments both for and against raising the MACR in the United States. There are multiple reasons why scholars both support and oppose raising the minimum age. One reason against raising the criminal age is to protect youth from the stigmas of the criminal justice system. Having a public record of having been incarcerated could impact their employment prospects. Research has also shown that exposure to the criminal justice system at a younger age poses many risks for the child: they are less likely to graduate high school; they are more likely to reoffend; and the child has a higher chance of being exposed to physical and sexual abuse while incarcerated from adults in charge.

主讲人随后讨论了目前支持和反对在美国提高未成年人刑事责任年龄的观点。学者们支持和反对提高最低年龄的原因很多。反对提高刑事责任年龄的一个原因是为了保护未成年人免受刑事司法系统的污名化。公开的入狱记录可能会影响他们就业。研究还表明，在较小年纪接触刑事司法系统会给未成年人带来许多风险：他们不太可能高中毕业；很有可能再次犯罪；在被监禁期间，儿童更有可能受到成年看守人的身体虐待和性虐待。

Opponents aim to hold children responsible for serious crimes, prevent gangs from exploiting children, and safeguard public security. Additionally, as of 2024, parents have been held accountable for their children’s actions. In this recent and radical case, two parents were sentenced to 10-15 years each after they failed to prevent their son from shooting and wounding students at his high school, while the juvenile received life without parole. Many are concerned that if the age is raised, many more cases like this will be brought and result in parents being held accountable for their children’s actions instead of only the child being punished.

反对者的观点则是让儿童为重罪负责，防止帮派利用儿童，保障公共安全。此外，自2024年起，父母必须为子女的行为承担责任。在最近发生的一起激进的案件中，两位家长因未能阻止其儿子在其高中开枪打伤学生，各被判处10至15年徒刑，而该青少年被判无期徒刑且不得假释。许多人担心如果提高刑事责任年龄，更多类似案件会被提起，导致父母被追究其子女行为的责任，而不仅仅是儿童受到惩罚。

The presentation also covered ways of reducing recidivism. Neither lightly-supervised probation nor transfer and harsh, military-style boot camps are effective in reforming juvenile offenders. Some solutions include cognitive behavioral therapy targeting antisocial behavior; some punitive consequences in conjunction with promoting youth development (job skill building, academic performance, self-control); and a focus on home-life continuity and inter-personal relation-ships.

主讲人还讨论了减少再犯的方法。监管不严格的缓刑、转移和严格的军事训练营都无法有效改造少年犯。一些解决方案包括针对反社会行为的认知行为疗法；与促进青少年发展（工作技能培养、学业表现、自我控制）结合的一些惩罚措施；以及关注家庭生活的连续性和人际关系。

Through two short video clips, the group covered a fictitious depiction of a seven year old standing trial in an adult criminal court for accidentally shooting a classmate. In this clip, a psychologist addresses the capacity of a child that young to fully understand the consequences of his actions; ultimately, they decide he cannot. The second video clip came from a newsreel regarding a recently passed Florida legislation that raised the MACR officially to seven following six-year-old Kaia Rolle’s outburst in school which resulted in her being handcuffed with zip ties and taken to a juvenile detention facility. Kaia’s grandmother gives a tearful interview about the inhumane treatment her child received at the hands of officers and how no child should go through something like that again.

通过两段短片，主讲人展示了一个七岁儿童因意外射击同学在成人刑事法庭受审的情节。在视频中，一位心理学家探讨了如此年幼的孩子是否完全理解其行为的后果；专家最终认定孩子不具有该认识能力。第二段视频是一条关于佛罗里达州最近通过的将刑事责任年龄正式提高到七岁的新闻片段。原因是一位六岁的小女孩Kaia Rolle在学校的突发行为导致她被铐押送往青少年拘留所。Kaia的祖母在采访中泪流满面，谈到她的孩子在警察手中所受的非人待遇，并表示不应再有孩子经历这样的事情。

Finishing up the presentation, the group discussed both broader international and Chinese perspectives on the MACR. For the international community, the United Nations has published several comments regarding how they believe Member States should implement both scientific and legal research into creating their MACR. At this time, the UN recommends an MACR of 14 years old but commends those who have theirs as high as 15 or 16 years old. This is based on scientific research that suggests children possess neither the mental capacity to fully comprehend their actions nor the consequences that may follow these actions. The UN also doesn’t recommend that there be two minimum ages – for instance, one for general offenses and a younger one for more serious offenses. Among the African Union States, the average MACR is 13 years old; while among the EU states, it is 14 years old. The presenters also discussed how countries like Australia are handling conversations about the MACR. In those countries, many opponents of raising the MACR discuss that research shows a lower age of criminal responsibility actually leads to a greater chance of reoffending.

展示环节结束后，主讲人讨论了国际和中国关于未成年人刑事责任年龄的观点。对于国际社会，联合国发布了几条建议——会员国应将科学和法律研究纳入未成年人刑事责任年龄的制定中。目前，联合国建议的未成年人刑事责任年龄为14岁，但对那些将其设定为15岁或16岁的国家表示肯定。因为科学研究表明，儿童既没有完全理解其行为的心理能力，也无法理解这些行为可能带来的后果。联合国不建议设定两种最低年龄——例如，一种适用于一般犯罪，另一种适用于更严重的犯罪。在非洲联盟国家，平均未成年人刑事责任年龄为13岁；在欧盟国家，平均为14岁。主讲人还讨论了澳大利亚等国关于未成年人刑事责任年龄的讨论情况。在这些国家，许多反对提高未成年人刑事责任年龄的人认为，研究表明较低的刑事责任年龄实际上会导致再犯率更高。

In China, this is a “hot topic” because in 2021, the country lowered its MACR from 14 to 12 for two offenses: intentional homicide using especially cruel means and intentional infliction of bodily harm resulting in death or serious disability using especially cruel means. In the years before 2021, there had been a slew of cases publicized in which 13-year-olds committed violent murders and suffered few, if any, consequences. One boy, after murdering his mother, returned to school after a mere ten days of detention; another murdered a 10-year-old girl and wrote online to his friend he knew it would turn out fine because he was under 14. Such cases coming to light sparked outrage, and so an amendment was proposed and adopted. Some Chinese are advocating for an even lower MACR.

在中国，这是一个热点话题，因为在2021年，中国将未成年人刑事责任年龄从14岁降低到12岁，这适用于两种罪行：犯故意杀人、故意伤害罪，致人死亡或者以特别残忍手段致人重伤造成严重残疾，情节恶劣的。2021年前的几年中，有一系列案件被广泛报道，比如13岁的青少年犯下暴力谋杀罪但几乎没有受到任何惩罚；一名男孩在杀害母亲后，仅被拘留十天后就回到学校；另一名男孩杀害了一名10岁女孩，并在网上写信给他的朋友说他知道自己不会有事，因为他未满14岁。这些案件的曝光引发了公众的愤怒，因此一项修正案得以被提出并通过。一些中国人依然主张进一步降低未成年人刑事责任年龄。

After the presentation, the presenters took a brief break, networking with audience guests before then taking questions from the general audience. Here are some of the questions asked as well as a shortened version of the responses:

演讲结束后，主讲人与观众进行短暂交流并回答了一些问题。以下是简短记录：

Q: What does an intern at Zhicheng do?

A: The foreign interns at Zhicheng do comparative legal research, case analysis, and participate in activities held by the organization. For example, we completed research related to the protection of children’s data and the relationship between social media and juvenile offenses. We also participated in a meeting where scholars, re-searchers, and professionals discussed the protection of children on the internet. Jiang, who is fluent in both English and Chinese, assists in responding to the organization’s online consultations. Jiang also translates for the employees and foreign interns.

问：致诚实习生的工作内容有哪些？

答：致诚的外国实习生进行比较法研究、案件分析，并参与组织举办的活动。例如，我们完成了与儿童数据保护和社交媒体与青少年犯罪关系相关的研究。我们还参加了一次会议，学者、研究员和专家在会上讨论了儿童网络保护的问题。中国实习生还会接触线上法律咨询的辅助工作。

Q: What are some good cases to read to better understand the juvenile justice system or the changing viewpoints surrounding children’s rights in the United States?

A: Since every state has a different set of laws, it can be helpful to look at Supreme Court decisions, as they apply to all states and generally provide an overview of the history of the law discussed. Revolutionary cases I would recommend looking at include Thompson v. Oklahoma (1988) and Roper v. Simmons (2005). You can see the Court taking into account the shift in state laws to more modern juvenile justice approaches.  

问：为更好地了解美国的青少年司法系统或儿童权利观点的变化，有哪些值得阅读的案例？

答：由于各州法律不同，查看适用于所有州的最高法院裁决可能会有所帮助，因为它们通常提供了所讨论法律的历史概述。我建议阅读的具有突破性的案件包括Thompson v. Oklahoma（1988年）和Roper v. Simmons（2005年）。你可以看到最高法院将州法律关于青少年司法方式的现代化转变纳入考虑。

Q: In China, penetration is required to reach an offense of sexual assault of a female adult but it is not required for a female minor. Is this similar in the United States?

A: In the United States, statutory rape crimes are based on the idea that until a child reaches a certain age, they are incapable of consent. This specific age in which a child is determined capable of consenting to sexual relationships with adults varies with state. Some states will determine the severity of the punishment based on the age of the offender – reserving their most serious punishments for those over 21 who have sexual intercourse with someone under the age of consent and particularly under the age of 14 or 13. However, every state requires there to be sexual intercourse or sexual penetration in order to qualify for this offense. There is a separate offense for sexual misconduct with a minor, but that is not the same as sexual assault in the United States. There are exceptions in several states that will permit prosecution for sexual assault without penetration (if a penis has any contact with a vulva), but this is not universal among the states.

问：在中国，强奸罪的犯罪既遂为“插入说”，但对于强奸幼女，则以“性器官接触说”为既遂标准。美国是否有相似规定？

答：在美国，法定强奸罪的规定基于“儿童在达到一定年龄之前没有能力表示同意”的观点。性同意年龄因州而异。有些州会根据犯罪者的年龄来决定惩罚的严重程度——对21岁以上且与未达到法定年龄的人发生性关系的犯罪者的惩罚最为严厉，尤其是另一方年龄为14岁或13岁以下时。但是，每个州都要求必须有性交或性插入行为才能构成此罪行。对未成年人的不当性行为有单独的罪行，但这与美国的性侵犯不同。有几个州有例外：如果双方性器官存在接触，则允许对不具有插入行为的性侵犯进行起诉，但这在各州并不普遍。

致诚实习生