论风险升高理论的正当性基础——以义务违反关联为核心  

The Legitimacy Basis of the Risk Increase Theory:Focusing on the Connection with Breach of Duty

作　　者：杜卓璇 Du Zhuoxuan

机构地区：[1]清华大学法学院

出　　处：《法治现代化研究》2024年第1期144-158,共15页Law and Modernization

摘　　要：风险升高理论的核心是降低义务违反关联的程度,属于规范评价的范畴,不违反疑罪从无原则。义务违反关联的功能在于确保过失归责的正当性,同与故意的作为犯相比,过失犯缺少“意志作用下的目的性支配”这一填充故意归责正当性的关键要素,故必须借助义务违反关联性进行补足。适当降低义务违反关联程度不会使其功能丧失,亦不会导致过失归责失去正当性。首先,义务违反关联的判断本就是对假想事实的推测,并且现实因果流程具有复杂性,因此义务违反关联程度客观上不可能达到100%,这一点也可以在共同犯罪中得到验证。其次,义务违反关联程度的设定应当采取优势标准说,当行为人采取合义务替代行为时结果不发生的可能性要大于结果发生的可能性时,便可以肯定存在义务违反关联。最后,适当降低义务违反关联程度不会使过失犯从结果犯转变为危险犯。The core of the risk increase theory is to reduce the degree of the connection with breach of duty and falls within the realm of normative evaluation,without violating the presumption of innocence.The function of the connection with breach of duty is to ensure the legitimacy of negligence attribution.Compared to intentional offenses,negligent offenses lack the key element of“purposive control under the influence of will”.Therefore,it is necessary to supplement the legitimacy of attributing negligence by relying on the connection with breach of duty.Appropriately reducing the degree of the connection with breach of duty will not diminish its function,nor will it result in the loss of legitimacy in attributing negligence.Firstly,the determination of the connection with breach of duty is speculative about hypothetical facts,and the real causal process is complex.Therefore,objectively,the degree of the connection with breach of duty cannot reach one hundred percent,which can be verified in joint crimes.Secondly,the setting of the degree of the connection with breach of duty should adopt the dominant criteria.When the possibility of the non-occurrence of the result is greater than the possibility of its occurrence when the actor adopts a legally obligated alternative action,the existence of the connection with breach of duty can be affirmed.Lastly,appropriately reducing the degree of the connection with breach of duty will not transform negligent offenses from result offenses to endangerment offenses.

关 键 词：义务违反关联 结果归责 合义务替代行为 风险升高理论 

分 类 号：D915.3[政治法律—诉讼法学]