风险降低理论与客观归责的再思考

Risk Reduction Theory and Revisiting Objective Responsibility Attribution

摘要: 风险降低作为客观归责理论第一阶层“制造法所不容许的风险”主规则的下位理论，对于反向检验排除结果归责具有重要作用。风险降低理论宜从广义上理解，包括两种情形，一种是减弱既有的风险，或者至少不改变原有风险；另一种是以较小风险取代原本存在的更大风险。其在犯罪论二阶层体系之下更具有可行性，不仅在构成要件符合性上排除归责，也需要对违法性予以考虑，通过正当化事由排除结果答责。具体来看，风险降低参照基准不应包括行为计划，且在作为和不作为的场合需要区别适用。作为应用性理论，客观归责论及其下位理论应当解决逻辑体系的不足之处，才能找到未来的出路。

Abstract: The Risk Reduction Theory, serving as a secondary framework within the principal rule of “avoiding legally non-permissible risks” at the foundational level of objective responsibility attribution, plays a pivotal role in the backward verification for excluding result responsibility. It is imperative to interpret the Risk Reduction Theory expansively, encompassing two scenarios: diminishing pre-existing risks or, at a minimum, maintaining the original risk level; and substituting a previously higher risk with a lesser one. This approach gains practicality within the dual-layer structure of criminology, facilitating the exclusion of imputation not only by aligning with the elements of the offense but also by evaluating the legality, thereby justifying the exclusion of outcome liability. Notably, the risk reduction benchmark should exclude plans of action and necessitates distinct applications for active behaviors versus omissions. As a practical theory, the objective attribution framework and its ancillary theories must address the logical system’s shortcomings to pave the way forward.