企业刑事责任二元模式研究

On the Dual Mode of Corporate Criminal Liability

在差不多整个20世纪近百年的时间里,西方国家一直坚持企业刑事责任一元模式。但一元模式是传统刑法理论与规制企业活动的政策需求相妥协的产物,本身具有重大缺陷。近20年来,随着企业适法计划、企业文化等客观情况越来越多地在立法中被考虑作为企业刑事责任的重要情节,企业刑事责任在西方国家呈现出从一元模式向二元模式转变的趋势。二元模式提倡区分个人刑事责任与企业刑事责任,具有刑事责任趋于客观、举证责任倒置以及程序相对独立的特点,能够分散企业犯罪的预防责任、降低企业犯罪的制裁成本、促进企业内部的守法文化,在企业组织管理复杂化、业务行为国际化的形势下,对于预防企业犯罪而言,二元模式是明智的政策选择。

Western countries had adhered to the single mode of corporate criminal lia- bility for the most part of the 20th century. However, the single mode, as the result of a com- promise between traditional criminal theories fects in itself. In the past two decades, with and modern regulatory needs, has significant de- objective circumstances such as corporate compli- ance programs and corporate cuhure becoming increasingly recognized in legislation as important factors in the determination of corporate criminal liability, the mode of corporate criminal liabil- ity in western countries is undergoing a transition from the single mode into a dual mode. The dual model advocates the separation of individual liability from corporate liability, imposes part of the duty of prevention on corporations, and has the potential of reasonably distributing the duty of prevention, reducing the cost of sanction and promoting the cuhure of compliance within corporations and, therefore, is a wise policy choice