刑事合规的刑法教义学思考

Criminal Compliance on the Perspective of Criminal Law Dogmatics

刑事合规创设的企业预防犯罪的刑事义务以及所体现的刑罚积极预防的政策性导向,能否正本清源地通过传统刑法教义的检测,关乎刑事合规是否存在可靠的现代刑法理据,进而触及刑事合规价值的正当性基础。刑事合规要成为刑法理论的学术话题,需要进行教义学的思考,以助其形成理论框架。形式上,刑事合规尽管与传统刑法教义的归责原则有所抵牾,但并不是对刑法教义的颠覆和重构,而是在传统刑法教义基础上的一种新发展。企业以及企业管理者之所以对员工的犯罪行为承担刑事责任,源于企业的管理、监督过失,并没有侵蚀一般刑法原理中的责任原则。同时,刑事合规与现代刑法理论的信赖原则、期待可能性以及风险降低等正当化事由相连接,为企业构建刑事合规体系提供激励。据此,刑事合规没有重塑刑法教义而脱逸现代刑法的基础理论,其可以成为刑法规范上的概念并融入现行刑法理论的体系中。

The criminal duty of enterprises to prevent crime and the policy guidance embodied in the active prevention of penalties are created by criminal compliance system.Whether they could pass the test of traditional criminal law dogmatics is related to the justification of criminal compliance by the modern criminal law theory,which then involves its basis of legitimacy.To transform criminal compliance into an academic topic,it is imperative to analyze from the angle of criminal law dogmatics,which will contribute to the formation of a theoretical framework.Notwithstanding the criminal compliance seems to be at variance with the principle of liability attribution formally,it is rather a new development based on traditional criminal law doctrines than the subversion or reconstruction of it.The reason why enterprises and managers bear criminal responsibility for the crimes of employees stems from the negligence of their management and supervision,which does not violate the liability principle in the general principles of criminal law.In the meantime,criminal compliance connects with causes of justification in modern criminal law theory,like the principle of reliance,expectant probability,and risk reduction,to stimulate the enterprises to create a criminal compliance system.In view of the above,criminal compliance does not remodel the doctrine of criminal law or deviate from the basic theory of modern criminal law.Therefore,it can become a concept of criminal norms and be integrated into the current system of criminal law theory.