单位固有刑事责任的提倡及其教义学形塑

Promotion of Corporate Inherent Criminal Liability and Its Doctrinal Forms

出于刑事政策的需要引入刑事合规理念,并不必然导致单位犯罪归责模式的转变。放弃以自然人为中介的单位代位责任,必须先放弃存在意义的犯罪主体论。犯罪主体论导致我国单位犯罪制度的实然效能明显低于应然效能,而在有限的实然效能之内,又可能因个人犯罪株连无辜单位,因单位犯罪株连无辜个人。犯罪只能由自然人实施,单位固有责任属于组织责任,其教义学构建自始便区别于自然人犯罪的行为责任、道义责任。应当部分放弃存在意义的罪责观念,将单位刑事归责的核心锚定在客观,主观归责仅具有消极意义。对于犯罪的发生,若单位自身存在以不容许的管理缺陷为根据的组织过失,单位应受归责,除非其无法预见单位成员会恶意规避本单位体制进行犯罪;若单位业已制定并落实了适当的合规计划,单位无论如何都不受归责。

The introduction of criminal compliance for the needs of criminal policy does not necessarilylead to a shift in the imputation model of corporate liability.To abandon the vicarious liability with natural persons as intermediaries,we must first remove the attention on the question“who is the subject ofcrime".This approach makes the judicial effectiveness of corporate crime system in China lower than theeffectiveness that the law should have had,And within the limited judicial effectiveness,it may lead tothe corporate and the individual being found guilty together.In fact,it is no longer necessary to provethat the corporate was ontologically considered as subject of crime if corporate liability is to be established.The corporate can be objectively ascribed for its negligence in organization.However,the criminalliability will be excluded when the corporate could not predict the crimes committed by its members in violation of the organizational management system.If the corporate has formulated and implemented an appropriate compliance program,it shall not be found guilty.