论企业合规对单位犯罪刑事责任的影响

On the Influence of Corporate Compliance on Criminal Liability of Unit Crimes

刑事责任的理解是有层次的,第一层是“可谴责性”,第二层是“犯罪的法律后果”。单位犯罪刑事归责的核心问题是“单位犯罪意志”,就此,有个人责任模式、组织责任模式、决策责任模式三种方法。企业合规视域下的组织体责任论(“单位独立意志论”)并不能表明企业没有犯罪意志或者犯罪意图,只是表明企业一贯良好经营的“法人品格”,其并不能发挥否定单位犯罪可谴责性的作用,无法发挥犯罪构成层面上的出罪功能。这意味着,企业合规无法有效减少单位犯罪。单位刑事归责应坚持“主客观相统一”原则下的决策责任模式。在“犯罪的法律后果”这一层面上,企业合规作为“法人人格”的体现可以为构罪企业提供司法程序上的出罪红利以及刑罚裁量上的减轻、免除效果。总之,应当否定企业合规的“实体出罪”功能,强化其合规不起诉及刑罚减等功能。

The understanding of criminal liability is hierarchical,with the first layer being“reprehensible”and the second layer being“the legal consequences of a crime”.The core problem of criminal liability of unit crimes is“the will of unit crimes”.In this regard,there are three methods:individual liability mode,organizational liability mode and decision-making liability mode.The theory of organizational liability from the perspective of corporate compliance(“the theory of independent will of the unit”)does not indicate that the enterprise has no criminal will or criminal intention,but only indicates the“corporate character”of the enterprise that has always been well managed,which can not play the role of denying the condemnation of unit crime,nor can it play the role of committing crimes at the level of crime constitution.This means that corporate compliance cannot effectively reduce unit crime.The criminal liability of the unit should adhere to the decision-making liability mode under the principle of“unity of subjectivity and objectivity”.At the level of“legal consequences of crimes”,corporate compliance,as the embodiment of“personality as a legal person”,can provide criminal dividend in judicial procedures as well as mitigation and exemption effects in penalty discretion for criminal enterprises.In short,the function of“entity committing crimes”of enterprise compliance should be denied and its function of non-prosecution and penalty reduction should be strengthened.