作为免罚事由的合规措施

Compliance Measures as a Reason for Penalty Exemption

对合规制度的讨论,可以在不同的体系阶层上、在不同的论证样式和教义构造中进行。因此,合规制度背景下的免罚效果可以通过构成要件的解释来发生;不过,就不纯正不作为犯框架下的合规情形而言,不可能通过客观归责理论来产生免罚效果;在主观的行为面向上,只要当事人对错误组织以及由此产生的风险或危险情形有所认识,合规制度就不会对未必故意产生影响;在过失犯领域中,合规制度是否具有免罚效果,取决于在何时合规制度是为了防止此种损害(当事人有义务防止这种损害)。在合规制度虽然存在却仍然发生损害的情形中,既能通过容许风险的结构也能以行为欠缺违法行为所独有的行为不法为由来加以正当化。

Compliance can be discussed at various levels of the system and in a variety of argumentative styles and doctrinal constructions.Therefore,penalty exemption in the context of the compliance system can take occur through the interpretation of the constitutive elements;however,in cases of the compliance situation under the framework of offense of non-typical omission,it is impossible to produce an exemption from punishment by citing the theory of objective imputation.In the light of the subjective behavior orientation,the party concerned shall be exempted from punishment inscribed in compliance system for eventual intent for certain awareness of the false organization,and the risks or dangerous situation arising from the organization.In the context of criminal negligence,it is effective to conduct penalty exemption in accordance with the compliance system when the system is applicable for the purposes of preventing such damnification(the party concerned is responsible for preventing such damnification).In the event that damnification occurs in spite of the applicable compliance system,the justification can occur in accordance with the risk-allowable structure or by reason of absence of a wrong act solely required for the conviction of legal violation.