刑事合规背景下单位责任人的出罪逻辑与路径

The Logic and Path of Culpability of Unit Liable Person in the Context of Criminal Compliance

刑事合规背景下,存在“严惩责任人”与“放过责任人”之间的内在张力。事实上,基于民营企业尤其是小微企业持续稳定运营的价值分析,单位犯罪归责理论的检视证成以及域外司法实践的有益参考,刑事合规单位责任人出罪具有进一步思考的法理逻辑。出罪路径方面,应以再次犯罪危险显著降低为前提,以责任人在合规中的重要作用为依据,并基于类型化思维,对公司治理结构完善的企业,考虑单位责任人的实质作用;对于公司治理结构失范的企业,则充分结合认罪认罚从宽制度、相对不起诉制度等,扩大从宽幅度。

In the context of criminal compliance,there is an inherent tension between"severely punishing liable person"and"letting go of liable person".In fact,based on the value analysis of the sustainable and stable operation of private enterprises,especially small enterprises,the justification of the theory of liability for unit crimes,and referring to the extraterritorial judicial practice,there is a space for for denying the accusation of the liable person in the unit in criminal compliance.As for the decriminalization path,it should be based on effective reduction of the risk of recidivism,as well as the the important role of the liable person in compliance.Moreover,typed thinking patterns is necessary,in the case of enterprises with sound corporate governance structure,we should consider the substantive role of liable person;in the case of enterprises with improper corporate governance structure,we should fully consider the system of leniency for guilty pleas and punishment acceptance and the relative non-prosecution system,and expand the extent of leniency.