企业刑事合规激励功能实现的刑法教义学解析

Analysis of Criminal Law Doctrine Analysis on the Realization of Incentive Function of Enterprise Corporate

源于刑事政策的企业刑事合规激励功能实现不得与刑法原理相抵牾,需要通过刑法教义学的检验。企业刑事合规激励功能实现的前提是明确组织体责任的内涵。组织体责任的本质是实现企业和自然人责任的分离,要求企业对已有的实害结果承担责任而不是对合规本身或者未合规导致的抽象风险承担责任,也要求单位犯罪具有故意或过失。在实体层面,事前合规可以根据不同情形从构成要件该当性或有责性层面否定犯罪成立。在事前合规无法否定犯罪成立下,事前合规和事后合规都作为量刑因素分别从责任刑减免刑事责任、预防刑减轻刑事责任。在程序层面,企业刑事合规附条件不起诉本质是刑事政策推动下的法律责任转换,正当性源于刑法教义学与刑事政策之间的外部双向衔接。

The realization of incentive function of corporate criminal compliance derived from criminal policy should not contradict the principle of criminal law and should pass the test of criminal doctrine.The premise of realizing the incentive function of corporate criminal compliance is to clarify the connotation of organizational responsibility whose essence is to realize the separation of the responsibilities of enterprises and natural persons.It requires enterprises to assume the responsibility for the actual harm of existing results rather than the compliance itself or the abstract risks caused by non-compliance.It also requires the intentional or negligent nature of unit crimes.At the entity level,the ex-ante compliance can negate the establishment of a crime from the aspects of constitutive requirement or responsibility according to different circumstances.Under the circumstance that exante compliance cannot negate the establishment of a crime,ex-ante compliance and ex-post compliance are both used as sentencing factors to reduce criminal responsibility from the punishment of responsibility,and to reduce criminal responsibility from the prevention of punishment.At the procedural level,the nature of the conditional non-prosecution of criminal compliance is the transformation of legal liability driven by criminal policy,and its legitimacy originates from the external two-way connection between criminal doctrine and criminal policy.