单位犯罪成立条款的立法修正——以单位刑事责任理论为分析工具

Suggestion on the Perfection of the Provision of Unit Crime:Using the Theory of Unit Criminal Liability as an Analytical Tool

有关单位犯罪的刑法规定的修改和完善,应以组织体责任论作为单位承担刑事责任根据的学理基础。在将单位与自然人刑事责任追究分别予以考量的前提下,必须厘清单位刑事责任与单位中自然人刑事责任的关系。相较于“平行方式”“总分方式”“剩余方式”,“连带方式”重视单位犯罪与自然人犯罪的特征,在定罪时形成必要兼顾,在量刑时形成彼此关照,因而在法理论证上更易形成说服力,在司法实践中也更具可操作性。在此基础上,探讨完善单位犯罪成立条件的具体路径:应借鉴《民法典》《公司法》等法律优化单位犯罪主体范围;从违反对外义务和对内义务理解单位犯罪的行为类型属于真正的不作为犯;单位不像自然人那般具备认识能力和控制能力,无法在单位犯罪中完全贯彻罪责主义或者主客观相统一原则;“事前合规”可从违反义务的角度以积极条件的方式加以规定,而“事后合规”则不应在定罪阶段予以考虑,应在量刑阶段作为减免单位责任的事由。

The revision of criminal law provisions relating to unit crime should be based on the criminal liability of the organization as the doctrinal basis for unit criminal liability.Considering the criminal liability of units and natural persons separately,it is necessary to clarify the relationship between the unit criminal liability and the criminal liability of natural persons.“Joint mode”emphasizes the characteristics of unit crime and natural person crime,making it easier to form a persuasive argument in jurisprudence and more operable in judicial practice.On this basis,this article discusses the specific ways to improve the conditions for the establishment of unit crimes,including optimizing the scope of the subject of unit crimes by drawing on the Civil Code,Company Law,and other laws and understanding the type of conduct of unit crime in terms of the breach of external and internal obligations as omission.It should be noted that units,unlike natural persons,do not have the cognitive and control ability to fully implement the principle of culpability or the unity of subjectivity and objectivity in unit crime.“Ex ante compliance”could be provided for in the form of positive conditions from the perspective of the breach of an obligation,whereas“ex post compliance”should not be taken into account at the stage of conviction,but rather at the stage of sentencing as a mitigating factor in the unit criminal liability.