首页|论企业与企业成员刑事责任的分离

论企业与企业成员刑事责任的分离

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目前,基于刑事合规热潮的推动,企业与企业成员刑事责任的分离成为单位犯罪理论发展的目标之一。为实现企业与企业成员刑事责任的分离,可以从三个方面寻找相关依据。企业独立意志理论是二者刑事责任分离的理论根据;相关文件为二者刑事责任的分离提供了一定的规范根据;社会总体利弊权衡为二者刑事责任的分离提供了现实根据。企业刑事责任的依据应当逐渐从企业成员的业务行为向企业本身组织管理缺陷的方向进行转变。因此,应当采取以单位运营管理为基础的单位犯罪刑事责任学说来认定企业的刑事责任。为实现企业刑事责任的独立,应当首先确保企业具有独立意志能力和独立行为能力。在判断企业是否具有独立意志能力时,应当以企业合规制度的设立状况为依据;在判断企业是否具有独立行为能力时,应当以企业合规制度的运行状况为根据。
On the Separation of Criminal Responsibility Between Enterprises and Their Members
At present,driven by the upsurge of criminal compliance,the separation of criminal responsibility between enterprises and their members has become one of the goals of the development of the theory of unit crimes.In order to realize the separation of criminal liability between enterprises and their members,the relevant basis can be found from three aspects.The theory of independent will of enterprises is the theoretical basis of the separation of criminal responsibility.Relevant documents provide a certain standard basis for the separation of criminal responsibility.The social balance of advantages and disadvantages is the actual basis of the separation of criminal responsibility.The basis of criminal liability of enterprises should gradually change from the business behavior of enterprise members to the direction of organizational management defects of enterprises.Therefore,the theory of criminal responsibility of unit crimes based on the operation management of the unit to identify the criminal responsibility of enterprises should be adopted.In order to realize the independence of criminal responsibility of enterprises,it should first be ensured that an enterprise has the ability of independent will and that of independent behavior.As far as the judgment whether an enterprise has the ability of independent will is concerned,it should be based on the establishment of the compliance system of the enterprise.As far as the judgment whether an enterprise has the ability of independent behavior is concerned,it should be based on the operation status of the compliance system of enterprises.

unit crimeenterprisesmembers of enterprisescompliance planorganizational management defects

王志祥、吴超莹

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大连海事大学法学院,辽宁大连 116026

北京师范大学刑事法律科学研究院,北京 100875

单位犯罪 企业 企业成员 合规计划 组织管理缺陷

国家社会科学基金项目国家社会科学基金项目

21BFX00919BFX068

2024

河北法学
河北政法职业学院 河北省法学会

河北法学

CHSSCD北大核心
影响因子:0.992
ISSN:1002-3933
年,卷(期):2024.42(5)
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