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单位犯罪归责模式之证立与义务违反说之提倡

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刑事合规改革中"双不起诉"的做法在实体法上并无根据,亟待对单位犯罪体系再审视。基于"存在—机能—规范"的分析框架,从"单位犯罪是谁的犯罪"、"我们需要什么样的单位犯罪"和"规范中的单位犯罪应当如何解释和建构"三个方面证成单位犯罪本体责任的责任根据。虽然单位不是自然人般的生物体,但确是人格体,以义务违反作为单位犯罪刑事责任的核心,有助于单位行为与罪过的认定、预防目的的实现以及本体责任论据的补强。同时,从纵向与横向两方面建构单位所担负的义务体系,不仅能够说明单位的责任根据,也能够说明单位成员的范围和责任根据。此外,归责模式应当采组织本体和职员类推的二重进路,处罚模式以双罚制为原则、单罚制为例外。
The Establishment of the Imputation Model of Unit Crime and the Promotion of the Theory of Obligation Violation
The"double non-prosecution"approach in the reform of criminal compliance lacks justification in substantive law,and there is an urgent need to re-examine the system of unit crime.Based on the analytical framework of"existence-function-norm,"this justification for the obligation of the substantive obligation of unit crime is supported from three aspects:"who is the perpetrator of unit crime,""what kind of unit crime do we need,"and"how should unit crime in norms be interpreted and constructed."Although a unit is not a biological entity like a natural person,it is indeed a personal entity.Taking the violation of obligations as the core of criminal liability for unit crime helps in identifying the behavior and culpability of the unit,achieving the purpose of prevention,and strengthening the arguments for substantive obligation.At the same time,constructing the obligation system borne by the unit from both vertical and horizontal aspects can not only explain the basis of the unit's obligation,but also clarify the scope and basis of obligation of unit members.In addition,the attribution model should adopt a dual approach of organizational ontology and analogy to employees,with the principle of double punishment and the exception of single punishment.Criminal compliance serves as a condition for the establishment of a crime and a sentencing circumstance.

Unit CrimeBasis of LiabilitySubstantive LiabilityAttribution ModelObligation Violation

聂立泽、李佳骏

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中山大学法学院,广东广州 510000

单位犯罪 责任根据 本体责任 归责模式 义务违反

2024

政法学刊
广东警官学院 广东省公安司法管理干部学院

政法学刊

CHSSCD
影响因子:0.315
ISSN:1009-3745
年,卷(期):2024.41(3)