合规出罪激励模式之提倡——以主客观相统一的组织体责任论为理论支撑

Advocacy of Incentive Mode for Compliance and Crime—Based on the Theory of Organizational Responsibility with the Unity of Subjective and Objective

摘要: 我国目前采取的“合规不起诉及合规量刑激励模式”存在适用范围过窄、无法激励企业进行事前合规等问题，以合规出罪激励模式为补充可妥善解决相应问题。合规出罪激励模式的激活以承认单位过失犯罪为前提。组织体责任论分为主客观相统一模式和客观中心归责模式，二者都承认单位应为其自身过失承担责任。客观中心归责模式将单位意志要素从单位犯罪责任理论中排除，矫枉过正。采取主客观相统一的组织体责任论，将刑法分则中单位犯罪各条款从“单位犯前款罪”修改为“单位故意或过失犯前款罪”，既适用同一视原则认定单位意志，又承认单位过失犯罪，为合规出罪激励模式提供实体理论支撑。

Abstract: The “compliance non-prosecution and compliance sentencing in-centive mode” currently adopted in China has problems such as too narrow scope of application and inability to motivate enterprises to comply in advance. The corresponding problems can be proper-ly solved by supplementing the compliance crime incentive mode. The activation of the incentive mode of compliance crime is based on the recognition of unit negligent crime. The organizational responsibility theory can be divided into the subjective and objective unity model and the objective centered responsibility model, both of which admit that the unit should bear responsibility for its own fault. The objective-centered imputation model excludes the element of unit will from the the-ory of unit criminal responsibility, which is overcorrected. Using above theory, we should modify the items in Criminal Law about unit crime to contain one situation where the criminal unit commits the crime intentionally, which not only applies the principle of the same view to identify the will of the unit, but also recognizes the unit negligent crime, providing substantive theoretical support for the incentive mode of compliance with the crime.