单位刑事责任论的反思与重构  

Reflection on and Reconstruction of the Theory of Unit Criminal Liability

作　　者：李本灿[1] Li Bencan

机构地区：[1]山东大学法学院

出　　处：《环球法律评论》2020年第4期39-60,共22页Global Law Review

基　　金：作者主持的2019年度国家社会科学基金青年项目“全球性合规风险背景下刑事合规制度建构的方法及其边界研究”(19CFX039)的研究成果。

摘　　要：单位刑事责任论的研究近年来呈现出显著的规范性。与此同时,基于预防需要,纯粹自然进路的代位责任理论也在悄然复归。从《刑法》第30条、第31条出发,单位是在为自身行为负责,而非为他人行为负责;自然人责任是单位责任的构成要素。这意味着,纯规范进路的系统责任论与自然进路的代位责任论都不可取。组织体责任论契合了责任主义原则,在大方向上是正确的。组织体的另一个自我是领导集体,〔1〕组织责任系领导集体责任。不具有决策权的职员仅是组织体责任的“观察对象”或“参考资料”,其以共同正犯或个人过失的形式与单位犯罪发生关联。基于“参考资料”的功能定位,不具有决策权者不需要具体确证,或者完全充足构成要件,从职员的合法行为中亦有可能推导出组织体罪责。“组织体责任=领导集体责任”关系的确立以法定为限,在“单位实施非单位犯罪”的情形,对自然人的处罚并非“规范隐退”或“反教义学化”,而是对其他教义规则的遵守。单位责任论教义规则的建构不仅有利于区分单位犯罪与自然人犯罪,对于“以单位为犯罪对象”情形下的罪与非罪、此罪与彼罪的区分亦具有重要理论价值。In recent years,the research on unit criminal liability has demonstrated prominent characteristics of normalization.Meanwhile,the theory of vicarious liability has been quietly reintroduced on the basis of the need to prevent unit crimes.From the perspective of articles 30 and 31 of the Chinese Criminal Law,a unit should be responsible for its own acts,rather than the acts of others.The liability of a natural person is a constitutive element of unit liability.This means that neither the system liability theory based on the normalized approach nor the vicarious liability theory based on the natural approach is desirable.The organizational liability theory is correct in the general direction,as it conforms to the responsibility-principle.The organization here equals to the collective leadership and the organizational liability is the liability of the collective leadership.Employees with no decision-making power are only objects of observation or reference materials of the organizational liability,who associate themselves with a unit crime in the form of joint principal offender or individual negligence.Based on the functional orientation of“reference material”,organizational liability can be deduced from lawful act of employees without the need to identify employees with no decision-making power or to determine whether their acts have met the constitutive requirement of a crime.The equation of“organizational liability=collective leadership liability”can be established only within the scope prescribed by law.Under the condition that a unit commits a non-unit crime,the punishment of the natural person does not constitute retrogression of legal norms or anti-dogmatics,but is in conformity with other dogmatic rules.The construction of dogmatic rules of unit criminal liability can not only benefit the distinction between unit crime and natural person crime,but is also of important theoretical value to the distinctions between crimes and none-crimes and between different kinds of crimes under the condition where�

关 键 词：单位犯罪 代位责任 系统责任论 新组织体责任论 

分 类 号：D924.1[政治法律—刑法学]