单位犯罪刑事归责中数据合规师的作为义务  

Duty of Data Compliance Officer in Criminal Imputation of Unit Crimes

作　　者：敬力嘉 Jing Lijia

机构地区：[1]武汉大学法学院

出　　处：《复印报刊资料（刑事法学）》2022年第4期100-112,共13页criminal law

基　　金：2020年度国家社会科学基金后期资助项目“信息网络环境下犯罪参与行为的处罚边界研究”(20FFXB047);2019年度中国法学会部级研究课题青年调研项目“‘深度伪造’问题的刑事规制与限度研究”[CLS(2019)Y04]的阶段性成果。

摘　　要：确定是否以及如何在刑事实体法中引入合规计划的前提,是厘清具体单位犯罪刑事归责中合规师的刑事责任。我国单位犯罪的刑事责任类型应为独立的“决策机制责任”,合规计划的功能在于廓清单位决策机制的运作过程,判断个人意志是否上升为单位意志,个人行为是否上升为单位行为。若答案为肯定,则需进一步判断单位犯罪行为的不法责任。以此为理论基础,企业数据合规师以其容许行为不作为参与了企业所实施的具体信息网络犯罪。在企业日常经营中,数据合规师需承担作为制度建设义务的数据合规义务;在信息网络犯罪刑事归责中,数据合规师需承担过失不作为犯的具体作为义务,不能对这两种义务进行混同。在具体信息网络犯罪的刑事归责中,应以不作为犯“类单一正犯”的不法结构,以及数据合规师的职务身份及其应承担的作为义务类型为依据,分别认定其刑事责任。如此,可避免走向“合规无用论”或“合规浪漫主义”的极端,理性厘定合规计划在单位犯罪治理中的制度功能。The prerequisite for determining whether and how to introduce a compliance project in the substan-tive criminal law is to clarify the criminal responsibility of the compliance officer in the imputation of the specific unit crime.The type of criminal responsibility for unit crimes in our country should be an independent"decision-making mechanism responsibility".The function of the compliance project is to outline the operation process of the decision-making mechanism to determine whether individual will rise to unit will and whether individual behavior will rise to unit behavior.If the answer is positive,it is necessary to further judge the wrongness and responsibility of the unit's criminal behavior.Based on this theoretical basis,corporate data compliance officers have participated in specific in-fo-and cybercrimes committed by companies with their acts of permitting.In the daily operation of the enterprise,the data compliance officer shall bear the obligation of data compliance as the obligation of system construction;in the im-putation of info-and cybercrimes,the data compliance officer shall bear the specific duty to act of negligent omission.It is not acceptable to confuse these two obligations.In the criminal imputation of specific information network crimes,the criminal responsibility should be determined based on the wrongness of the"single principal offender",the identi-ty of the data compliance officer and the type of obligation that should be assumed.In this way,it is possible to avoid the extremes of"compliance uselessness"or"compliance romanticism",and rationally determine the institutional function of the compliance project in unit crime governance.

关 键 词：单位犯罪 决策机制责任 数据合规师 合规计划 刑事归责 

分 类 号：D924.3[政治法律—刑法学]