单位犯罪案件研判的思维路径建构  

Construction of Thinking Path of Unit Crime Case Study and Judgment

作　　者：曹高煜 

机构地区：[1]浙江工商大学法学院,浙江 杭州

出　　处：《法学（汉斯）》2023年第3期976-988,共13页Open Journal of Legal Science

摘　　要：由于在单位犯罪诸多极其基础的理论问题上一直存在理解上的偏差,因此单位犯罪案件研判的思维路径始终难以形成统一的认识。在罪责自负原则与罪责刑关系原理的指导下,本文强调应当首先肯定单位犯罪案件中自然人和单位的独立刑事主体地位,而后再以此为前提分别从自然人角度和单位角度对前述理论问题加以回答并论证。从自然人角度而言,我国刑法分则规定的所有单位犯罪均属于不纯正单位犯罪,同时“直接负责的主管人员和其他直接责任人员”是指所有参与实施了单位犯罪且自身成立自然人犯罪的单位成员;从单位角度而言,单位的客观危害行为是指满足了形式要求与目的要求的自然人(单位成员)的客观危害行为,单位的主观罪过是指单位对“单位成员实施的会被上升评价为单位行为的危害行为发生危害结果”的态度,具体以单位的刑事合规计划的制定和执行情况为依据。除此之外,单双罚制的创设不仅面临重大理论困境而且存在画蛇添足之嫌,单位犯罪案件中的刑罚处罚只需严格遵循罪责自负原则与罪责刑关系原理即可。在上述回答和论证的基础上,本文最终建构了逻辑自洽的单位犯罪案件研判的思维路径。Due to the deviation of understanding on many basic theoretical problems of unit crime, it is diffi-cult to form a unified understanding of the thinking path of the study of unit crime cases. Under the guidance of the principle of self-responsibility and the principle of the relationship between crime, criminal responsibility and penalty, this paper emphasizes that we should first affirm the independent criminal subject status of natural person and unit in unit crime cases, and then answer and demonstrate the aforementioned theoretical questions from the perspective of natural person and unit respectively on this premise. From the perspective of natural person, all unit crimes stipulated in the provisions of our criminal law are not pure unit crimes. Meanwhile, “directly responsible in charge and other directly responsible personnel” refers to all members of units who participate in the implementation of unit crimes and set up natural person’s crimes. From the perspective of the unit, the objective harmful behavior of the unit refers to the objective harmful behavior of the natural person (unit member) who meets the requirements of form and purpose, while the subjective sin of the unit refers to the attitude of the unit toward “harmful behavior carried out by unit member that will be evaluated as the unit’s behavior will produce harmful results”. It is based on the development and implementation of the criminal compliance plan of the unit. In addition, the creation of odd and double punishment system is not only faced with a great theoretical dilemma, but also exists the suspicion of gilding the lily. The penalty punishment in unit crime cases only needs to strictly follow the principle of self-responsibility and the principle of the relationship between crime, criminal responsibility and penalty. On the basis of the above answers and arguments, this paper finally constructs the logical self-consistent thinking path of unit crime case.

关 键 词：单位犯罪 罪责自负 罪责刑关系 刑事合规 刑罚规则 

分 类 号：D92[政治法律—法学]