Criminal Responsibility Of Unit Crime In The Perspective Of Criminal Compliance

Since the introduction of the regulations on the compliance plan in the US Federal Organization Sentencing Guidelines,compliance as part of the criminal system is linked to criminal responsibility,and it is positively encouraging legal persons to implement measures to strengthen internal control to prevent crime.Since the United States,other countries have also started criminal compliance legislation and judicial practice.In general,there are five main modes of criminal law incentive mechanisms outside of the criminal law:(1)use the compliance plan as a basis for reducing the fine;(2)use the compliance plan as a prosecution consideration;(3)take compliance The plan is included as a non-prosecution and deferred prosecution agreement;(4)Mandatory compliance: Even if no bribery is committed,the French Anti-Corruption Agency may still impose administrative fines on the unit for failing to establish an effective compliance plan;(5)The plan is a reason for a plea of innocence.In the context of criminal compliance,the legal person's liability is based on the existence of governance loopholes within the legal person.The legal person has not fulfilled its compliance obligations.As a natural person bound by the legal person mechanism,the legal person has committed a criminal act under a loophole system.Therefore,the liability of the legal person must be considered for its own governance.Affected by the criminal compliance system and the emerging legal liability theory of legal persons,the criminal liability of legal persons in the United States tends to separate the criminal liability of legal persons from the criminal liability of natural persons among legal persons based on their own liability.The emerging legal theory of criminal liability in the United States also contains the concept of compliance: whether there is a complete compliance mechanism within the legal person,whether there is a legal culture within the enterprise,and other objective characteristics of the legal person are factors that should be paid attention to when determining the criminal responsibility of the legal person.The academic circles in China have proposed a plan for the establishment of criminal compliance in China based on the practice of extra-territorial criminal compliance.For example,referring to the German “Compliance Officer” system and setting up a “business supervision negligence crime”,or according to the status of corporate compliance Unit fines will beincreased or decreased.Generally speaking,criminal compliance has something to learn from,which can bring enlightenment to the development of criminal liability theory in our country.Units are not simply a collection of people,they have a common goal and purpose,and form a corresponding operating structure under the leadership of the purpose.The behavior of the members of the unit is restricted by the relevant mechanism of the unit's operating organization,management methods and so on.The criminal compliance mechanism can promote the separation of the unit 's criminal responsibility from the natural person 's criminal responsibility.The liability of the unit is based on the natural person 's criminal behavior,based on the unit 's governance loopholes and poor compliance operation mechanism.Impact in criminal liability.The introduction of criminal compliance in our country can be envisaged as follows: judging the subjective crime of the unit through criminal compliance;blocking the establishment of the unit 's negligent crime with criminal compliance;the compliance obligation of the compliance officer can become an obligation of inaction;the unit 's compliance Regulations promise to become the unit 's non-criminal acts.