Research On The Imputation Mode Of Unit Crime Under The Threshold Of Enterprise Compliance

As an important academic connection between criminal compliance and criminal substantive law,as well as the main entry point of criminal compliance doctrinal learning,the model of unit crime attribution has always been a research hotspot in the field of compliance.But at the same time,the internal logical connection between criminal compliance and unit crime attribution model has been lacking of necessary discussion.In addition,the incentive effect of compliance in criminal law is difficult to be proved smoothly in the field of unit crime under the premise of affirming the existing mode of attribution for unit crime.In terms of the relationship between compliance and attribution mode,the core conflict between relevance theory and separation theory is the different understanding of the positioning of criminal compliance substantive law and the value of compliance.There is no obvious opposition between the two theories from the two dimensions of compatibility between compliance and organizational responsibility mode and relevance between compliance and accountability mode.The introduction of compliance system amplifies the existing problem of liability mode in Our country,but also causes new theoretical problems.Therefore,criminal compliance plays an important role as a platform and perspective for the study of the attribution model of unit crimes in China.So far,the theory of unit crime in China has been carried out from two dimensions: the establishment conditions of unit crime and the relationship between unit crime and natural person crime.The discussion on the latter is in essence to bridge the prominent contradiction between the unity of liability source and the double punishment system under vicarious liability mode.The theory of unit crime based on natural human model can not cope with the increasingly complex problem of unit crime and neglect the consideration of unit organizational elements makes the unit responsibility challenged by the theory of accountability and functionalism.The integration of vicarious liability and inherent liability has become a global legislative trend.The defects of vicarious liability can be overcome by virtue of the advantages of inherent liability,and the deficiencies of inherent liability can also be made up by virtue of the advantages of vicarious liability.The integration of the two models can not eliminate the prominent differences between the two based on imputation ideas,prevention mechanism and even culture.The core problem of unit crime lies in imputation,and the punishable basis of unit can neither be combined nor compromised.In terms of the source of responsibility of the unit,we should adhere to the organizational responsibility model,that is,to find the punishable basis of the unit from the defective organizational operation of the unit.Unit responsibility does not come from the transfer of employee responsibility.On the contrary,employee responsibility is only the judgment data of unit organizational responsibility;At the same time,employees who commit crimes as information do not need to have the identity of employers,nor do they need to be sure of their criminal responsibility.The core of the integration of the two theories lies in the judgment of unit causality.The distinction between unit crime and natural person crime is actually the difference of causality.There is no obvious conflict between the mode of organizational responsibility and the provisions of our criminal law,and the definition of unit behavior as organizational defect can also be confirmed in the specific provisions.The judgment of unit causality cannot stop at the factual level,and it is also necessary to determine whether there is a normative violation correlation between unit behavior and harm result.At the same time,the determination of unit responsibility can not give up moral responsibility and psychological responsibility.On the basis of proving that the unit has the possibility of expectation,the responsibility form of the unit can be determined according to the employee’s behavior.Inherent liability model provides a bridge between criminal compliance and criminal law theory.With the help of imputation elements under organizational liability model,the mechanism of criminal compliance’s influence on conviction and sentencing can clarify its substantive law orientation.