An Interpretation Of Corporate Criminal Compliance With The Unit Negligence As The Core Element

The corporate compliance system,in the field of criminal law,is mainly manifested in three systems: in the aspect of criminalization,the enterprise has established an enterprise internal system that conforms to laws and regulations as a judgment standard for enterprises not to enrich the elements of crime;In terms of prosecution,in exchange for the fact that the enterprise is about to establish an enterprise internal system that complies with laws and regulations,the enterprise that has been identified as participating in the crime will not be prosecuted;In terms of sentencing,the enterprise has established an internal system that conforms to laws and regulations as the influencing factor,and the fine that should be imposed for enterprise crimes should be reduced or exempted as appropriate.However,since the application of the enterprise compliance system in China,there has been a problem of acclimatization in the field of intentional crime.The corporate compliance system is originated in the United States,where the main criminal liability theory is based on alternative liability.Therefore,the risk of joint and several liability for the criminal acts of the lower level employees is extremely high.Since the 20 th century,the capital market has been highly developed,and large enterprises and multinational enterprises have sprung up.The corporate compliance system,which aims to separate the criminal liability of the enterprise itself and its employees,has emerged as the times require.However,in our country,the theory of criminal responsibility does not recognize the system of alternative liability from beginning to end,and even if it is a unit crime,the "criminal intent" of the unit should also be found out;However,the traditional theory of unit crime in China equates the collective will of the direct responsible person or senior leaders of the unit with the criminal intent of the unit,which actually makes the enterprise compliance system lose the soil for application in the field of intentional crime.Because in the country of origin of the enterprise compliance system,the criminal acts committed by the collective will of the senior executives of enterprises cannot be committed or reduced through the enterprise compliance system.The main content of the enterprise’s compliance system is to cut the connection between the enterprise and the vast number of lower level employees’ criminal acts.This means that if we want to introduce the enterprise compliance system in the original way,we can only find a breakthrough in the field of negligent crime.As the preventive measures and governance means of enterprise production safety,the enterprise compliance system is naturally consistent with the theory of negligent crime.As a supervision mechanism for the establishment and operation of enterprise systems,the enterprise compliance system is consistent with the practical requirements of enterprise safety production.His idea of establishing objective standards in the objective aspect of negligent acts coincides with the development trend of the doctrinal interpretation of negligent crimes.The enterprise compliance system separates people from enterprises and attaches importance to the enterprise’s own responsibility.This connotation is in common with the development trend of enterprise criminal responsibility theory.Therefore,the theory of unit negligence should be taken as the core,and within the current legal framework,the enterprise compliance system should be taken as the key element affecting the identification and sentencing of corporate negligence crimes through the interpretation of the doctrine.A perfect criminal compliance system has been established and observed before the occurrence of the harm,which can be used as a proof of crime to prevent the enterprise and its responsible person from being held liable for negligence;The remedial measures taken in accordance with the perfect criminal compliance system can also be used as the sentencing circumstances for the reduction or exemption of punishment after the harmful consequences occur.However,the deduction of criminal liability and the assumption of social responsibility of enterprises and their responsible persons through the establishment of a compliance system are the theoretical basis for the procedural choice of compliance inspection and non prosecution.