準確認定以集體研究為名濫用職權行為
【內容提要】
實踐中,存在國有(you)公(gong)司人(ren)員違反國家法律法規(gui)(gui)、公(gong)司規(gui)(gui)章制度(du)等(deng)進行違規(gui)(gui)決(jue)(jue)策(ce),造(zao)成(cheng)(cheng)(cheng)國有(you)公(gong)司利益(yi)遭(zao)受重大(da)損失,卻(que)以決(jue)(jue)策(ce)經過集(ji)體研(yan)究為(wei)由,認為(wei)自身行為(wei)不屬(shu)于濫用(yong)職權行為(wei)的(de)現(xian)象。應當注意的(de)是,國有(you)公(gong)司負責人(ren)基(ji)于公(gong)司所賦予的(de)職權,以召(zhao)開會議(yi)“集(ji)體研(yan)究”形(xing)式形(xing)成(cheng)(cheng)(cheng)決(jue)(jue)議(yi),借“集(ji)體研(yan)究”違規(gui)(gui)作(zuo)出決(jue)(jue)定,造(zao)成(cheng)(cheng)(cheng)財產損失的(de),個人(ren)應對造(zao)成(cheng)(cheng)(cheng)國家利益(yi)遭(zao)受重大(da)損失的(de)后果承擔刑事責任。
【基本案情】
張某(mou),經(jing)國(guo)有甲(jia)集(ji)團(tuan)公(gong)(gong)(gong)(gong)司(si)(si)批準擔任乙公(gong)(gong)(gong)(gong)司(si)(si)總經(jing)理(乙公(gong)(gong)(gong)(gong)司(si)(si)系國(guo)有甲(jia)集(ji)團(tuan)公(gong)(gong)(gong)(gong)司(si)(si)的(de)控(kong)股公(gong)(gong)(gong)(gong)司(si)(si),經(jing)營(ying)范圍(wei)包括稀(xi)有金(jin)屬(shu)材料、化工(gong)制品購銷,國(guo)有甲(jia)集(ji)團(tuan)公(gong)(gong)(gong)(gong)司(si)(si)章程禁止旗下公(gong)(gong)(gong)(gong)司(si)(si)為私(si)人公(gong)(gong)(gong)(gong)司(si)(si)提(ti)供擔保(bao),報上級集(ji)團(tuan)公(gong)(gong)(gong)(gong)司(si)(si)批準的(de)除外(wai)),在(zai)乙公(gong)(gong)(gong)(gong)司(si)(si)工(gong)作多年(nian)。陳(chen)某(mou),丙(bing)公(gong)(gong)(gong)(gong)司(si)(si)(私(si)人公(gong)(gong)(gong)(gong)司(si)(si),從事稀(xi)有金(jin)屬(shu)材料、化工(gong)制品購銷中介業(ye)務)實際控(kong)制人。張某(mou)與陳(chen)某(mou)相識多年(nian),陳(chen)某(mou)多次在(zai)年(nian)節期(qi)間送給張某(mou)貴(gui)重禮品。
2021年(nian)1月(yue)(yue),應陳某所(suo)托,在(zai)(zai)張(zhang)某的(de)安排(pai)下,乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)與(yu)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)約(yue)定,雙方(fang)(fang)(fang)共(gong)同向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)采購化工制(zhi)(zhi)(zhi)品,再(zai)進行(xing)(xing)(xing)合作銷(xiao)(xiao)售,并(bing)(bing)約(yue)定乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)、丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)按(an)各50%的(de)付款(kuan)(kuan)比例購買(mai)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)化工制(zhi)(zhi)(zhi)品,再(zai)按(an)搭售策(ce)略進行(xing)(xing)(xing)銷(xiao)(xiao)售。由(you)于(yu)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)資金(jin)緊(jin)張(zhang),陳某請求張(zhang)某安排(pai)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)墊付貨(huo)(huo)(huo)款(kuan)(kuan)或(huo)為(wei)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付貨(huo)(huo)(huo)款(kuan)(kuan)提(ti)供信用(yong)(yong)證(zheng)(zheng)擔保(bao)(bao)。張(zhang)某明知甲集團(tuan)(tuan)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)不允(yun)許旗(qi)下公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)私人公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)提(ti)供擔保(bao)(bao),仍違反乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)規章(zhang)制(zhi)(zhi)(zhi)度和工作程(cheng)序,在(zai)(zai)未報(bao)上(shang)級(ji)(ji)集團(tuan)(tuan)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)審(shen)批的(de)情況(kuang)下,召開乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)班子(zi)成員(yuan)(yuan)會(hui)議(yi)(yi),商(shang)議(yi)(yi)由(you)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)為(wei)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)應當向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付的(de)貨(huo)(huo)(huo)款(kuan)(kuan)開具信用(yong)(yong)證(zheng)(zheng)進行(xing)(xing)(xing)擔保(bao)(bao),張(zhang)某向(xiang)(xiang)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)班子(zi)成員(yuan)(yuan)表(biao)示(shi),丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)資金(jin)到(dao)位并(bing)(bing)向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付貨(huo)(huo)(huo)款(kuan)(kuan)后,會(hui)支(zhi)付乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)高(gao)于(yu)市場(chang)利(li)(li)息(xi)的(de)錢款(kuan)(kuan)。會(hui)議(yi)(yi)期(qi)間,乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)班子(zi)成員(yuan)(yuan)提(ti)出反對意見(jian),表(biao)示(shi)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)開具信用(yong)(yong)證(zheng)(zheng)存在(zai)(zai)風險(xian)且沒(mei)有(you)向(xiang)(xiang)上(shang)級(ji)(ji)集團(tuan)(tuan)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)匯報(bao)。張(zhang)某以低風險(xian)、高(gao)回報(bao)、會(hui)單獨向(xiang)(xiang)上(shang)級(ji)(ji)集團(tuan)(tuan)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)管理層匯報(bao)為(wei)由(you),決定為(wei)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付貨(huo)(huo)(huo)款(kuan)(kuan)提(ti)供信用(yong)(yong)證(zheng)(zheng)擔保(bao)(bao),并(bing)(bing)形成了會(hui)議(yi)(yi)紀要(yao)予以執行(xing)(xing)(xing)。2021年(nian)7月(yue)(yue),丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)在(zai)(zai)未向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付貨(huo)(huo)(huo)款(kuan)(kuan)的(de)情況(kuang)下拿(na)到(dao)貨(huo)(huo)(huo)物并(bing)(bing)低價出售,未與(yu)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)按(an)搭售策(ce)略銷(xiao)(xiao)售盈(ying)利(li)(li),銷(xiao)(xiao)售貨(huo)(huo)(huo)物所(suo)得資金(jin)被陳某用(yong)(yong)于(yu)日常(chang)經營、期(qi)貨(huo)(huo)(huo)市場(chang)投資等,并(bing)(bing)未用(yong)(yong)于(yu)償(chang)還第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)貨(huo)(huo)(huo)款(kuan)(kuan)或(huo)支(zhi)付乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)高(gao)于(yu)市場(chang)利(li)(li)率的(de)利(li)(li)息(xi)。2022年(nian)2月(yue)(yue),乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)開具的(de)信用(yong)(yong)證(zheng)(zheng)到(dao)期(qi),第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)催收錢款(kuan)(kuan),乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)催收。由(you)于(yu)陳某已經將銷(xiao)(xiao)售所(suo)得揮霍,喪失資金(jin)償(chang)還能力(li),無法向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付貨(huo)(huo)(huo)款(kuan)(kuan)。最(zui)終,第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)向(xiang)(xiang)乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)追(zhui)討(tao),乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)只得向(xiang)(xiang)第(di)(di)三(san)(san)(san)方(fang)(fang)(fang)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)支(zhi)付錢款(kuan)(kuan)5000萬元。由(you)于(yu)丙(bing)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)破產,無力(li)償(chang)還乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)錢款(kuan)(kuan),造成乙(yi)(yi)(yi)(yi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)(si)經濟損失5000萬元。
【分歧意見】
本案中(zhong),對(dui)張某的行為應(ying)如何定性(xing),存在兩種意見:
第一種(zhong)意見認(ren)(ren)為:張(zhang)(zhang)某(mou)按照乙公(gong)(gong)(gong)司(si)(si)(si)制度召開(kai)班子(zi)(zi)成員(yuan)會議(yi),相關決議(yi)事項由(you)乙公(gong)(gong)(gong)司(si)(si)(si)班子(zi)(zi)成員(yuan)共同決定,并形成了會議(yi)紀要,可以(yi)證明乙公(gong)(gong)(gong)司(si)(si)(si)出(chu)具(ju)信用證為丙公(gong)(gong)(gong)司(si)(si)(si)進行(xing)擔保的行(xing)為并非張(zhang)(zhang)某(mou)個人(ren)行(xing)為。且張(zhang)(zhang)某(mou)本人(ren)沒(mei)有(you)占有(you)使(shi)用相關錢款,雖然(ran)最后陳某(mou)及(ji)丙公(gong)(gong)(gong)司(si)(si)(si)未能(neng)償還乙公(gong)(gong)(gong)司(si)(si)(si)錢款,由(you)于存在(zai)市場經(jing)營風險,張(zhang)(zhang)某(mou)行(xing)為不構成刑事犯罪。但張(zhang)(zhang)某(mou)行(xing)為違反(fan)了上級(ji)集團公(gong)(gong)(gong)司(si)(si)(si)規定,應(ying)當按照違反(fan)工作紀律行(xing)為予以(yi)認(ren)(ren)定。
第二種意(yi)(yi)見認為(wei)(wei)(wei):張某(mou)作(zuo)為(wei)(wei)(wei)國(guo)(guo)有公(gong)司(si)(si)總經理,全面負責公(gong)司(si)(si)經營,熟知(zhi)公(gong)司(si)(si)規章制度,明知(zhi)上(shang)級集團公(gong)司(si)(si)原則上(shang)不(bu)允許旗下公(gong)司(si)(si)為(wei)(wei)(wei)私(si)人(ren)公(gong)司(si)(si)提(ti)供擔(dan)保(bao),仍(reng)召(zhao)開乙公(gong)司(si)(si)班子成(cheng)員會議(yi)并在班子成(cheng)員提(ti)出(chu)不(bu)同意(yi)(yi)見的情況下,違規主導并以(yi)“集體研(yan)究”為(wei)(wei)(wei)名(ming)作(zuo)出(chu)決定(ding),最(zui)終(zhong)導致國(guo)(guo)家(jia)利益遭受重大損失,應認定(ding)張某(mou)具有濫用(yong)(yong)職(zhi)權(quan)的故意(yi)(yi),國(guo)(guo)家(jia)利益遭受重大損失與其(qi)濫用(yong)(yong)職(zhi)權(quan)行為(wei)(wei)(wei)存在因果關系,構成(cheng)國(guo)(guo)有公(gong)司(si)(si)人(ren)員濫用(yong)(yong)職(zhi)權(quan)罪(zui),犯罪(zui)數額為(wei)(wei)(wei)5000萬元。
【意見分析】
本案中,筆者同意第二(er)種意見,具體分析(xi)如下:
我國(guo)刑法(fa)第一百六十八條規(gui)(gui)(gui)定了國(guo)有(you)公(gong)司(si)(si)(si)人員(yuan)濫用職(zhi)(zhi)權罪,是(shi)(shi)指(zhi)國(guo)有(you)公(gong)司(si)(si)(si)的(de)(de)(de)(de)工作人員(yuan)濫用職(zhi)(zhi)權,造(zao)成(cheng)國(guo)有(you)公(gong)司(si)(si)(si)破(po)產或者嚴重(zhong)(zhong)損(sun)(sun)失(shi),致使(shi)國(guo)家利益(yi)(yi)遭(zao)受重(zhong)(zhong)大損(sun)(sun)失(shi)的(de)(de)(de)(de)行為(wei)。國(guo)有(you)公(gong)司(si)(si)(si)人員(yuan)的(de)(de)(de)(de)職(zhi)(zhi)責(ze)(ze)(ze)為(wei)對(dui)國(guo)有(you)資產進行有(you)效管(guan)理和保(bao)(bao)護,確(que)保(bao)(bao)國(guo)有(you)資產保(bao)(bao)值(zhi)增值(zhi)。實踐中,有(you)的(de)(de)(de)(de)國(guo)有(you)公(gong)司(si)(si)(si)人員(yuan)違(wei)反國(guo)家法(fa)律法(fa)規(gui)(gui)(gui)、公(gong)司(si)(si)(si)規(gui)(gui)(gui)章(zhang)制度等進行違(wei)規(gui)(gui)(gui)決策(ce),造(zao)成(cheng)國(guo)有(you)公(gong)司(si)(si)(si)利益(yi)(yi)遭(zao)受重(zhong)(zhong)大損(sun)(sun)失(shi),但卻以決策(ce)經過集(ji)體研(yan)究為(wei)由,企圖規(gui)(gui)(gui)避其行為(wei)的(de)(de)(de)(de)違(wei)規(gui)(gui)(gui)性。應當注意(yi)的(de)(de)(de)(de)是(shi)(shi),國(guo)有(you)公(gong)司(si)(si)(si)負責(ze)(ze)(ze)人違(wei)規(gui)(gui)(gui)作出決定,造(zao)成(cheng)財產損(sun)(sun)失(shi)的(de)(de)(de)(de),盡(jin)管(guan)以召開會議“集(ji)體研(yan)究”為(wei)幌子(zi)形成(cheng)多數或“一致”意(yi)見并最(zui)終形成(cheng)決議,但其形式合(he)法(fa)性不能掩蓋(gai)實質違(wei)法(fa)性,應從行為(wei)本(ben)質認定,個人對(dui)致使(shi)國(guo)家利益(yi)(yi)遭(zao)受重(zhong)(zhong)大損(sun)(sun)失(shi)的(de)(de)(de)(de)后果應當承擔刑事責(ze)(ze)(ze)任。
一、從(cong)客觀方面看,張某(mou)存在濫用職(zhi)權行為,“集體研究(jiu)”形(xing)式不(bu)是(shi)免(mian)除刑事責任事由
一(yi)是關于(yu)職(zhi)(zhi)權行(xing)為的(de)認定(ding)。職(zhi)(zhi)權是指行(xing)為人(ren)(ren)基于(yu)公(gong)職(zhi)(zhi)身份,在國(guo)家機關、國(guo)有(you)(you)(you)(you)公(gong)司(si)、企業、事(shi)業單位等擔任(ren)一(yi)定(ding)的(de)職(zhi)(zhi)務、具有(you)(you)(you)(you)一(yi)定(ding)的(de)職(zhi)(zhi)責(ze),以及由此產生的(de)相應權力。就國(guo)有(you)(you)(you)(you)公(gong)司(si)人(ren)(ren)員(yuan)而言,這種(zhong)職(zhi)(zhi)權意味著行(xing)為人(ren)(ren)在其職(zhi)(zhi)務范圍內(nei)開展(zhan)公(gong)司(si)經營(ying)(ying)活動的(de)職(zhi)(zhi)責(ze)和(he)權力,并可以對(dui)公(gong)司(si)資產施加實質影(ying)響。國(guo)有(you)(you)(you)(you)公(gong)司(si)人(ren)(ren)員(yuan)的(de)經營(ying)(ying)管理行(xing)為應符合(he)國(guo)家法(fa)律(lv)法(fa)規(gui)、監管規(gui)定(ding)、行(xing)業準(zhun)則、公(gong)司(si)章程、規(gui)章制(zhi)度等要求。公(gong)司(si)規(gui)章制(zhi)度是公(gong)司(si)根據自身經營(ying)(ying)狀況所制(zhi)定(ding)的(de)符合(he)公(gong)司(si)發展(zhan)的(de)規(gui)范,是公(gong)司(si)應對(dui)市場(chang)風(feng)(feng)險、保(bao)持健康發展(zhan)的(de)基礎。國(guo)有(you)(you)(you)(you)公(gong)司(si)的(de)規(gui)章制(zhi)度背后(hou)融(rong)合(he)了國(guo)家產業政策以及公(gong)司(si)所在的(de)行(xing)業發展(zhan)趨勢和(he)風(feng)(feng)險判斷,最(zui)終目的(de)是降低企業風(feng)(feng)險,國(guo)有(you)(you)(you)(you)公(gong)司(si)人(ren)(ren)員(yuan)應當在上述制(zhi)度框架內(nei)行(xing)使職(zhi)(zhi)權。
本(ben)案中,張某經國(guo)有甲集團公(gong)(gong)(gong)司批準擔任乙(yi)公(gong)(gong)(gong)司總(zong)經理,在乙(yi)公(gong)(gong)(gong)司從事組織、領導、監(jian)督、管(guan)理工作(zuo),全面負責乙(yi)公(gong)(gong)(gong)司經營,具有落實國(guo)有資產保值增(zeng)值的義務。張某作(zuo)為(wei)乙(yi)公(gong)(gong)(gong)司高級(ji)管(guan)理人員,其(qi)具有遵(zun)守(shou)法律、行政(zheng)法規以及(ji)企(qi)業(ye)章(zhang)程,對企(qi)業(ye)忠實和(he)勤勉(mian);履職(zhi)盡責,防范和(he)規避風險,不得超越職(zhi)權(quan)或者違反程序決(jue)定企(qi)業(ye)重(zhong)大事項(xiang)的職(zhi)權(quan)職(zhi)責要求。
二是(shi)張某“集(ji)(ji)體(ti)研究(jiu)(jiu)”行(xing)為的(de)(de)(de)實(shi)質(zhi)。參照“兩(liang)高(gao)”《關于(yu)辦理瀆(du)(du)職(zhi)(zhi)(zhi)刑(xing)事案件(jian)適用法(fa)律若干問題的(de)(de)(de)解釋(一(yi))》第五條(tiao)規定(ding)(ding),“以‘集(ji)(ji)體(ti)研究(jiu)(jiu)’形式實(shi)施(shi)的(de)(de)(de)瀆(du)(du)職(zhi)(zhi)(zhi)犯罪,應(ying)(ying)當(dang)(dang)依(yi)照刑(xing)法(fa)分(fen)則第九章的(de)(de)(de)規定(ding)(ding)追究(jiu)(jiu)國家機關負(fu)有(you)(you)(you)責(ze)(ze)(ze)(ze)任的(de)(de)(de)人(ren)(ren)員的(de)(de)(de)刑(xing)事責(ze)(ze)(ze)(ze)任。對(dui)(dui)于(yu)具體(ti)執行(xing)人(ren)(ren)員,應(ying)(ying)當(dang)(dang)在(zai)綜(zong)合認定(ding)(ding)其(qi)(qi)行(xing)為性(xing)(xing)質(zhi)、是(shi)否提出反對(dui)(dui)意(yi)見、危害結果(guo)大(da)小等情節的(de)(de)(de)基礎上決定(ding)(ding)是(shi)否追究(jiu)(jiu)刑(xing)事責(ze)(ze)(ze)(ze)任和應(ying)(ying)當(dang)(dang)判(pan)處的(de)(de)(de)刑(xing)罰”。可見,對(dui)(dui)于(yu)以“集(ji)(ji)體(ti)研究(jiu)(jiu)”為幌子實(shi)施(shi)的(de)(de)(de)相關行(xing)為,其(qi)(qi)形式合法(fa)性(xing)(xing)不能掩(yan)蓋實(shi)質(zhi)違法(fa)性(xing)(xing),應(ying)(ying)從行(xing)為本(ben)質(zhi)認定(ding)(ding)違規性(xing)(xing)。在(zai)國有(you)(you)(you)公司(si)(si)(si)人(ren)(ren)員濫用職(zhi)(zhi)(zhi)權(quan)(quan)案件(jian)中,多數經(jing)營決策通(tong)常(chang)是(shi)集(ji)(ji)體(ti)討論的(de)(de)(de)結果(guo),部分(fen)國有(you)(you)(you)公司(si)(si)(si)領(ling)導干部正是(shi)以集(ji)(ji)體(ti)開(kai)會研究(jiu)(jiu)為幌子,以集(ji)(ji)體(ti)決策、層層審批(pi)作(zuo)(zuo)掩(yan)護,把個人(ren)(ren)意(yi)志變為公司(si)(si)(si)領(ling)導班(ban)子意(yi)見。作(zuo)(zuo)為國有(you)(you)(you)公司(si)(si)(si)的(de)(de)(de)負(fu)責(ze)(ze)(ze)(ze)人(ren)(ren),國有(you)(you)(you)公司(si)(si)(si)賦予(yu)負(fu)責(ze)(ze)(ze)(ze)人(ren)(ren)的(de)(de)(de)職(zhi)(zhi)(zhi)權(quan)(quan)遠遠大(da)于(yu)其(qi)(qi)他管理人(ren)(ren)員,應(ying)(ying)承擔更大(da)的(de)(de)(de)責(ze)(ze)(ze)(ze)任和義務,要結合其(qi)(qi)在(zai)公司(si)(si)(si)的(de)(de)(de)權(quan)(quan)力地位(wei)、崗(gang)位(wei)職(zhi)(zhi)(zhi)責(ze)(ze)(ze)(ze),綜(zong)合考量其(qi)(qi)在(zai)決策時所起的(de)(de)(de)作(zuo)(zuo)用來評判(pan)責(ze)(ze)(ze)(ze)任大(da)小,以“集(ji)(ji)體(ti)研究(jiu)(jiu)”為名,實(shi)際為個人(ren)(ren)行(xing)為的(de)(de)(de),應(ying)(ying)當(dang)(dang)承擔相應(ying)(ying)責(ze)(ze)(ze)(ze)任。
本(ben)案中,張某違反(fan)乙公(gong)司(si)(si)規章制度和工作程序(xu),在(zai)未報(bao)上(shang)級集(ji)團公(gong)司(si)(si)審批的情況(kuang)下,召(zhao)開乙公(gong)司(si)(si)班子成(cheng)(cheng)員會(hui)議,并(bing)在(zai)乙公(gong)司(si)(si)班子成(cheng)(cheng)員提出(chu)不同意見時,以(yi)低風(feng)險、高回報(bao)、會(hui)單獨向上(shang)級集(ji)團公(gong)司(si)(si)管理層匯報(bao)為(wei)由(you),取得“一致”意見并(bing)形成(cheng)(cheng)了會(hui)議紀要(yao),但實質上(shang)是(shi)以(yi)“集(ji)體研究(jiu)”為(wei)幌子的行為(wei)。
三是因(yin)(yin)果關系的(de)(de)(de)認定。國有公司人(ren)(ren)員(yuan)濫(lan)用(yong)職權罪要(yao)求(qiu)濫(lan)用(yong)職權的(de)(de)(de)行(xing)(xing)(xing)為與危害結(jie)(jie)果之間(jian)具(ju)備刑法上的(de)(de)(de)因(yin)(yin)果關系。對于因(yin)(yin)果關系的(de)(de)(de)認定,司法實踐中(zhong)通(tong)常以行(xing)(xing)(xing)為時客觀存在的(de)(de)(de)事實為基(ji)礎,依據社會(hui)一(yi)(yi)般公眾的(de)(de)(de)經驗進行(xing)(xing)(xing)判斷(duan)。在“多因(yin)(yin)一(yi)(yi)果”的(de)(de)(de)情形下,要(yao)考察行(xing)(xing)(xing)為人(ren)(ren)的(de)(de)(de)行(xing)(xing)(xing)為導致(zhi)(zhi)結(jie)(jie)果發生的(de)(de)(de)可(ke)能(neng)性(xing)大小、介入(ru)因(yin)(yin)素對結(jie)(jie)果發生的(de)(de)(de)作(zuo)用(yong)大小等。若行(xing)(xing)(xing)為人(ren)(ren)的(de)(de)(de)行(xing)(xing)(xing)為具(ju)有導致(zhi)(zhi)結(jie)(jie)果發生的(de)(de)(de)高(gao)度可(ke)能(neng)性(xing),則可(ke)認定因(yin)(yin)果關系存在。
本案中,張(zhang)(zhang)某(mou)在乙公(gong)司(si)(si)(si)重大投資決(jue)策中,不遵循公(gong)司(si)(si)(si)的(de)決(jue)策程序和相(xiang)(xiang)關(guan)規定(ding),擅自決(jue)定(ding)為(wei)丙公(gong)司(si)(si)(si)提(ti)供擔(dan)保(bao),最終造成(cheng)國家利益(yi)(yi)遭(zao)受重大損失(shi)。張(zhang)(zhang)某(mou)濫用職權(quan)的(de)行(xing)為(wei)是導致公(gong)司(si)(si)(si)出現嚴重虧損、國家利益(yi)(yi)受損的(de)直接原因(yin),二者之間存(cun)(cun)在明確的(de)因(yin)果(guo)關(guan)系。即使在過程中可(ke)能存(cun)(cun)在一些(xie)市場環境變化等因(yin)素,但張(zhang)(zhang)某(mou)的(de)違規決(jue)策行(xing)為(wei)對結果(guo)起到了決(jue)定(ding)性作用,其(qi)濫用職權(quan)行(xing)為(wei)與公(gong)司(si)(si)(si)的(de)損失(shi)之間存(cun)(cun)在直接因(yin)果(guo)關(guan)系,因(yin)此應(ying)認定(ding)其(qi)應(ying)依(yi)法承擔(dan)相(xiang)(xiang)應(ying)的(de)刑事責任。
二(er)、從主觀(guan)方(fang)面看,張某具有(you)濫用(yong)職權的故意
濫(lan)(lan)用職(zhi)(zhi)權(quan)(quan)的(de)故意(yi),系(xi)行(xing)為(wei)(wei)(wei)(wei)人(ren)(ren)(ren)明(ming)知或(huo)應當明(ming)知其行(xing)為(wei)(wei)(wei)(wei)違反相關規(gui)(gui)定,仍(reng)然實施違規(gui)(gui)行(xing)為(wei)(wei)(wei)(wei),并且對可能造成的(de)嚴重后果持希(xi)望或(huo)放任態(tai)度。實踐中(zhong),濫(lan)(lan)用職(zhi)(zhi)權(quan)(quan)行(xing)為(wei)(wei)(wei)(wei)一般表現為(wei)(wei)(wei)(wei)故意(yi)不正(zheng)當行(xing)使(shi)職(zhi)(zhi)權(quan)(quan),對有關事項作出不符合法(fa)(fa)律、行(xing)政法(fa)(fa)規(gui)(gui)、部門規(gui)(gui)章(zhang)、行(xing)業規(gui)(gui)定等的(de)決定或(huo)處理(li),或(huo)是超越行(xing)為(wei)(wei)(wei)(wei)人(ren)(ren)(ren)職(zhi)(zhi)責權(quan)(quan)限處理(li)其無權(quan)(quan)處理(li)的(de)事項,或(huo)背離職(zhi)(zhi)責要求亂(luan)作為(wei)(wei)(wei)(wei)以(yi)及故意(yi)不履職(zhi)(zhi)。對于(yu)國(guo)有公(gong)司人(ren)(ren)(ren)員(yuan)而言,行(xing)為(wei)(wei)(wei)(wei)人(ren)(ren)(ren)無視公(gong)司規(gui)(gui)章(zhang)制度的(de)禁(jin)止(zhi)和限制,明(ming)知違規(gui)(gui)仍(reng)不當行(xing)使(shi)職(zhi)(zhi)權(quan)(quan),違規(gui)(gui)作出決定,從(cong)行(xing)為(wei)(wei)(wei)(wei)人(ren)(ren)(ren)的(de)客觀行(xing)為(wei)(wei)(wei)(wei)可印證行(xing)為(wei)(wei)(wei)(wei)人(ren)(ren)(ren)的(de)主觀方面是持故意(yi)心態(tai),其本質是憑借(jie)公(gong)司賦予的(de)職(zhi)(zhi)權(quan)(quan)任性(xing)作為(wei)(wei)(wei)(wei),這正(zheng)是國(guo)有公(gong)司人(ren)(ren)(ren)員(yuan)因(yin)濫(lan)(lan)用職(zhi)(zhi)權(quan)(quan)而需承(cheng)擔(dan)責任的(de)違規(gui)(gui)性(xing)基礎。
本(ben)案(an)中,張(zhang)某在(zai)乙(yi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)工作(zuo)(zuo)(zuo)多年,長期擔任領導(dao)職務,具有豐富工作(zuo)(zuo)(zuo)經驗(yan),熟悉上(shang)級(ji)集(ji)團(tuan)(tuan)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)及本(ben)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)的(de)(de)管理規定(ding)和業務流(liu)程。明知上(shang)級(ji)集(ji)團(tuan)(tuan)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)不允許旗下(xia)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)為(wei)(wei)私(si)人公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)提供擔保(bao),明知丙(bing)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)私(si)人公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)性質,張(zhang)某卻(que)違反(fan)(fan)甲(jia)集(ji)團(tuan)(tuan)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)和乙(yi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)規章制度和工作(zuo)(zuo)(zuo)程序(xu),在(zai)未報上(shang)級(ji)集(ji)團(tuan)(tuan)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)審(shen)批的(de)(de)情(qing)(qing)況下(xia),通過“集(ji)體研究”的(de)(de)形(xing)式,擅自為(wei)(wei)丙(bing)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)提供擔保(bao),其客觀(guan)行(xing)為(wei)(wei)可(ke)以(yi)(yi)印證其主觀(guan)上(shang)具有濫(lan)用職權故(gu)(gu)意。同時(shi),張(zhang)某在(zai)召集(ji)會議(yi)商議(yi)由乙(yi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)為(wei)(wei)丙(bing)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)進行(xing)擔保(bao)時(shi),在(zai)班子(zi)成員提出不同意見(jian)的(de)(de)情(qing)(qing)況下(xia),以(yi)(yi)低風險(xian)、高回報、會單(dan)獨向上(shang)級(ji)集(ji)團(tuan)(tuan)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)管理層匯(hui)(hui)報為(wei)(wei)由,形(xing)成會議(yi)紀(ji)要執意實施,也(ye)可(ke)以(yi)(yi)印證其主觀(guan)上(shang)濫(lan)用職權的(de)(de)故(gu)(gu)意。而對于(yu)其他班子(zi)成員,因提出了反(fan)(fan)對意見(jian),且無從得(de)知張(zhang)某是否(fou)向甲(jia)集(ji)團(tuan)(tuan)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)匯(hui)(hui)報等情(qing)(qing)況,具有免(mian)責事由,不宜追究刑事責任。
三、關(guan)于張某濫(lan)用職權造成重大損失數(shu)額的認定
在國(guo)(guo)有(you)(you)公(gong)(gong)(gong)司(si)(si)人員(yuan)濫用職權(quan)(quan)犯(fan)罪中(zhong),重大損(sun)失(shi)主要表(biao)現(xian)為(wei)國(guo)(guo)有(you)(you)公(gong)(gong)(gong)司(si)(si)財產遭(zao)受(shou)(shou)損(sun)失(shi),其(qi)數(shu)額(e)的(de)認定存在“整體說”“比(bi)例(li)說”等不(bu)同觀點。筆者(zhe)認為(wei),在公(gong)(gong)(gong)司(si)(si)經營過程(cheng)中(zhong),公(gong)(gong)(gong)司(si)(si)的(de)收益(yi)(yi)及債務都是(shi)基于經營整體產生,應整體保護(hu)。根(gen)據相關規(gui)定,因(yin)瀆職犯(fan)罪造(zao)成(cheng)(cheng)(cheng)國(guo)(guo)有(you)(you)控股(gu)、參股(gu)公(gong)(gong)(gong)司(si)(si)的(de)經濟損(sun)失(shi),可全部(bu)認定為(wei)國(guo)(guo)家利益(yi)(yi)遭(zao)受(shou)(shou)損(sun)失(shi)。因(yin)此(ci),國(guo)(guo)有(you)(you)公(gong)(gong)(gong)司(si)(si)人員(yuan)濫用職權(quan)(quan)致使國(guo)(guo)家利益(yi)(yi)遭(zao)受(shou)(shou)重大損(sun)失(shi)的(de)數(shu)額(e)以整體數(shu)額(e)認定,不(bu)按照國(guo)(guo)家出(chu)資(zi)企業中(zhong)的(de)國(guo)(guo)有(you)(you)成(cheng)(cheng)(cheng)分比(bi)例(li)計算。本案中(zhong),張(zhang)某(mou)的(de)濫用職權(quan)(quan)行(xing)為(wei)造(zao)成(cheng)(cheng)(cheng)乙(yi)公(gong)(gong)(gong)司(si)(si)經濟損(sun)失(shi)5000萬元,雖然乙(yi)公(gong)(gong)(gong)司(si)(si)系國(guo)(guo)有(you)(you)甲集團(tuan)公(gong)(gong)(gong)司(si)(si)的(de)控股(gu)公(gong)(gong)(gong)司(si)(si),但對(dui)于張(zhang)某(mou)濫用職權(quan)(quan)造(zao)成(cheng)(cheng)(cheng)國(guo)(guo)家利益(yi)(yi)遭(zao)受(shou)(shou)損(sun)失(shi)數(shu)額(e)的(de)認定,不(bu)必(bi)按照國(guo)(guo)資(zi)占(zhan)股(gu)的(de)比(bi)例(li)計算,因(yin)此(ci),張(zhang)某(mou)濫用職權(quan)(quan)犯(fan)罪數(shu)額(e)為(wei)5000萬元。(白(bai)潔)
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