Principio de Culpabilidad y Compliance Empresarial
Published date | 25 January 2021 |
Law Firm | Rubio Leguía Normand |
Author | Sheyla Llacza |
El Principio de Culpabilidad ha sido reconocido de manera expresa en la legislación peruana[2]; no obstante, pese a que tiene un poco más de cuatro años, aún resulta difícil su entendimiento por parte de las entidades públicas y los administrados, sobre todo si son personas jurídicas. Por ello, el objetivo del presente artículo es explicar algunas ideas respecto a la relación entre el Principio de Culpabilidad y el Compliance empresarial.
Sobre el particular, el Principio de Culpabilidad, previsto en el numeral 10 del artículo 248 del Texto Único Ordenado de la Ley Nº 27444, Ley del Procedimiento Administrativo General, aprobado por Decreto Supremo Nº 004-2019-JUS (en adelante, “TUO de la LPAG”)[3], presenta una regla y una excepción para determinar el tipo de responsabilidad administrativa de un administrado en un procedimiento administrativo sancionador. Así, establece como regla que la responsabilidad administrativa es subjetiva; no obstante, en caso una ley o decreto legislativo lo disponga, se aplicará la responsabilidad objetiva.
Para poder entender la importancia del reconocimiento del Principio de Culpabilidad en la legislación peruana, es necesario tener en consideración que, antes de la modificación normativa, la mayoría de los reglamentos de procedimientos administrativos sancionadores de las entidades públicas disponían expresamente la responsabilidad objetiva del administrado. Consideramos que era una manera facilista de demostrar que, en un determinado caso concreto, correspondía sancionar al administrado; de este modo, bastaba la realización de la conducta para que el administrado sea sancionado, pese a que pudieran existir razones que justifiquen su inculpabilidad. A su vez, las entidades públicas continuaban con ese análisis pese a que, en reiterada jurisprudencia, el Tribunal Constitucional ya había afirmado que el Principio de Culpabilidad es de obligatoria aplicación en todos los procedimientos administrativos sancionadores[4].
Ante esta acomodada situación para las entidades públicas, el Principio de Culpabilidad presenta un reto para ellas, toda vez que, aunque sea en principio, se encuentran en la obligación legal de analizar y determinar la culpabilidad del administrado a efectos de imponer una sanción.
Este reto se evidencia, sobre todo, en aquellos administrados que son personas jurídicas. En efecto, las entidades públicas que se encontraron acostumbradas a emplear la responsabilidad objetiva, tienen que comprobar la responsabilidad subjetiva de un ente que no representa su voluntad y conocimiento como una persona natural, sino a través de sus representantes. Al respecto, consideramos que sí es posible determinar la responsabilidad subjetiva de una persona jurídica, debido a que...
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