Marián Lora Márquez. Consultora Compliance.
Si bien es con la ley 5/2010, de 22 de junio, de reforma del Código Penal, cuando se reconoce por primera vez de forma expresa la responsabilidad penal de las personas jurídicas, es con la reforma de la ley Orgánica 1/2015 cuando se regula de manera detallada dicha responsabilidad penal.
En la última reforma, se configura el ya denominado de manera general como “compliance penal” como un instrumento eximente o atenuante de la responsabilidad penal de la persona jurídica, surgiendo una nueva polémica respecto de a quien corresponde probar su eficacia e idoneidad en un procedimiento penal.
La redacción del artículo 31 bis del Código Penal nos hacía pensar que, en principio, el legislador seguía el criterio probatorio general, es decir, la carga de la prueba con respecto a la eficacia del manual de prevención de riesgos penales correspondía a la defensa y por lo tanto a la propia persona jurídica; esta línea fue la seguida en un primer momento por la Fiscalía General del Estado, que entendía que debía ser la persona jurídica la que debía acreditar la efectividad e idoneidad de su programa de cumplimiento para prevenir los delitos que se le estuvieran imputando, ya que la comisión de un delito suponía por sí mismo un indicio de la ineficacia del modelo.
Considera que debe ser la acusación la que acredite que el programa de cumplimiento del que dispone la persona jurídica no es eficaz para la prevención de delitos ya que, de lo contrario, se atentaría contra los derechos y garantías constitucionales.
Así, el Alto Tribunal en su sentencia de 16 de marzo de 2016 determina que la persona jurídica es, sin lugar a dudas, titular del derecho a la presunción de inocencia, constitucionalmente protegido. Por ello, debe ser la acusación o el Ministerio Fiscal, en su caso, los que prueben tanto la comisión del hecho delictivo, como que el mismo se ha cometido por un defecto en la estructura de los mecanismos de prevención o incumplimiento de los deberes de supervisión. Esto es, por una deficiencia en el programa de cumplimiento o “compliance penal”.
Recientemente, sin embargo, este mismo Tribunal en la Sentencia de 25 de octubre de 2018 ha puesto de manifiesto que la responsabilidad penal de la persona jurídica es “vicarial”, es decir, la persona jurídica responde de forma automática de los delitoscometidos por sus dirigentes, respondiendo de los cometidos por sus subordinados cuando el delito hubiere tenido lugar por no haber ejercido el debido control sobre ellos.
En principio, esto supone un giro de ciento ochenta grados a la postura mantenida hasta el momento, y decimos en principio porque esta Sentencia fue rectificada por un Auto posterior en el que se aclaraba que es indiscutible que la responsabilidad penal de la persona física es autónoma e independiente de la responsabilidad penal de la persona jurídica, por lo que se puede afirmar que estamos ante un modelo de autorresponsabilidad, y será, como ya se ha indicado, la acusación y el Ministerio Fiscal los que deban probar los defectos organizativos y estructurales del manual de prevención de riesgos penales de la persona jurídica.
Por todo ello, podemos concluir señalando que actualmente siguen existiendo algunas discrepancias sobre a quién corresponde la carga probatoria, por lo que habrá que esperar a que los Tribunales se pronuncien claramente sobre esta cuestión; no obstante, entendemos que acreditada la existencia de un ilícito penal cometido por la persona física en el seno de una organización empresarial, no puede tener cabida la presunción iuris tantum de que ha existido un defecto organizativo, ya que ello atentaría contra el derecho fundamental a la presunción de inocencia, del que, sin ningún género de dudas, es titular la persona jurídica.
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