Sergio Díaz López. Abogado Asociado.
Como consecuencia de la reforma operada en nuestro Código Penal, y ya analizada en otros artículos anteriores, es conocido que las personas jurídicas pueden cometer delitos. Sin embargo, en este artículo nos centraremos en una cuestión que merece especial atención, y es el régimen de responsabilidad penal de los administradores y representantes legales de las personas jurídicas derivado de la reforma citada.
Es evidente que si el representante o administrador de una entidad jurídica (fuera de hecho o de derecho) comete un delito, éste se convierte en autor inmediato y material del citado delito; ahora bien, en los casos en que no es el administrador o representante quien realiza de forma personal y directa el hecho delictivo, sino que el mismo lo protagoniza un empleado u otra persona que tiene bajo su autoridad, es necesario analizar el concepto por el que responden en su caso el administrador o representante de la empresa.
Si bien habrá que analizar caso por caso esta cuestión, actualmente la mayoría de la doctrina entiende que el administrador o representante de la entidad jurídica se convierte en estos casos en coautor, al considerar que el representante o administrador es garante de la causa del resultado por el dominio de la vigilancia ejercido con los medios de poder de la persona jurídica (dirección e información) sobre los miembros subordinados o en virtud de la custodia sobre los objetos peligrosos del patrimonio empresarial que son propiedad de la persona jurídica.
Sentado lo anterior, es necesario delimitar los supuestos en los que a va a resultar de aplicación lo dispuesto en el apartado b) del primer número del artículo 31 bis, que señala:
1. En los supuestos previstos en este Código, las personas jurídicas serán penalmente responsables:
b) De los delitos cometidos, en el ejercicio de actividades sociales y por cuenta y en beneficio directo o indirecto de las mismas, por quienes, estando sometidos a la autoridad de las personas físicas mencionadas en el párrafo anterior, han podido realizar los hechos por haberse incumplido gravemente por aquéllos los deberes de supervisión, vigilancia y control de su actividad atendidas las concretas circunstancias del caso.
Del tenor del artículo señalado debemos deducir inicialmente que su aplicación está limitada a aquellos casos en los que el incumplimiento grave de los deberes de supervisión, vigilancia y control que competen al administrador o al representante legal, no les convierte en autores del delito por su posición de garantes; o dicho de otro modo, cuando no constituye delito la ausencia del debido control por parte del administrador (de hecho o de derecho) o del representante legal, quedando como autor sólo el empleado sometido a su autoridad.
El único modo de delimitar esta cuestión, si bien deberá ser objeto de desarrollo jurisprudencial y doctrinal, es mediante la aplicación de un criterio meramente formal, que entiende que se vulnera el deber de control por parte del administrador (de hecho, o de derecho) o del representante legal cuando:
– éste hubiera conocido los hechos (riesgo o certeza de la comisión de un delito por parte de una persona subordinada a su autoridad)
– y los hubiera podido remediar. Se distinguen aquí dos clases de medidas correctoras, las de propia competencia del administrador o del representante legal, y aquellas otras que no son de su competencia, de tal modo que:
• Si el administrador (de hecho, o derecho) o el representante legal hubiesen podido evitar el delito del subordinado utilizando las medidas que sí son de su competencia, habría delito por parte de éste y resultaría de aplicación lo dispuesto en el artículo 31 bis.1 a) del Código Penal.
• Si las medidas correctoras que se necesitaban aplicar no eran propias de su competencia, entonces no habría comisión del delito por parte del administrador (de hecho, o derecho) o del representante legal resultando de aplicación el artículo 31 bis b) del Código Penal.
Como conclusión a lo expuesto, debemos señalar que la implantación y seguimiento de un programa de cumplimiento normativo o compliance resultaría una herramienta de gran utilidad para salvaguardar la responsabilidad penal de los administradores y representantes legales en los casos que hemos analizado.
Fotografía unsplash.com
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