摘要
我国企业合规不起诉制度具有域外案件带动理念引入、国内需求助推理论研究之特征,刑事合规理念的奠定助推了企业犯罪归责模式由个人责任论向组织责任论的应时转型,并且从法教义学视角完全契合我国刑法关于单位犯罪的规定。在组织责任论的理论逻辑下,检察机关在践行中须首要明确的是企业合规不起诉司法适用的涵摄范围。由于归责原理和责任类型等方面的不同,企业合规不起诉应针对于企业责任而非个体责任。在企业类型上,企业合规不起诉不仅适用于小微企业,还应扩大适用于大中型企业,但在制定、执行企业合规计划时应结合企业规模的特点,各自适用差异化的合规方案和整改措施。针对企业自身组织体犯罪的合规整改,基于功利主义刑法观和社会公共利益考量,不起诉或从宽适用的罪质范围应当包括轻罪和重罪,但在适用重罪案件时不可完全照搬域外经验,而应凸显本土特色、开创特定路径。
The non-prosecution system of corporate compliance in China has the character that the foreign cases lead to the introduction of its concept meanwhile the research of domestic demands drive theoretical research.The establishment of the concept of criminal compliance promotes the timely transformation of corporate crime imputation mode from the theory of individual responsibility to the theory of organizational responsibility,and conforms to our country’s criminal law from the perspective of legal dogmatics.Based on the logic of organizational responsibility theory,the People’s Procuratorate should first clarify the scope of judicial application of non-prosecution for corporate compliance in practice.Due to the differences in imputation principles and types of liability,non-prosecution of corporate compliance should focus on corporate responsibility rather than individual responsibility.When considering the types of enterprise,the principle is not only applicable to small and micro enterprises,but also to large and medium-sized enterprises.However,when formulating and implementing enterprise compliance plans,different compliance schemes and rectification measures should be applied according to the characteristics of enterprise size.For the compliance of organizational crimes,enterprises should not be prosecuted or be lenient in accordance with the nature scope of crime,and it is natural that misdemeanors and felonies are covered,based on autilitarianism view of criminal law and public interest.However,when handling felony cases,we should not completely follow foreign experiences,but should create and highlight the local characteristics.
出处
《法学评论》
CSSCI
北大核心
2023年第2期95-105,共11页
Law Review
基金
国家社会科学基金重大项目“社会主义核心价值观与我国商事立法完善”(项目批准号:17VHJ001)的阶段性研究成果
关键词
组织责任论
企业合规
不起诉
司法适用
Organizational Responsibility Theory
Corporate Compliance
Non-Prosecution
Judicial Application
作者简介
王海军,天津师范大学法学院副教授。
