摘要
我国单位犯罪立法的显著片段性决定了,合规激励应当围绕单位责任和个人责任两条路径展开。单位责任路径以单位责任发生为前提,个人责任路径以单位意志存在为基础,否则,不能任意适用针对企业的合规监管程序。我国刑法中的单位归责模式以及有限度的起诉便宜原则共同决定了,合规程序激励机制的适用应有限度。基于对罪刑法定原则、平等适用刑法原则的维护,其适用应限于轻罪。对于合规的效率价值应辩证看待,予以重视,但不能过分主张。在此意义上,不宜在“挂案”中开展合规监督。我国刑事诉讼制度减损了合规程序激励机制的效率价值,作为功能补偿,其犯罪预防价值更应得到重视。犯罪预防价值的发挥取决于如何建立以及建立怎样的企业合规制度。在这个问题上,专项合规计划的适用是例外而非原则;即便倡导第三方独立监管,监督考察过程也应当坚持行政主导。
The remarkable fragmentary nature of our unitary crime legislation dictates that compliance incentives should revolve around two paths:unitary responsibility and individual responsibility.The unitary responsibility path presupposes that unitary responsibility occurs and the individual responsibility path is based on the existence of the unit’s will;otherwise,the compliance monitoring procedures for companies cannot be applied arbitrarily.The combination of the unitary imputation model in Chinese criminal law and the principle of opportunity dictates that the application of incentives for compliance with procedures should be limited.Its application should be limited to misdemeanors,based on the preservation of the principle of the legality and the principle of equal application of criminal law.The efficiency value of compliance should be viewed dialectically and valued,but not overly claimed.In this sense,it is not appropriate to carry out compliance monitoring in the context of a‘pending case’.Our criminal procedural system detracts from the efficiency value of the compliance process incentive mechanism,and as a functional compensation,its crime prevention value deserves more attention.The crime prevention value depends on how and what kind of corporate compliance system is put in place.The application of a dedicated compliance scheme is the exception rather than the principle in this matter;even if independent third-party supervision is advocated,the supervisory inspection process should remain executive-led.
出处
《法律科学（西北政法大学学报）》
CSSCI
北大核心
2022年第4期149-166,共18页
Science of Law：Journal of Northwest University of Political Science and Law
基金
国家社科基金重大项目(20&ZD198)“健全支持民营经济发展的刑事法治研究”
湖北省人民检察院理论研究重点课题(HJ2021A09)“企业合规制度机制建构与检察职能发挥研究”
关键词
企业合规
刑事法激励机制
单位归责模式
起诉便宜主义
corporate compliance
criminal law incentives
unitary imputation model
the principle of opportunity
作者简介
李本灿,山东大学法学院教授、博士生导师,山东大学检察理论研究中心研究员。
