摘要
企业犯罪治理的责任分担和国家刑事法上的制度激励,形成二元互动式合作治理的基本格局。以合作治理为目的导向,我国涉案企业合规改革还存在犯罪预防职能尚未转移、司法协作职能发挥不足和合作治理范围狭窄的现实缺陷。症结在于,当前以合规不起诉为核心建构的“事后合规”激励体系,导致企业在涉案前缺乏对合作治理的参与。强化合作治理的根本路径是强化“事前合规”的制度激励,刑法立法应当对事前合规和事后合规做出激励程度上的区分。具体而言,应当通过司法解释将合规计划确立为单位犯罪意志认定的中心,以“合规出罪”激发企业事前合规建设的积极性;在从宽量刑的激励上,对事前合规和事后合规进行从宽幅度的梯度区分,对事前合规的企业进行更大幅度的量刑激励。
The responsibility sharing of corporate crime governance and the institutional incentives in the national criminal law form the basic pattern of dual interactive cooperative governance.Guided by the purpose of cooperative governance,the compliance reform of the enterprises involved in the case still has the practical defects that the crime prevention function has not been transferred,the judicial cooperation function is insufficiently exerted,and the scope of cooperative governance is narrow.The crux of the matter is that the current incentive system for“compliance after the fact”is constructed with compliance and non-prosecution as the core,resulting in the lack of participation of enterprises in cooperative governance before the case is involved.The fundamental way to strengthen cooperative governance is to strengthen the institutional incentives of“ex-ante compliance”,and criminal law legislation should distinguish between the extent of incentives for ex-ante compliance and ex-post compliance.Specifically,the compliance plan should be established as the center of the determination of the unit’s criminal will through judicial interpretation,and the enthusiasm of the enterprise to build up the compliance beforehand should be stimulated by“complying with the crime”;A wide range of gradients will be made for compliance after the event,and greater sentencing incentives will be given to companies that are compliant before the event.
作者
丁胜明
张阳
Ding Shengming;Zhang Yang
出处
《学海》
CSSCI
北大核心
2022年第6期174-183,共10页
Academia Bimestris
基金
重庆市教育委员会人文社会科学研究规划项目“刑事合规语义下企业犯罪预防模式研究”(项目号:21SKGH019)
西南政法大学校级科研项目“网络平台刑事合规体系构建研究”(项目号:2021XZNDJDQN_02)的阶段性成果。
关键词
合作治理
企业刑事合规
事前合规
事后合规
cooperative governance
corporate criminal compliance
pre-compliance
post-event compliance
作者简介
丁胜明,西南政法大学法学院副教授、博士生导师;张阳,西南政法大学刑法学博士研究生。重庆,401120。
