摘要
合规不起诉作为赋予涉罪企业出罪机会的诉讼制度创新,其正当性备受质疑,而解决该争议需阐释程序出罪理论这一法理根基。程序出罪是指刑事程序法独立于实体法对罪与责的规定,赋权司法机关在诉讼过程中将犯罪案件非犯罪化处理,我国的酌定不起诉、未成年人附条件不起诉制度,域外的暂缓起诉、暂缓判决制度,都是例证。在积极刑法观的推动下,犯罪圈扩张引发“过度犯罪化”的社会问题。程序出罪不违背罪刑法定原则,直接式出罪与暂缓式出罪、公诉出罪与审判出罪等多样化的程序路径能弥补实体出罪灵活性的不足。企业附条件不起诉制度应当作为合规不起诉试验的立法选择,通过内嵌限制性机制避免“程序消解实体”的风险,以“暂缓式公诉出罪”应对企业过度犯罪化。
As an innovative prosecution system,the legitimacy of non-prosecution for compliance that gives opportunities for criminally involved corporations to be diverted has been questioned.It is necessary to study the theory of procedural decriminalization in order to resolve such a dispute.Procedural decriminalization refers to the procedures that empower the judiciary to decriminalize criminal cases during the process indepen-dent of the substantive rules about crime and criminal liability.In Chinese criminal procedure laws,the discre-tionary non-prosecution system,the settlement non-prosecution system,and the conditional non-prosecution system for minors are examples.With the guidance of positive criminal law theory,the expansion of the crimi-nal circle has caused the social problem of“overcriminalization”.Procedural decriminalization does not vio-late the principle of legality.There are diverse methods,such as direct decriminalization,suspended decrimi-nalization,prosecutorial decriminalization,and trial decriminalization,making up for the lack of flexibility of substantive decriminalization.As a legislative extension of the non-prosecution for compliance,the condi-tional non-prosecution system for enterprises can deal with the overcriminalization of enterprises through a“suspended prosecutorial decriminalization”way,avoiding the risk of“procedural elimination of legality”by setting up restrictive mechanisms.
出处
《求是学刊》
CSSCI
北大核心
2024年第1期123-134,共12页
Seeking Truth
基金
司法部法治建设与法学理论研究部级科研项目“企业合规出罪的路径与限度研究”(22SFB4014)。
关键词
合规不起诉
程序出罪
实体出罪
过度犯罪化
法益修复
Non-Prosecution for compliance
procedural decriminalization
substantive decriminalization
overcriminalization
legal interest recovery
作者简介
陶朗逍,北京科技大学文法学院讲师(北京100083)。
