民营企业合规不起诉改革的困境破解与发展路径  

The Dilemma and Development Path of Private Enterprises’ Compliance and Non-Prosecution Reform

作　　者：石经海[1] 黄亚瑞 SHI Jing-hai;HUANG Ya-rui

机构地区：[1]西南政法大学法学院

出　　处：《北方法学》2022年第6期133-146,共14页Northern Legal Science

基　　金：2020年国家社会科学基金重点项目“认罪认罚从宽制度的刑法应对研究”(20AFX012)的阶段性成果

摘　　要：为了支持民营企业的发展,给涉罪企业留有重生机会,我国积极借鉴域外实践经验,构建单位犯罪的合规不起诉制度。当前我国的民营企业合规不起诉改革以“轻缓化治理”为政策导向,以“协商性司法”的发展为契机,以“附条件不起诉、相对不起诉”为对接模式,并已初步取得成效。但由于民营企业自身的特殊性和我国刑事司法制度“实体公正”的价值基础,改革遭遇刑事政策游离于刑法体系、重罪不起诉制度缺乏实体法根据、个人责任与企业责任难区分等困境。基于国情与法治体系,我国的民营企业合规不起诉应坚持中国特色,具体应以刑罚个别化原则、恢复性理念、责任主义原理为理论基点,以构建单位与自然人犯罪一体联动认定机制,完善民营企业合规不起诉的实体法根据,构建合规自然人与合规企业的风险“双重排除机制”发展路径。In order to support the development of private enterprises and give criminal enterprises a chance to regenerate,China has actively learned from overseas practical experience and established a compliance non-prosecution system for unit crimes.The compliance non-prosecution reform of private enterprises is guided by“lenient governance”,and it takes the development of“consultative justice”as an opportunity,the“conditional non-prosecution and relative non-prosecution”as the docking mode,thus achieve initial results.However,due to the particularity of private enterprises and the value basis of“substantive justice”,the reform has encountered prominent difficulties such as“criminal policy is free from criminal law system;felony non-prosecution system lacks substantive law basis;and it is difficult to distinguish between personal responsibility and corporate responsibility”.Based on China’s national conditions and the rule of law system,China’s private enterprises should follow the road of Chinese characteristics,with“the principle of individual penalty punishment”,“restorative concept”and“accountability principle”as the theoretical basis,and take“build the joint identification mechanism of unit and natural person crime;improve the substantive law basis of private enterprise compliance non-prosecution;and build the double risk exclusion mechanism of compliance natural person and compliance enterprise”as the development path.

关 键 词：刑事合规 不起诉 民营企业 刑事政策 恢复性司法 

分 类 号：D925.2[政治法律—诉讼法学]