刑事合规视野下企业缓起诉制度功能定位的反思与借鉴  

Reflection and Reference on the Function Orientation of the Corporate Deferred Prosecution in the View of Criminal Compliance

作　　者：张迪 Zhang Di

机构地区：[1]南京大学法学院

出　　处：《财经法学》2021年第5期125-138,共14页Law and Economy

摘　　要：表面上看,刑事合规激励和避免刑罚水波效应是企业缓起诉制度兴盛的根基。实际上,企业刑事责任体系失衡才是导致企业缓起诉制度勃兴的真正原因。企业缓起诉制度实质上被定位为平衡企业刑事责任的主要工具。企业缓起诉的制度设计和运行模式导致企业罪责平衡机制存在不确定性、企业出罪功能被滥用、控辩协商程序产生异变,因此,其应被合理地限制使用。组织责任论下企业罪责体系更为均衡,企业刑事责任的认定标准与程序更加科学,诉讼程序的分流效能更强。组织责任论应作为平衡企业刑事责任的主要工具。但实体法上企业罪责体系的僵化仍需企业缓起诉制度予以灵活化解,企业缓起诉制度可作为平衡企业刑事责任的辅助工具。企业缓起诉制度的引入应以“合理限制”为中心,具体应从以下三个维度展开:以组织责任论为中心构建企业法定不起诉制度;以刑罚积极一般预防为中心构建企业附条件不起诉制度;以重大公共利益考量为中心构建企业特殊不起诉制度。On the surface,the corporate deferred prosecution has been widely adopted by many countries because of its function of encouraging criminal compliance and avoiding the effect of penalty wave.As a matter of fact,the lack of the way of incriminating is the real reason.In essence,the corporate deferred prosecution is regarded as the main tool to balance the criminal responsibility.The design and operation of the corporate deferred prosecution lead to the uncertainty of the balance of the criminal responsibility,the abuse of the function of the culpability,and the variation of the procedure of charge-defense negotiation.Under the theory of organizational responsibility,the criminal responsibility is more balanced,and the standard and procedure are more scientific.The theory of organizational responsibility should be regarded as the main tool to balance the corporate criminal responsibility.However,the corporate deferred prosecution can be used as an auxiliary tool to balance corporate criminal responsibility.The introduction of the deferred prosecution system should focus on reasonable restriction.Construct the legal corporate non-prosecution centered on the theory of organizational responsibility,take the penalty positive general prevention as the center to construct the corporate deferred prosecution,and take the significant public interest as the center to construct the special corporate non-prosecution.

关 键 词：企业缓起诉 企业刑事责任 特殊不起诉 

分 类 号：D925.2[政治法律—诉讼法学]