刑事一体化视野下企业合规的制度逻辑与实现路径  

The Logic and Path of Corporate Compliance:A Perspective from the Integration of the Substantive and Procedural Criminal Law

作　　者：王颖[1,2] Wang Ying

机构地区：[1]武汉大学法学院 [2]德国海德堡大学

出　　处：《复印报刊资料（诉讼法学、司法制度）》2022年第10期52-65,共14页

基　　金：湖北省人民检察院重点项目“企业合规制度机制构建与检察职能发挥研究”(HJ2021A08)的研究成果。

摘　　要：恢复性司法理念、公共利益保护与积极特殊预防理论赋予了企业合规正当性。但是,当前实体法与程序法对企业合规的理论倡导和制度建言多有悖反与张力,刑事一体化视野下建构刑事合规理论,有助于推进合规试点及立法。企业合规制度的构建不应违背罪责刑相适应原则;“责任一体而惩罚分离”的基本立场,企业刑事合规、直接责任人入刑但认罪认罚从宽的制度设计,可以破解当前实体法与程序法、理论与司法之困境。在组织体责任论的基础上,企业具有两类出罪路径:一是以企业合规作为抗辩事由实体出罪;二是基于检察院不起诉裁量权,在企业刑事合规后程序出罪。但检察机关不起诉裁量权的行使不应恣意,应当从出罪的合法性、必要性、可能性方面进行案件事实审查、社会利益审查与再犯预防审查。The corporate compliance can be justified by the concept of restorative justice,public interest protection and special positive prevention theory.However,some contradictions and tensions exist between the substantive and procedural criminal law in the current theoretical and institutional proposals.Therefore,if corporate compliance is to be established by integrating the respects of the substantive and the procedural criminal law,it will be conducive to the promotion of legislation and pilot projects.Thus,the corporate compliance system shall follow the proportionality principle between punishment one the one hand,and crime and responsibility on the other,shall hold the fundamental position of"General Responsibility and Separate Punishment,"and shall pursue an institutional design under which in corporate criminal compliance,the person directly in charge shall be incriminated under"the Leniency System for Confessions."Only in this way can the dilemma between the substantive and procedural criminal law be resolved both in judicial theory and practice.Accordingly,judging from the theory of corporate social responsibility,a corporation can be decriminalized by defending on the basis of corporate compliance,or by pleading for the prosecutorial discretion on condition of practicing corporate criminal compliance.However,the prosecutorial discretion shall be exercised cau-tiously by reviewing the facts,the social interest,and the repetition of the crime from the perspective legality,necessity and possibility respectively.

关 键 词：刑事一体化 企业合规 正当化依据 实体出罪 程序出罪 

分 类 号：D925.2[政治法律—诉讼法学]