企业合规不起诉的正当性与制度构建  

Justification and Institutional Construction of Non-prosecution System of Corporate Compliance

作　　者：陈历文 CHEN Liwen(Law School,Hunan University,Changsha 410082,China)

机构地区：[1]湖南大学法学院,湖南长沙410082

出　　处：《山东科技大学学报（社会科学版）》2023年第2期37-43,共7页Journal of Shandong University of Science and Technology(Social Sciences)

摘　　要：在我国推行企业合规不起诉制度具有深厚的刑法学基础。在犯罪论维度,企业刑事归责二元模式使企业刑事责任从个人刑事责任中脱离出来,企业刑事责任的判断依据不是企业特定个人的意志和行为,而是企业组织管理是否合规。从刑罚论上讲,经过合规整改,涉案企业既实现了有效的犯罪预防,也使遭受侵害的法益得到了全方位修复。我国企业合规不起诉制度的运行模式应当采用检察官裁量模式,并以其中的暂缓起诉协议模式为蓝本进行设计。在适用范围上,除了涉嫌危害国家安全犯罪、恐怖活动犯罪,对于法益不能修复或者难以修复的犯罪,也不能对涉案企业适用企业合规不起诉制度。至于能否将免受起诉的优遇及于个人,不能简单地看涉案企业规模大小,而应在对企业和个人刑事责任进行区分的基础上,以促进企业健康发展为目标,依托认罪认罚从宽制度来判断。The implementation of non-prosecution system of corporate compliance in China is based on criminal law.In the criminal dimension,the dual mode of corporate criminal liability makes corporate criminal responsibility separate from individual criminal responsibility.Corporate criminal responsibility is judged not by the will and behavior of specific individuals in the enterprises,but by the compliance of corporate management.From the perspective of punishment,after compliance rectification,the enterprises involved not only realize effective crime prevention,but also make the infringed legal interests under comprehensive restoration.Non-prosecution system of corporate compliance in China should adopt the prosecutor’s discretion mode,and be designed based on the suspended prosecution agreement mode.In terms of the scope of application,in addition to terrorist activities and crimes suspected of endangering national security,non-prosecution system cannot be applied to crimes in which the infringed legal interests cannot be restored or are difficult to restore.As for whether the privilege of being exempted from prosecution can be extended to individuals,it is not simply judged by the size of the enterprises involved.Instead,it should be judged by the system of pleading guilty and leniency on the basis of distinguishing the corporate and individual criminal responsibilities,so as to promote the healthy development of the enterprises.

关 键 词：企业合规不起诉 犯罪预防 法益修复 暂缓起诉协议模式 

分 类 号：D925.2[政治法律—诉讼法学]