自然人犯罪案件刑事合规的理论证成及其适用限度  

Theoretical Justification and Application Boundaries of Compliance in Natural Person Criminal Cases

作　　者：程雷[1] 伍素贞 CHENG Lei;WU Suzhen(Law School,Renmin University of China,Beijing 100872,China)

机构地区：[1]中国人民大学法学院,北京100872

出　　处：《烟台大学学报（哲学社会科学版）》2024年第1期94-108,共15页Journal of Yantai University(Philosophy and Social Science Edition)

基　　金：中国人民大学科学研究基金(中央高校基本科研业务费专项资金资助)项目。

摘　　要：自然人犯罪案件是指在刑事诉讼程序中仅对自然人展开刑事追诉的案件。自然人犯罪案件适用刑事合规仍然具有预防犯罪价值、社会公共利益价值,符合合作规制理论;刑事合规对企业经营自主权的干预具有正当性依据;对自然人刑事责任的减免亦符合刑事法原理,因而自然人犯罪案件适用刑事合规能得到理论证成。由于我国民营企业尚处于发展阶段,司法实践中单位犯罪的范围被明显限缩,对自然人犯罪案件适用刑事合规亦有其现实理由。但上述做法只在企业对自然人犯罪具有犯罪学意义上的影响力且同意合规的情况下才能适用,且合规的实施必须遵循比例原则,自然人刑事责任减免亦须以罪责刑相适应原则为限度。The term"natural person criminal cases"refers to cases in criminal proceedings where only natural persons are subject to criminal prosecution.Applying criminal compliance to cases of natural person crimes also carries the value of crime prevention,benefits the public interest,and aligns with the theory of cooperative regulation.The interference of criminal compliance on the autonomy of enterprise management has its legitimate basis.The reduction of criminal liability for natural persons is in accordance with the principles of criminal law,therefore the application of criminal compliance to criminal cases involving natural persons can be theoretically justified.Due to the current stage of development of private enterprises in China,the scope of corporate crimes in judicial practice has been significantly limited.This is a practical reason for applying criminal compliance to cases of individual crimes.However,it can only be applied if the enterprise has a criminological influence on the crime of a natural person and agrees to comply.The implementation of criminal compliance must adhere to the principle of proportionality.The reduction of criminal liability for individuals must conform to the principle of suiting punishment for crime.

关 键 词：刑事合规 自然人犯罪 正当性依据 比例原则 

分 类 号：D925.2[政治法律—诉讼法学]