重罪案件企业刑事合规不起诉的三大实体法争议问题  

The Three Substantive Law Disputes of Non-prosecution in Criminal Compliance of Enterprises in Felony Cases

作　　者：姜涛 JIANG Tao(School of Criminal Law,East China University of Political Science and Law,Shanghai 201620,China)

机构地区：[1]华东政法大学刑事法学院,上海201620

出　　处：《内蒙古社会科学》2024年第3期90-99,F0003,共11页Inner Mongolia Social Sciences

基　　金：国家社科基金重大项目“数字经济的刑事安全风险防范体系建构研究”(编号:21&ZD210)。

摘　　要：我国检察机关主导的企业刑事合规不起诉的改革实践是值得肯定的,能否对企业涉及的重罪案件作不起诉决定,不仅要关注企业治理结构的改进,而且要考虑刑罚目的的实现。现行刑法并没有把企业刑事合规计划作为免责事由,而且对重罪案件实施刑事合规不起诉违背了罪刑法定原则和平等原则,有放纵犯罪之嫌,并不可取。否定在重罪案件中实施刑事合规不起诉,并不意味着否定企业因在事前实施了完备的、科学的刑事合规计划而排除其具有单位犯罪意志。若企业已经实施了完备的、科学的刑事合规计划,而单位之下的自然人借助单位名义实施犯罪,则不构成单位犯罪,只需追究单位之下自然人的刑事责任。在事后刑事合规计划的情况下,即使对单位及单位之下的自然人从宽处罚,也不宜由此赋予企业刑事合规义务。对于企业反悔的情况,检察机关可以以量刑过轻为由提起抗诉,做好企业刑事合规的“后半篇文章”。The reform practice of non-prosecution in enterprises criminal compliance led by procuratorial organs in China is worthy of recognition.Whether we can not prosecute felony cases should not only focus on the improvement of corporate governance structure,but also involve the realization of penalty purposes.The current criminal law does not take the enterprise's criminal compliance plan as the excuse for exemption.The implementation of criminal compliance and non-prosecution in felony cases violates the principle of statutory punishment and the principle of equality,and is suspected of indulgent crime.Denying the non-prosecution of criminal compliance in felony cases does not deny the exclusion of the enterprise having a unit criminal will because of the implementation of a complete and scientific criminal compliance plan in advance.If the enterprise has implemented a complete and scientific criminal compliance plan,and the natural person under the unit commits a crime in the name of the unit,it does not constitute a unit crime,and only the criminal responsibility of the natural person under the unit is investigated.In the case of post-facto criminal compliance plan,even if the unit and the natural person under the unit are lenient,it is not appropriate to assign criminal compliance obligations to the enterprise.For the situation of enterprise retraction,the procuratorial organs can file a protest on the grounds that the sentence is too light,and do a good job in the second half of the article of enterprise criminal compliance.

关 键 词：重罪案件 单位犯罪 刑事合规不起诉 认罪认罚从宽处罚 刑事合规义务 

分 类 号：D925.2[政治法律—诉讼法学]