刑事合规司法效果的厘定及其刑法证成

The Determination of Judicial Effect of Criminal Compliance and Its Legal Justification in Criminal Law

刑法是刑事合规最有效的依据。当前的刑事合规改革很大程度上受到了刑法理论滞后的制约。为了实现政策性合规向法治化合规的转变,必须为其提供三重证成。首先是效果证成。必须着眼于刑事合规的多重效果,从多个角度扩大刑事合规的司法适用范围,改变检察机关“孤军作战”的局面。其次,制度证成,要充分挖掘刑事合规的刑法根据。企业合规从广义上看包括国内和国外的诸多规范,域外法律规范可以对我国刑事合规改革提供有价值的参考,但刑事合规的依据只能是国内刑法规范。国内刑法规范包括刑法总则、分则等直接规范以及前置性规范。再次,法理证成。刑事合规明显是在积极的特殊预防观念中融入了修复性的司法理念,因此具有重塑刑法制度的功能;从合规目的的实现路径来看,它依赖于刑法采取规范违反说作为评价实质违法性的主要根据。在处理涉案企业责任分配的时候,转嫁罚理论不适合我国单位犯罪的处罚原理,不应让员工为企业犯罪背锅。同时,涉案企业、负责的主管人员与其他责任人员承担的责任不同,这决定了刑事合规可适用于主管责任人员并适用于重罪。

Criminal law is the most effective foundation for criminal compliance.The current reform of criminal compliance is largely constrained by the lagging behind of criminal law theory.In order to realize the transformation from policy-based compliance to law-based compliance,it is imperative to provide triple justifications.The first one is concerning the effect.It is imperative to focus on the multiple effects of criminal compliance,expand the scope of judicial application of criminal compliance from multiple perspectives and change the situation of active promotion only by the procuratorial organs.The second one is concerning the system.It is necessary to fully explore the foundation in the criminal law for criminal compliance.In a broad sense,corporate compliance involves many domestic and foreign norms.Foreign legal norms can provide valuable reference for China’s criminal compliance reform,but the basis for criminal compliance can only be domestic criminal norms.The domestic criminal norms include direct ones such as general provisions and specific provisions of criminal law,as well as predicate norms.The third one is concerning the jurisprudence.The criminal compliance obviously incorporates the concept of restorative justice into the concept of positive special prevention,so it enjoys the function of reshaping the criminal law system;From the perspective of the approach to realization of the compliance purpose,it depends on that the criminal law adopts the doctrine of norm violation as the main basis for evaluating substantive illegality.When dealing with the distribution of liability to the enterprise involved in the case,it is not suitable to adopt the theory of passed-on punishment as the principle of dealing with unit crime in China,or make employees bear responsibility for the enterprise.Meanwhile,the liabilities of enterprises involved and the persons in charge and other responsible persons are different,which determines that criminal compliance can be applied to the responsible persons in charge and serious crimes.