刑事合规计划的内在特征及其借鉴思路

Internal Characteristics and Reference Paths of the Criminal Compliance

近年来,以刑事合规计划为核心的企业犯罪治理举措备受关注。发源于美国的刑事合规计划具有鲜明的认罪答辩性质。它本身具有五个方面的内在特征,即高昂成本、久耗时间、彻底合作、转嫁压力和巨额罚金。以上特征实际上限制了刑事合规计划的适用范围,也暴露了它的适用弊端。我国应当采取有限借鉴刑事合规计划的方案:第一,充分吸收刑事合规计划的鼓励企业主动预防违法犯罪的理念。第二,遵循二元路径,一方面,严格限制刑事合规计划的适用范围,原则上仅要求达到一定规模的企业或者特定行业、特定领域的企业推行合规计划,并给予相应的从宽处罚;另一方面,对于其它涉嫌犯罪的企业,可以通过认罪认罚从宽制度的方式进行从宽处理。

In recent years,the criminal compliance programs have received much attention.The criminal compliance program originated in the United States has a distinctive nature of plea.It has inherent characteristics in five aspects.The above features actually limit the scope of application of the criminal compliance program and also expose its application drawbacks.Under the background that the criminal compliance plan is widely recognized by foreign countries and international organizations,China should take a limited reference to criminal compliance programs:first,fully absorb the idea of the criminal compliance programs to encourage companies to actively prevent illegal crimes;second,strictly limit the scope of application of the criminal compliance programs,in principle,only require companies of a certain size,or only enterprises in specific industries and specific fields are required to implement compliance programs and give corresponding leniency penalties.At the same time,for other enterprises suspected of crimes,leniency can be dealt with through the lenient system based on the admission of guilt and the acceptance of punishment.