合规不起诉制度审思

在我国的合规改革试点过程中,企业合规制度与不起诉制度产生联结。当前,理论探索及实践试点中的“合规不起诉”呈现出典型的“合规本位”样态,甚至是“合规优位”样态,即检察官在对涉案企业进行起诉裁量时,合规排他性地发挥决策作用,或者优于其他同位阶元素发挥作用。然而,在域外涉案企业暂缓起诉制度中,合规仅是企业审前转处的矫治手段之一。在对涉案企业进行起诉裁量时,“合规外”的诸多元素同样发挥至关重要的作用。不仅如此,合规能否预防犯罪、能否提升企业文化等问题悬而未决。在实体法维度,合规与企业罪责减轻并非一元对应,美国的量刑指南中关于有效合规得以减少企业罪责评分的规定也并未获得应有的重视。回归我国语境,合规不起诉制度的本土化发展忽视了该制度扩张适用后的侦查难题与前移适用后的职权分配难题。在未来讨论合规不起诉的立法问题时,应回归涉案企业附条件不起诉的整体立法逻辑,并引入“合规外”的多元元素,从而补正合规不起诉的现实不足。

In the process of corporate compliance reform in China,compliance comes into prosecutorial discretion.At present,the concept of“compliance non-prosecution”in theoretical and practical exploration has shown a typical“compliance-based”pattern,and even developed into a“compliance-dominated”pattern,where prosecutors see compliance as an exclusive factor or superior factor when making a prosecutorial decision.However,as for the system of deferred prosecution in oversea countries,compliance is only one of the corrective measures for the pretrial diversion applied to enterprises,and other factors also play a crucial role in prosecutorial discretion.Moreover,whether compliance can prevent crime and build corporate culture remains unresolved.Even in the substantive law,the reduction of corporate culpability does not only correspond to the compliance program,and the provision that effective compliance program can reduce corporate’s culpability score in the United States Sentencing Commission Guidelines Manual has not received enough attentions.Returning to the issues in our country,the localized development of the compliance non-prosecution has neglected the investigation difficulties after the broader application,as well as the difficulties of power allocation after the earlier application.In the future,when discussing the legislative issues of compliance non-prosecution,the overall legislative logic of non-prosecution applied to corporations should be used,and multiple elements other than compliance should be introduced to eliminate the deficiencies of compliance non-prosecution.