刑事合规的模式及合规计划之证明

Modes of Criminal Compliance and the Proof of Compliance Program

近年来我国学者倡导引入在西方盛行的刑事合规计划,以应对中资企业在全球化背景下的合规风险。根据刑事合规在域外的实践,普遍的难题是有效合规计划的证明。比较法视角下,刑事合规的运作模式主要包括作为犯罪构成要件的入罪模式、作为抗辩事由的出罪模式、量刑调节模式以及程序法层面的暂缓起诉模式。不同模式的刑事合规,合规计划是否存在及其有效性的证明应当有所差异。证明责任和证明标准的设置,决定了实践中刑事合规践行的纵深度,起到调节阀作用。我国正处于初始探索阶段,宜采取审慎的证明模式,适度激励企业建构合规计划,并防控合规激励被滥用的风险。

In recent years,Chinese scholars have advocated the introduction of criminal compliance prevailing in the west,to deal with the compliance risks of Chinese enterprises in the context of globalization.The key issue demonstrated by foreign experience is the proof of effectiveness of compliance program,to address the problem of"window dressing".From the perspective of comparative law,lack of a compliance program can be perceived as an element of a crime,affirmative defense,culpability score for sentencing and content of a deferred prosecution agreement,so called modes of criminal compliance in this paper.The burden of proof and the standard of proof differ from each other under different modes.The setting of the burden of proof and the standard of proof,to some degree,determines the extent to which criminal compliance is allowed to play a role in the adjudication.This paper argues that in present China,a prudent approach,which,one the hand,encourages enterprises to set up compliance program,and,one the other hand,prevent the risk"of window dressing".