刑事合规制度的基本价值与本土化路径

刑事合规制度缘起于20世纪后期的美国,并受到许多西方国家的高度重视和积极效仿。刑事合规具有体系性、功能性和刑事激励性3个基本属性。刑事合规制度具有补充“雇主责任论”和“同一视论”的规范价值,并具有缓和法人刑事责任扩大化和推动法人犯罪预防的实践价值。引入刑事合规制度,完善单位刑事责任的判断标准,适度地限制单位刑事责任的范围;为推行合规计划的单位提供刑事激励,有助于促进单位犯罪的预防。在现行刑法的框架下,应当将具有有效的合规计划增设为排除单位罪过的限制性依据;将推行合规计划增设为从轻、减轻处罚单位的量刑情节。

The system of Criminal Compliance originated in America in the mid of 20th century,imitated by many western countries.The system of Criminal Compliance have systematical,functional and incentive characteristics.The system of Criminal Compliance mitigates corporate criminal liability and promotes preventing corporate crime,while offer the enlightenment of supplement to the doctrine of respondeat superior and identification doctrine.Introduction of the system of Corporate compliance programs into Chinese criminal law will promotes improving the judgement standard of unit's culpability in order to restrict the scope of unit's criminal liability,and preventing the unit crime by providing incentives to the unit.Effective compliance programs should be declared denying some agent's will as organizational will.Compliance programs should be set up as a factor of mitigating punishing unit in the criminal law.