企业刑事合规不起诉的实体法根据

The Substantive Law Basis for Non-Prosecution in Enterprise Criminal Compliance

企业刑事合规不起诉的免责依据,需根据企业刑事合规不起诉的类型确定。其中,事后企业刑事合规不起诉的免责依据是不具有需罚性,即不具有刑事政策意义上预防的必要性,属于功能责任论的范畴。如果企业积极、有效实施刑事合规计划,而无法避免企业下的自然人以单位名义实施犯罪的,则不应认定为单位犯罪,只需追究单位之下自然人的相关刑事责任。企业刑事合规的激励机制包括正向激励与负向激励,企业实施单位犯罪后,如果企业作出刑事合规的承诺,并予以有效实施,则可以对企业不起诉,以实现正向激励;如若作出刑事合规承诺的企业再次实施单位犯罪,则应当对其加重处罚,以实现负向激励。从实体法上明确企业刑事合规不起诉的范围,正确区分单位犯罪与自然人犯罪,警惕企业刑事合规不起诉的陷阱,确定企业刑事合规不起诉的行政责任、民事责任,有助于把我国企业刑事合规不起诉制度改革推向深入。

The substantive law basis for non-prosecution in enterprise criminal compliance shall be determined based on its types.The basis for non-prosecution in ex-post enterprise criminal compliance does not require punishability,that is,it does not have the necessity of prevention in the sense of criminal policy,which belongs to the functional responsibility theory.If the enterprise has actively and effectively implemented the criminal compliance plan but cannot prevent the natural person under the enterprise from committing a crime in its name,it shall not be borne with such criminal responsibility;such natural person shall be liable for the crime.The incentive mechanism of enterprise criminal compliance includes positive and negative incentive.After the enterprise commits a crime,if the enterprise makes a commitment to criminal compliance and implements it effectively,the enterprise may not be prosecuted in order to realize positive incentive.If an enterprise that has made a criminal compliance commitment commits a crime again,it shall be punished more severely in order to achieve negative incentive.From the perspective of substantive law,by clarifying the scope of non-prosecution in enterprise criminal compliance,correctly distinguishing enterprise crime from natural person’s crime,being vigilant against the trap of nonprosecution,and determining the administrative and civil liabilities of non-prosecution in enterprise criminal compliance,it will help deepen the institutional reform of China’s non-prosecution system in enterprise criminal compliance.