系统论下刑事合规的作用机理

The Mechanism of Criminal Compliance under the Systems Theory

系统论具有整合、适应与手段三要素,与之契合的分别是国家赋予企业刑事化的合规义务、企业在经营管理中遵守《刑法》法定犯罪名的引证罪状之规范、国家对企业在程序法和实体法两个维度的刑事法激励,这是刑事合规的三个要素内容。在风险社会语境下,应容许企业在适度范围内创设风险,给予企业通过证明自身合规制度、内控体系的完备来换取宽宥处罚的空间。对企业而言,通过被允许的风险与风险降低、保证人义务与结果回避义务、信赖原则与管理过失责任等刑法理论发挥阻却不法和有责的功能,刑事合规是企业面临刑事追诉时的积极抗辩事由;对国家而言,刑事合规通过促进企业治理的模式转型,实现国家引导企业自主预防犯罪。就路径的具体建构而言,在程序法维度,检察机关要主动调查企业实际状况,评估刑事司法程序对企业生产经营的影响,同时积极开展释法说理,利用检察建议等形式督促企业完善合规制度,开展合规培训,努力完善公司的结构性治理,在企业认罪认罚后,检察机关可作出不起诉或缓起诉决定;在实体法维度,法院在审判阶段对企业进行量刑时,应酌情予以从轻、减轻、或者免除处罚。从应然角度来看,这种酌定量刑情节应当上升为法定量刑情节。总之,刑事合规是通过法治为优化营商环境保驾护航,旨在将刑事手段对企业的不利影响降到最低,是“国家治理体系与治理能力现代化”理念在刑事法领域纵深发展的理论和实践契机。

The Systems Theory has three elements:integration,adaptation and means.There are three similar elements in criminal compliance,which correspond with the state’s criminalization of enterprises’illegal acts against compliance obligations,enterprises’abidance by the norms of quotative facts about a crime in Criminal Law in their operation and management,and incentive mechanisms set by the state in criminal procedural and substantive laws.For enterprises,criminal compliance is an active defense when facing criminal prosecution.For the state,criminal compliance promotes the transformation of corporate governance mode,and guides enterprises to prevent crimes on their own.