论刑事合规计划的实质有效性

A Study on the Substantial Effectiveness of Criminal Compliance Programs

刑事合规计划的首要功能在于预防企业犯罪。诸多的企业合规失败案例引发了人们对刑事合规计划的质疑:刑事合规计划有效性与其基本功能存在冲突、合规沦为花钱免刑腐败机制、表象特征极易被模仿、增加中小企业负担等。当前的合规失败多源于企业刑事合规计划仅形式有效而实质失效。实质有效是刑事合规计划有效性的核心。在外部监管无力保证实质有效的情况下,从企业内部激发合规内生动力是防止书面计划失效的有力举措。要实现这一目标,需着眼于对实质有效性更具影响力的企业非正式规范。此外,明确刑事合规计划效用边界与程度划分标准,是企业在外部监管环境下必备的生存之道。

The basic functions of the criminal compliance program being preventing corporate crimes,many cases of corporate compliance failures in practice have aroused doubts about its effectiveness,which mainly includes:the conflict between the effectiveness and the basic functions of the criminal compliance program,compliance being reduced to a mechanism for exempting with money bribery,superficial features being easy to imitate,and increasing the burden on small and medium-sized enterprises.In fact,corporate criminal compliance programs fail in practice mostly because they are only effective in form but ineffective in substance.Substantial effectiveness is the core of the effectiveness of the criminal compliance program.When external supervision is unable to ensure substantial effectiveness,stimulating the endogenous motivation from within the enterprise is a powerful measure to prevent paper programs.This needs to focus on informal norms that have a greater impact on substantive effectiveness.In addition,clarifying the boundaries of the effectiveness of the criminal compliance program and the criteria for degree division is the necessary“survival way”for enterprises under external supervision.