涉罪企业合规有效性标准研究——以A公司串通投标案为例

Research on the Standard of Corporate Compliance Effectiveness——Taking the Bid-rigging Case of A Company as an Example

只有被证明是有效的合规计划,才能作为对涉罪企业从宽、免除处罚的事由,但合规有效性标准从合规诞生之日起就是个难解之题。从合规有效性标准的发展历程来看,经历了从技术性指标向文化指标转变的过程,合规有效性的核心标准是合规成为企业文化。与其问企业是否完成了合规计划的实施,不如问企业文化走向何方。奠定于卢曼的社会系统论基础之上的单位犯罪责任模式,并借鉴生物免疫学概念,构建以企业文化为核心的合规免疫系统是合规有效性的可行标准,其构成要素包括技术(形式)指标和文化(实质)指标,前者只是必要但非充分条件,后者才是核心标准和根本目标。文化指标可以具化为态度、习惯和氛围。有效性标准运用的主体应当是检察机关主导、协同多方,构建常规检查方法、飞行检查、访谈问卷、免疫测试等多元化的检测模型。经审查为有效的合规计划,在实质上缺乏预防必要性,根据犯罪论目的理性体系,缺乏答责性而予以实质出罪,这在行政犯、"公司刑法"立法活跃化时代,对于预防和治理企业犯罪,提高国家治理体系和治理能力现代具有重要意义。

Only the compliance programs proved to be effective can be used as the cause for leniency or exemption of punishment for corporate crimes,but the compliance effectiveness standards have been a difficult problem since the birth of compliance.From the perspective of the development history of compliance effectiveness standards,it has experienced a process of transformation from technical indicators to cultural indicators.The core standard of compliance effectiveness is that compliance becomes corporate culture.Rather than asking whether the company has completed its compliance programs,it is better to ask where the culture is going.Based on unit criminal responsibility model estabished on the basis of Luhmann ’s social system theory and referring to the concept of biological immunology,this paper constructs the effectiveness standard with corporate culture as the core.The elements of this standard include technical(formal) indexes and cultural(substantive) indexes.The former is a necessary but not sufficient condition.The latter is the core standard and the fundamental goal.Cultural indicators can be specifically divided into attitudes,habits and atmosphere.The procuratorate leads other organizations to use the standard to test the effectiveness of compliance through a variety of methods,including routine inspection methods,inflight inspections,interview questionnaires and immunization tests.Compliance programs proved to be effective after testing can not be treated as crimes due to the lack of prevention necessity in essence based on objective rational system of crime theory.In the era of active legislation of administrative crimes and "corporate criminal law",it is of great significance to prevent and govern corporate crimes and improve the modernization level of national governance system and governance capacity.