刑事数字合规困境:类型化及成因探析

Digital Compliance Dilemma in Criminal Justice: Types and Cause Analysis

我国当前正在大力推动企业合规制度建设,其前提是合规的可行性。犯罪治理的数字化转型不断强化企业在数据和数字技术等方面的刑事诉讼协助义务,这些义务不可避免地与其所承担的新型网络信息法律义务存在紧张关系,集中体现为基于国内法律冲突、国际法律冲突和数字合规成本三方面所形成的数字合规困境。区别于合规风险,这些合规困境无法通过企业内部合规机制建设予以化解,其不仅可能降低预防和打击犯罪的效能,亦会实质性减损公民的数字权益和数字正义的整体水平。对此,有必要转变当前刑事合规研究中诉讼程序的工具性视角,在国内法层面强化数字法治与刑事司法的双向衔接,在国际层面推动犯罪治理协同的规则和机制建设,并将刑事诉讼中网络信息业者的数字协助义务限制在正当、必要且合比例的范围之内。

In our country, the current construction of cooperate compliance legal regime and mechanisms relies primarily on the feasibility of compliance. The digital transformation of crime governance continues to strengthen corporate obligations of criminal judicial assistance in terms of data and digital technologies. These obligations are inevitably in great tension with other legal obligations in new relevant digital laws, giving rise to three dimensions of digital compliance dilemma: those caused by domestic legal conflicts, those by international legal conflicts, and those by overload cost of compliance. Different from compliance risk, compliance dilemma cannot be resolved by the establishment of an internal compliance mechanism within the enterprise, and it may not only undermine the efficacy of preventing and fighting crime, but also infringes upon individuals’ digital rights and interests, and the overall quality of digital justice. To resolve the digital compliance dilemma in criminal justice, it is necessary to transform the instrumentalism view of criminal proceedings in the exploration of legal regime of criminal compliance. On the domestic level, the two-way connection between newly invited digital laws and criminal justice should be strengthened. While on the international level, the construction of rules and mechanisms for crime governance coordination should be promoted. Meanwhile, the digital assistance obligations of network information providers in criminal proceedings should be constrained in a reasonable, necessary and proportionate scope.