刑事合规制度改革试点的阶段性考察

Stage Reflection of the Criminal Compliance Reform Experimentation

从性质上讲,合规考察具有负担性,不能轻易在个人犯罪案件中适用。我国《刑事诉讼法》中的相对不起诉和附条件不起诉制度以及《刑法》中的罪刑法定原则共同决定了,重罪案件不宜适用合规相对不起诉程序。从违法行为的严重性和再犯可能性两个角度讲,漏罪或行政违法都不是绝对排除合规相对不起诉程序的因素,但其划定了合规考察案件的罪名范围。在程序路径上,暂缓起诉协议路径暂不宜采用,但其功能可以被“刑事合规协议”“合规监管协议”“合规承诺”等实践方案所替代。检察建议后置模式对于合规的激励作用较小,可以适用于罪行极其轻微的小微企业犯罪案件。量刑激励是促进企业合规的重要方式,因合规与刑罚的内在关联,即便是非试点单位也可以践行这种合规激励方案,但量刑程序应当依法进行,不能滥用量刑激励制度。“挂案”清理与合规激励的双重目的可以通过“存疑不起诉+企业合规检察建议+企业合规检察意见”的组合方案达成。

By nature,compliance supervision is burdensome and cannot be easily applied in individual crime cases.The relative non-prosecution and conditional non-prosecution regimes in Chinese Criminal Procedure Law and the principle of Nulla poena sine lege in Chinese Criminal Law together dictate that relative non-prosecution procedures for compliance are not appropriate for felony cases.In terms of both the seriousness of the offense and the likelihood of recidivism,neither the omission of the offense nor the administrative offense are absolute preclusion to the relative nonprosecution procedure,but it delineates the range of charges for compliance examination cases.In terms of procedural path,the deferred prosecution agreement path is not suitable for the time being,but its function can be replaced by the“criminal compliance agreement”,“compliance supervision agreement”,“compliance commitment”and other practical solutions.The postprosecution recommendation model is less effective as an incentive for compliance and can be applied to cases of extremely minor crimes committed by small and micro enterprises.Sentencing incentives are an important way to promote corporate compliance,and because of the intrinsic association between compliance and penalties,such compliance incentive programs can be practiced even by non-pilot units,but sentencing procedures should be conducted in accordance with the law and the sentencing incentive system should not be abused.The dual purpose of cleaning up“pending cases”and incentivizing compliance can be achieved through a combination of“no prosecution in doubt+corporate compliance suggestions+corporate compliance comments”.