企业合规不起诉改革的实体法障碍及其消除

The Substantive Law Obstacle of Corporate Compliance Non-Prosecution Reform and Its Elimination

最高人民检察院等部门大力推行的企业合规不起诉改革试点,为检视我国刑法中单位犯罪规定及其实践提供了一个绝佳的机会。从比较法的角度看,各国在企业自身责任的判断上,除通过特定从业人员认定企业的行为和意思之外,还根据现代企业的特点,从其政策、制度、文化特别是合规计划判断企业自身的意思,这也是企业合规不起诉的合法性根据。虽然我国现行刑法在有关单位犯罪的规定。上采用了单位自身犯罪的观念,但由于实务中将单位犯罪理解为单位法定代表人决定或者单位集体决定的犯罪,使得单位犯罪事实上成为一个“放大版”的单位特定人员的个人犯罪或者共同犯罪;同时,由于在单位犯罪的处理中,没有考虑单位自身所具有的可能导致其成员犯罪的组织特性,使得单位被笼罩在其组成人员的违法行为的阴影之下,没有自我救赎的可能。这种结局,不仅与单位犯罪的现实不符,也无法为当前进行的企业合规不起诉改革提供立锥之地。从组织责任的视角出发,修改单位犯罪的相关立法,加入企业合规不起诉的内容,在司法上贯彻企业自身犯罪的理念成为当务之急。

The policy experimentation of corporate compliance non-prosecution which is vigorously implemented by the Supreme People’s Procuratorate and other ministries provides a magnificent opportunity to scrutinize the provisions and practice of unit crimes in the Criminal Law of China. From the perspective of comparative law, regarding the conviction of corporate liability in different countries, in addition to identifying the behavior and intention of corporate through specific employees, according to the characteristics of modern corporates, countries also determine the intention of enterprise itself from its policies, systems and culture, especially the corporate compliance plan, which is also the legitimacy basis of non-prosecution of corporate compliance. Although the current Criminal Law of China adopts the concept of unit’s own crime in the provisions on unit crimes, the unit crime has actually become an‘ enlarged version’ of individual crime or joint crime of a single specific person because it is understood as a crime decided by the legal representative of units or units collectively in practice. Meanwhile, since the organizational characteristics of the unit itself that may lead to the crime of its members are not considered in the handling of unit crimes, the unit is shrouded in the shadow of the illegal acts of its members, and there is no possibility of self-redemption. This consequence is not the original intention of enacting unit crimes, nor can it provide a foothold for the current policy experimentation of corporate compliance non-prosecution. It is urgent priority to amend the relevant provisions of unit crimes, include the content of non-prosecution of corporate compliance, and implement the concept of corporate crime judicially.