涉案企业合规刑事诉讼立法争议问题研究

Research on the Controversies of Criminal Procedural Legislation Related to Enterprise Compliance Involved in Cases

随着涉案企业合规改革试验的全面铺开,需要及时修改刑事诉讼法、刑法,在吸收和借鉴域外成功经验和本土改革经验的基础上,为企业合规确立刑事激励机制,尤其是要建立企业犯罪附条件不起诉制度,从而既可以为涉罪企业提供“改正自新”的机会,也有助于在国家与企业之间形成犯罪治理的“合力”。就刑事诉讼法的修改而言,为改变“以自然人为中心”的刑事诉讼程序格局,宜在“特别程序”一编中专章设立“单位刑事案件诉讼程序”,将“企业附条件不起诉”作为独立于“认罪认罚从宽”的核心制度进行建构,并重点解决好适用对象、条件设定等几个争议较大的问题。至于刑法的修改,建议继续采取刑法修正案模式,从单位犯罪的归责原则、事后合规作为单位刑事责任的基础、增设单位缓刑制度等几个方面,对刑法作出修改完善。

With the full rollout of the compliance reform pilot for enterprises involved in cases,it is necessary to revise the Criminal Procedure Law and the Criminal Law in a timely manner.Based on absorbing from the successful foreign experience and learning from local reform experience,there shall be criminal incentive mechanisms for enterprise compliance established in laws,with a focus on forming a conditional non-prosecution system for enterprise crimes.The system can not only provide enterprises involved in crimes with an opportunity to"correct themselves",but also help to form a"joint force"in crime control between the state and enterprises.As to the revision of the Criminal Procedure Law,it is advisable to set up a"Unit Crime Case Procedure"in the"Special Procedure"series.The"Conditional Non-Prosecution System for Enterprises"shall be independently constructed as a core system from the"Plead Guilty and Accept Punishment for Leniency".Several key controversial issues such as applicable objects and conditions should be resolved.As to the revision of the Criminal Law,it is recommended to adopt the Criminal Law Amendment Bill Mode as usual,improving the Criminal Law from the following aspects:the principle of attribution for unit crimes,the basis of considering post compliance as managing unit crime liability,and the addition ofa probation system forunit crimes.