合规改革背景下企业犯罪行刑平行执法程序构建

Construction of Parallel Enforcement of Administrative Procedure and Criminal Procedure for Corporate Crime Sentencing Under the Background of Compliance Reform

在涉案企业合规改革中,传统行刑衔接程序以检察监督职能为纽带,在合规互认、合规监管接力等方面陷入困境。企业犯罪的双重违法性和行刑机关的权属分立使企业竞合责任的处理程序成为固有难题,“先刑后行”和“先行后刑”都会降低办案效率,无法合理落实“一事不二罚”原则推动形成的“一体化处罚观”。域外国家在面临相似问题时改先后执法模式为平行执法模式,鼓励行刑机关配合执法,以“捆绑式和解”处理企业犯罪案件。我国应将企业犯罪的主要办案顺序由“行刑衔接”改为“行刑平行”,结合第三方机制的本土经验,由行刑机关联合成立委员会,指导办案人员在保障执法和司法独立性的前提下,在调查取证、协商和解、合规激励等方面形成配合。

In the compliance reform, the traditional successive regulatory and criminal law enforcement united by prosecutors’ supervisory power has problems in compliance mutual recognition and compliance supervision relay. The corporate dual illegality and government power separation cause issues in realizing the co-existing liabilities. Either one first will reduce efficiency and cause deficiencies in applying the integrated punishment view formed by the protection against double jeopardy. To salve it, other nations changed from Sequential Law Enforcement Model to Parallel Law Enforcement Model, encouraging cooperation and “bundling settlement”. In China, the order for enforcing corporate crime should be changed from “successive enforcement” to “parallel enforcement”. Based on the third-party mechanism pilot experiences, there shall be a committee constituted by criminal and regulatory organs, directing the officers to cooperate in investigation, negotiation and compliance motivation, but keep independence as required by laws.