我国企业合规“双不起诉”完善路径研究

The Path of Improving“Double Non-prosecution”in Corporate Compliance

“双不起诉”是指在我国合规不起诉制度试点中涌现出的检察机关对中小企业犯罪案件既放过企业,又放过个人的案件处置办法。这一做法的适用虽然取得了不错的效果,但仍伴随诸多质疑。“双不起诉”与积极一般预防理论共同关注犯罪预防的目的和作用机理,顺应现代刑事法治理念的轻缓化趋势,是对当前我国就中小企业开展合规改革的回应,其自身具备推广适用的正当性和合理性。随着合规改革试点的推进,“双不起诉”作为中小企业开展整改的基础,应当以相对不起诉为适用载体,考虑到所服务的群体特性和相对不起诉“微罪不诉”的属性,对单位责任人被判处3年以下有期徒刑的经济类单位犯罪案件予以适用。且只有经涉案企业及其负责人认罪认罚,开展有效合规整改,检察机关才能根据案件情节,对企业和负责人做出“双不起诉”的决定。

“Double non-prosecution”refers to a method of prosecutors to let go of both enterprises and individuals in the pilot of China’s compliance non-prosecution system.Although this practice has achieved good results,it also raises many doubts.Double non-prosecution and positive general prevention theory pay close attention to the purpose and mechanism of crime prevention,and conform to the trend of modern criminal rule of law,which is a response to the current compliance reform of small and medium-sized enterprises in our country and has its own legitimacy and rationality to promote application.With the development of the compliance reform pilot,double non-prosecution should be used as the basis for small and medium-sized enterprises to carry out rectification work.Taking into account the characteristics of the groups served and the relative non-prosecution of minor crimes,it should be applied to economic unit crimes where the unit responsible person is sentenced to imprisonment of up to three years.And only after the enterprises involved and their responsible persons plead guilty and carry out effective compliance rectification,the prosecutors can make the“double non-prosecution”decision according to the circumstances of the case.