中国式企业合规出罪路径

On the Chinese Corporate Compliance Decriminalisation Path

合规出罪是改变“以刑制罪”现象,助推优化营商环境政策落实,并使刑事司法从补救型向预防型、从威慑型向激励型、从对抗型向合作型以及从严苛型向谦抑型转向的重要制度创新。当前合规出罪机制仍存在一元型程序出罪,阶段化出罪以及出罪与非刑事责任、其他激励机制、企业治理衔接不畅,出罪风险防范薄弱等问题。未来在出罪类别上,宜探索程序实体一体出罪模式;在出罪阶段上,构建侦、诉、审全链条合规出罪机制;在出罪体系上,建立出罪替代处罚多元化体系与体系化合规激励,实行“责任—激励—治理”一体推进举措;在出罪保障上,以刑事风险为中心,建构风险“识别—响应”机制,并保障合规出罪的平等性、自愿性、有效性与制约性,推动形成一体化、全程化、系统化、规范化的中国式企业合规出罪路径。

Corporate compliance is an important institutional innovation to change the phenomenon of"curbing crime by penalties",to promote the implementation of policies optimising the business environment,and to shift China's criminal justice from remedial to preventive,from deterrent to incentive,from confrontational to cooperative,and from harsh to modest.However,at present,there are still problems with China's compliance decriminalisation mechanism,such as monolithic procedural decriminalisation,staged decriminalisation and poor articulation between decriminalisation and non-criminal liability,other incentive mechanisms and corporate governance,and weak prevention of decriminalisation risks.In the future,in terms of the type of decriminalisation,the integrated model of procedural and substantial decriminalisation can be explored.In terms of the stage of decriminalisation,the whole chain of compliance and decriminalisation mechanism at the stages of investigation,prosecution and trial should be constructed.In terms of the decriminalisation system,a diversified system of substitute punishment and systematic compliance incentives can be established,so that a paradigm of"liability-incentive-governance"can be formed.In terms of the guarantee of decriminalisation,a risk identification-response mechanism should be implemented with criminal risk as the centre to safeguard the equality,voluntariness,effectiveness and constraint of compliance decriminalisation.Therefore,the formation of an integrated,comprehensive,systematic and standardised Chinese compliance decriminalisation path can be promoted.