“诊疗性司法”模式研究——“合规不起诉”在中国的兴起

Research into the"Therapeutic Justice"Model:The Rise of"Compliance-Based Non-Prosecution"in China

作为“协商性司法”的升级和延伸,“合规不起诉”所蕴含的“诊疗性司法”不仅着眼于通过控辩协商一致节约司法资源,也不仅是为了避免传统“查处性司法”的负效应,而是更加注重以具有针对性的矫正措施替代传统刑罚,在消除再犯风险的同时帮助犯罪主体回归社会。为达此目的,检察机关特别引入了“第三方监督评估组织”,以监督和指导涉案企业在分析犯罪行为发生原因、识别合规管控漏洞的基础上,进行有针对性的合规整改,从而实现企业经营和管理的“去犯罪化”。“合规不起诉”不仅是“于法有据”的改革探索,也有罪责自负原则、社会公共利益衡量、法益修复、企业犯罪有效预防等理论的支撑。其虽存在司法裁量滥用、程序消解实体、制裁和预防效果不足以及合规激励不确定等突出问题,但从长远来看,其终将为刑事诉讼法所吸收,并成为单位刑事案件特别诉讼程序的有机组成部分。

As an upgrade and extension of"consensual criminal justice,"the concept of"compliance-based non-prosecution"encompasses the notion of"therapeutic justice."It not only aims to conserve judicial resources through negotiation and consensus between prosecution and defense,but also strives to mitigate the adverse effect of traditional"punitive justice."Its primary focus lies in the implementation of targeted corrective measures as alternatives to conventional punishment,while simultaneously aiding the reintegration of criminal offenders into society by mitigating the risk of recidivism.To achieve this objective,the procuratorate has specially introduced a"third-party supervision and evaluation organization"to oversee and guide the implicated corporations in their analysis of the root causes of criminal acts and identification of compliance control loopholes.This enables them to undertake tailored compliance rectification measures,ultimately achieving the"decriminalization"of business operations and management."compliance-based non-prosecution"not only represents a well-founded reform endeavor,but is also supported by principles such as individual accountability for guilt,the assessment of societal public interests,the restoration of legal interests,and the effective prevention of corporate crimes.Although challenges such as potential abuses of judicial discretion,potential erosion of substantive procedures,insufficient sanctioning and preventive effects,and uncertain compliance incentives need to be solved,in the long run,this concept will eventually be assimilated into criminal procedure law and evolve into an integral part of the specialized proceedings for corporate criminal cases.