刑事合规中单位出罪的法理逻辑——基于实体与程序的二元视角

The Jurisprudential Logic of Criminal Compliant Decriminalization in Criminal Compliance:Based on the Dualistic Perspective of Substance and Procedure

企业刑事合规单位出罪强调企业可能承担刑事风险的前提下,凭借有效的合规体系免于承担刑事责任。刑事合规出罪包括实质出罪与程序出罪,其不仅有利于保障民营企业健康发展,助力国家司法体制改革,还可以有效替代刑罚,凸显刑法激励作用。理解刑事合规实质出罪,不应通过自然人行为认定单位犯罪,而是采纳组织体责任论,从单位自身即组织体的制度政策等因素中寻找单位犯罪的出罪依据。基于协商性司法、恢复性司法以及刑法预防目的的考量,刑事合规同样具有程序出罪的法理逻辑。

The unit decriminalization in corporate criminal compliance emphasizes that the enterprises may be exempt from criminal liability with an effective compliance system,under the premise of possibly bearing criminal risks.The criminal compliant decriminalization includes substantive crimes and procedural crimes,which are not only conducive to ensuring the healthy development of private enterprises and contributing to the reform of the national judicial system,but also can effectively replace criminal penalties and highlight the incentive role of criminal law.To understand substantive decriminalization of criminal compliance,the unit crime should not be determined by the behaviors of the natural person,however,it is the doctrine of organizations'criminal responsibility that determines,which looks for the basis for the punishment of the unit crime from factors of the organization itself,such as the system or policies.Also,the criminal compliance has the legal logic of procedural crime,based on the consideration of consensual justice,restorative justice,and the preventive purpose of criminal law.