刑事合规计划的理论解构与标准形塑

Theoretical Deconstruction and Standard Shaping of the Criminal Compliance Program

制定有效刑事合规计划的标准是我国推进涉案企业合规改革必须解决的问题。在合规泛化的理论氛围下,需明确刑事合规计划是企业为防范自身构成刑事犯罪风险所建立的内部管理制度。我国检察机关、法院在主导制定刑事合规计划标准时,应先出台刑事综合合规计划标准,再据此制定各类刑事专项合规计划标准。在制定刑事综合合规计划标准时,需要将“以风险为导向”落到实处,兼顾“去犯罪化”和“体系化”,借鉴域外标准加强风险“针对性”的设计经验,鼓励企业探寻合规标准背后的价值目标,而非形式化地落实各项指标。应在第三方监督评估机制试行阶段确立的合规六要素基础上,将我国小企业的标准执行难题考虑在内,制定适度具体化的刑事合规计划司法评价标准。

We must formulate an effective criminal compliance standard to promote the corporate compliance reform in China.Under the theoretical“pan-compliance”trend,it is necessary to clarify that criminal compliance program is mainly an internal management system established by enterprises to prevent their risks of criminal crimes.When formulating the criminal compliance standard,the procuratorate and the court should first issue the standard for comprehensive criminal compliance programs and then illustrate the standard for compliance programs in specific areas.In designing the comprehensive criminal compliance standard,it is necessary to adopt a“risk-oriented”approach,take into account the“decriminalization”and“systematization”,learn from the foreign experience against the lack of pertinence of risks,and encourage enterprises to explore the values behind the compliance standard rather than implement the indicators.Based on the six elements for compliance established in the pilot third-party supervision and evaluation mechanism,the procuratorate should take into account the difficulties in standard implementation of small enterprises in China,so as to formulate appropriately specified judicial evaluation standards for criminal compliance.