刑事合规的准入标准与激励规则

Access Standards and Incentive Rules for Criminal Compliance

当前,我国涉案企业合规司法实践在一定程度上存在刑事合规激励对象泛化、不平等,罪刑失衡及自然人重罪合规不诉等有违刑事法治基本原理和规则的现象。该现象反映出了刑事合规的准入标准过宽与激励规则不明等问题。刑事合规准入应当限缩涉企犯罪案件范围,并在此基础上采取形式与实质要件相结合的审查标准。其中,形式要件包括准入条件与负面清单,实质要件包括以悔罪表现为核心的预防必要性考量与以社会贡献或发展前景为核心的社会公益考量。除涉企责任事故类过失犯罪外,不能对被害企业或者仅因普通员工实施了涉企犯罪就对未涉罪企业启动合规监管。为保障刑事合规连带激励的合法性、公平性与正当性,有必要对其适用设置必要性、罪责较轻及罪刑均衡等限制条件,且没有理由将非领导职务的直接责任人员排除在激励对象之外。

The current judicial practice of corporate compliance in China has the phenomena that violates the basic principles and rules of the criminal rule of law,such as the generalization of criminal compliance incentive objects,inequality,imbalance between crime and punishment,and the nonprosecution of natural persons for serious crimes.This phenomenon reflects the problems of too wide access standards and unclear incentive rules for criminal compliance.The criminal compliance access should first limit the scope of criminal cases involving enterprises,secondly adhere to the review standard of combining the formal and substantive elements,in which the formal elements include the access conditions and negative list,and the substantive elements include the consideration of the necessity of prevention centered around the expression of repentance and social public welfare focused on social contribution and development prospects.In addition to the negligent crimes,it is not allowed to start compliance supervision on the victim enterprise or enterprises not involved in crimes just because ordinary employees have committed crimes involving enterprises.In order to ensure the legitimacy,fairness and legitimacy of the joint incentives for criminal compliance,it is necessary to set restrictions on its application,such as the necessity,slight criminal and balance between crime and punishment,and there is no reason to exclude the directly responsible persons who are not leaders from the incentive objects.