数据合规刑事减免责功能的理解与适用

Understanding and Application of Criminal Responsibility Reduction Function of Data Compliance

随着数据日益成为重要犯罪对象,数据安全类犯罪逐渐转向企业行为,而罚金刑的威慑效果和预防效果较为有限,难以应对泛在的数据安全风险。我国引入具有预防与惩治双重面向的数据合规激励机制,在惩治企业违规数据处理行为的同时预防数据安全风险。涉案企业合规整改过程中,修复数据安全类犯罪保护的个人法益并重构数据安全管理秩序,替代性遭受处罚措施。多种制裁方式的灵活并用和预防性的数据合规体系是能够真正实现制裁效果和预防效果的实质制裁机制,涉案企业因而获得减免责的刑事激励及改过自新的机会。数据合规整改以包含认罪悔罪的整改承诺为前提,以开展针对性整改活动和规范数据处理流程为内容,以制定全方位监测措施为保障,以数据处理全流程的整改防控为核心,形成“风险预防—风险识别—违规应对”一体化的数据保护合规体系。数据合规体系贯穿刑事诉讼全流程,在侦查阶段、审查起诉阶段通过合规不起诉制度,在审判量刑阶段通过宽缓量刑或合规缓刑实现刑事减免责功能。

Data has increasingly become an important criminal object,and data security crimes have gradually turned to corporate behavior.The deterrent effect and prevention effect of fines are limited,and it is difficult to cope with ubiquitous data security risks.China has intro-duced a data compliance incentive mechanism with dual aspects of prevention and punishment to prevent data security risks while punishing illegal data processing behaviors of enterprises Repai-ring the personal legal interests of data security crime protection and reconstructing the data secur-ity management order in the compliance rectification of the enterprises involved,the flexible com-bination of various sanctions and the preventive data compliance system are the substantive sanc-tions mechanisms that can truly achieve the sanctions effect and prevention effect,thus the crimi-nal incentives and opportunities for the enterprises involved to reduce their responsibilities and turn over a new leaf Data compliance rectification takes the rectification commitment including confession and repentance as the premise,carries out targeted rectification activities and standard-izes data processing processes as the content,formulates all-round monitoring measures as the guarantee,and forms an integrated data protection compliance system of"risk prevention,risk identification and violation response"with the rectification and prevention of the whole process of data processing as the core.The data compliance system realizes the criminal responsibility reduc-tion function through compliance non-system in the investigation stage and compliance probation stage in the trial sentencing stage.