效率原则下企业知产刑事合规制度的规范建构

Normative Construction of Criminal Compliance System for Enterprise Intellectual Property under the Principle of Efficiency

企业知产刑事合规建设不仅必要而且可行。但囿于知识产权案件的特殊属性,合规建设中仍然面临着启动适用存在争议、计划制定存在难题、有效实施存在障碍和评估验收存在挑战的困境。经济学中的效率原则与知产刑事合规蕴含的价值追求相契合,可以为其困境解决和制度建构提供充足的学术供给。在效率原则指导下,启动阶段,合规适用的企业应当大小规模皆宜、适用的罪名应当轻罪重罪兼有,启动程序应当扩展至侦诉审整个流程;制定阶段,合规计划应该在知产第三方组织的指导下进行针对性和差异化的制定;实施阶段,空间和技术上应分别建立知产合规异地协作工作机制和智慧知产合规监管平台;评估阶段,应以知产第三方机构为评估人员,以实质和分类评估为标准,以企业自行承担、政府补充承担为评估费用承担方式。

The construction of corporate intellectual property criminal compliance is not only necessary but also feasible.However,due to the special attributes of intellectual property cases,the construction of compliance still faces the dilemmas of controversial application,difficult program development,obstacles to effective implementation,and challenges in evaluation and acceptance.The principle of efficiency in economics is in line with the value pursuit of intellectual property criminal compliance,which can provide sufficient academic supply for the solution of the dilemma and system construction.Under the guidance of the principle of efficiency,at the initiation stage,the enterprises to which compliance applies should be of all sizes and scales,the applicable crimes should be both misdemeanors and felonies,and the initiation procedure should be extended to the entire process of investigation,prosecution,and trial;at the formulation stage,the compliance plan should be formulated with specificity and difference under the guidance of the third-party organizations of the intellectual property industry;at the implementation stage,the spatial and technological mechanisms of off-site collaboration in the field of intellectual property compliance and the intellectual property compliance monitoring platform should be established respectively;at the assessment stage,the evaluation stage,the space and technology should be established.In the assessment phase,the third-party intellectual property organization should be the assessor,the substantive and categorical assessment should be the criterion,and the assessment costs should be borne by the enterprises themselves and supplemented by the government.