刑事合規的准入標準與激勵規則

Access Standards and Incentive Rules for Criminal Compliance

當前；我國涉案企業合規司法實踐在一定程度上存在刑事合規激勵對象泛化、不平等；罪刑失衡及自然人重罪合規不訴等有違刑事法治基本原理和規則的現象。該現象反映出了刑事合規的准入標準過寬與激勵規則不明等問題。刑事合規准入應當限縮涉企犯罪案件範圍；並在此基礎上採取形式與實質要件相結合的審查標準。其中；形式要件包括准入條件與負面清單；實質要件包括以悔罪表現為核心的預防必要性考量與以社會貢獻或發展前景為核心的社會公益考量。除涉企責任事故類過失犯罪外；不能對被害企業或者僅因普通員工實施了涉企犯罪就對未涉罪企業啟動合規監管。為保障刑事合規連帶激勵的合法性、公平性與正當性；有必要對其適用設置必要性、罪責較輕及罪刑均衡等限制條件；且沒有理由將非領導職務的直接責任人員排除在激勵對象之外。

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.