首页|企业合规附条件不起诉的适用范围:试点经验与法理反思

企业合规附条件不起诉的适用范围:试点经验与法理反思

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作为一种新型企业合规整改的创新举措,附条件不起诉在学界形成了三种立法进路,即"认罪认罚融合说""特别程序独立成章说""特别程序+企业合规法并行说".从地方检察院的试点情况来看,合规附条件不起诉尚处于"摸着石头过河"阶段,取得了一定的试点成效,激励和督促部分涉罪企业建立了合规体系,但同时存在着适用对象类别偏差、范围狭窄等问题.有必要从企业独立意志理论、起诉便宜主义、修复性司法理论三个法理维度重新审思适用范围,适用主体应区分企业责任和员工责任,并以是否具有企业独立意志明确归责方式;适用刑期可以适当提高,一般可适用于判处五年以下有期徒刑的单位刑事案件.这样的设置,一方面考量到涉罪单位和个人的人身危险性、社会危害性、认罪悔罪表现、被害人谅解及修复情况等因素;另一方面,便于检察机关通过评估企业合规建立或整改的可能性以及犯罪危害行为的可修复性,进而综合裁量决定是否适用附条件不起诉.
Subject:Application Scope of Conditional Non-prosecution for Corporate Compliance:Pilot Experiences and Jurisprudential Re-flections
As an innovative type of corporate compliance reform,conditional non-prosecution has formed three distinct legislative approaches in the academia,namely the"plea leniency fusion model",the"special procedure in separate chapter model",and the"parallel model of special procedures & corporate compliance act".Grounded in the local procuratorate's pilot exploration,the application of conditional non-prosecution in the corporate compliance is still at the stage of"groping for stones to cross the river".It has yielded initial successes,stimulating and urging some enterprises involved in crime to establish compliance sys-tems,while there are problems such as deviations in the categories of eligible objects and a narrow applicable scope.To address these limitations,it is necessary to rethink the application scope from three jurisprudential dimensions:the theory of independent corporate volition,the doctrine of prosecution discretion,and the theory of restorative justice.The applicable subjects should dis-tinguish between corporate responsibility and employee responsibility,and clarify the way of imputation by whether or not there is independent corporate volition.The applicable sentence can be appropriately increased,generally suited to criminal cases invol-ving entities that could receive a sentence of less than five years'imprisonment.Such a setting takes into account,on the one hand,the personal danger,social harm,repentance,understanding and repair of the victim,and other elements associated with the crime-involved entity and individual;on the other hand,the prosecutorial authorities decide whether to apply conditional non-prosecution by comprehensively supervising and assessing the possibility of compliance establishment or rectification of the enter-prise,as well as the reparability of the criminal harm,based on a comprehensive discretionary decision.

Corporate ComplianceApplication Scope for Conditional Non-prosecutionthe Theory of Independent Corporate Vo-litionthe Doctrine of Prosecution Discretionthe Theory of Restorative Justice

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重庆大学法学院,重庆 400444

企业合规 附条件不起诉适用范围 企业独立意志理论 起诉便宜主义 修复性司法理论

国家社会科学基金一般项目

21BFX182

2024

法学论坛
山东省法学会

法学论坛

CSTPCDCSSCICHSSCD北大核心
影响因子：1.873
ISSN：1009-8003
年,卷(期)：2024.39(1)
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