美国法人审前转处协议制度的发展

发布时间：2018-05-16 14:46

  本文选题：法人犯罪 + 审前转处协议　； 参考：《中国刑事法杂志》2014年03期

【摘要】：审前转处协议,肇端于少年微罪案件的处理。20世纪90年代初,联邦检察官将其扩张适用于法人犯罪案件。"后安然"时代,审前转处协议成为处理上市公司、跨国公司犯罪案件的常规模式。这种模式最大的特征是:在未经法院定罪和量刑的前提下,仍可以要求涉罪法人履行缴纳罚金、支付损害赔偿金、聘任独立监事、撤换公司高管等法律义务,因而是一种无需定罪的惩罚。这一制度勃兴的逻辑基础是要避免刑罚的水波效应—起诉和定罪法人对与法人犯罪行为无关的投资者、雇员、养老金领取者、客户等无辜的第三人利益的严重侵害。在法人审前转处协议的签订和履行过程中,检察官拥有一边倒的、几乎不受任何制约的裁量权,从而埋下权力滥用的空间。为此,美国司法部颁布了一系列有关起诉法人的诉讼指南,予以相应的内部规范。然而,内部制约机制总有其局限性,因而有必要引入外部制约机制,由法官对审前转处协议的内容及其履行进行相应的司法监督。
[Abstract]:The pretrial transfer agreement, which began in the handling of juvenile microcrime cases, was extended by federal prosecutors in the early 1990s to cases of corporate crime. " In the post-Enron era, the pre-trial transfer agreement has become the normal mode of dealing with the crime cases of listed companies and transnational corporations. The biggest characteristic of this model is that without the conviction and sentencing of the court, legal persons involved can still be required to fulfill their legal obligations, such as paying fines, paying damages, hiring independent supervisors, removing company executives, and so on. It is therefore a punishment without conviction. The logical basis of this system is to avoid the water wave effect of penalty-the prosecution and conviction of legal persons against the interests of innocent third parties, such as investors, employees, pensioners, clients and other innocent third parties that have nothing to do with the criminal acts of legal persons. In the process of signing and carrying out the agreement of legal person's pretrial transfer, the prosecutor has one-sided discretion, which is almost free from any restriction, thus burying the space for abuse of power. To this end, the U. S. Department of Justice issued a series of litigation guidelines for legal persons, to give corresponding internal norms. However, the internal restriction mechanism always has its limitation, so it is necessary to introduce the external restriction mechanism, and the judge should carry on the corresponding judicial supervision to the content and the fulfillment of the pretrial transfer agreement.
【作者单位】： 浙江大学光华法学院;
【基金】：光华教育基金会和浙江大学光华法学院两岸法治交流项目资助
【分类号】：D971.2
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本文编号：1897282