论企业合规考察的适用条件  

On the Conditions for Application of Enterprise Compliance Inspection

作　　者：李奋飞[1] LI Fenfei(Law School,Renmin University of China,Beijing 100872,China)

机构地区：[1]中国人民大学法学院,北京100872

出　　处：《法学论坛》2021年第6期31-43,共13页Legal Forum

基　　金：2020年国家社科基金年度一般项目《以对质为核心的刑事法庭调查规程研究》(20BFX093)的研究成果。

摘　　要：企业合规改革的大力推行,不仅会影响乃至改变检察机关在企业犯罪治理中的角色扮演,也将带来检察裁量权在涉企刑事案件中的扩张,尤其是在合规考察对象的准入上,检察机关必然拥有较大的裁量权。为提升涉罪企业合规考察制度的公信力,消除社会公众的疑虑和担忧,减少企业合规改革可能出现的各种风险,有必要立足制度建构,以域外企业犯罪暂缓起诉协议和不起诉协议的适用为镜鉴,结合一些试点检察机关对合规考察制度的初步探索,从对象条件、证据条件、公益条件、配合条件、合规条件、补救条件等6个方面,对合规考察制度的适用条件进行评析和重塑,以为合规考察制度的适用确立更多的约束条件。此外,还应考虑在合规考察对象准入上引入公开听证程序,并将合规考察案件交由设区的市级以上人民检察院办理。唯有如此,才能有效规范检察机关在合规考察对象准入上的自由裁量权。The active promotion of enterprise compliance reform will not only influence and even change the role of the procuratorial authority in the governance of corporate crimes, but also result in the expansion of procuratorial discretion in enterprise-related criminal cases, especially the procuratorial authority will have greater discretion on the access of compliance inspection objects. For the purpose of promoting the credibility of compliance inspection system for case-related enterprises, eliminating the concerns and worries of the public, and lowering possible risks of enterprise compliance reform, it is necessary to evaluate and reconstruct the conditions for application of the compliance inspection system from the perspective of system construction. This paper attempts to set up more restrictive conditions for the application of compliance inspection system from six aspects, namely the condition of object, the condition of evidence, the condition of public interest, the condition of cooperation, the condition of compliance, and the condition of remedy, by referring to the application of deferred prosecution and non-prosecution agreements of overseas corporate crimes, and combining the tentative exploration on compliance inspection system of some pilot procuratorial authority. Furthermore, it is worthy of consideration to introduce public hearing procedure in the access of compliance inspection object and to allow the procuratorial authority at or above the level of districted city to handle compliance inspection cases. When all the above conditions were met, can the discretion of the procuratorial authority on the access of compliance inspection object be effectively restricted.

关 键 词：合规考察 适用条件 企业合规改革 检察裁量权 企业犯罪治理 

分 类 号：D915[政治法律—诉讼法学]