我国企业合规不起诉的实践样态与建构路径  

Practice Pattern and Construction Path of Non-prosecution of Enterprise Compliance in China

作　　者：朱良 ZHU Liang

机构地区：[1]华中师范大学法学院 [2]武汉大学诉讼制度与司法改革中心

出　　处：《北方法学》2022年第5期136-145,共10页Northern Legal Science

基　　金：中国法学会部级法学研究课题“监察法与刑事诉讼法衔接的三重路径”[CLS(2021)D66];广东省检察院检察理论研究课题“侵害未成年人强制报告制度研究”(GDJC202115)的阶段性成果。

摘　　要：企业合规不起诉是推动检察机关深入参与社会治理和主动延伸检察职能的重要创新举措。最高人民检察院在试点地区推行企业合规不起诉制度,既是优化营商环境,保护民营企业的政策要求,也是主动延伸检察职能,激活不起诉裁量权的应有之义,还是现代刑事司法模式转换,犯罪惩罚轻缓化的时代趋势。目前,我国企业合规不起诉主要内嵌于相对不起诉制度之中,具有放过“企业和企业家”之双重效果,其主要适用于中小微型企业实施的轻微犯罪,并与听证制度、第三方机制以及认罪认罚从宽制度结合紧密。实践中,其还存在检察机关自由裁量权滥用、涉案企业合规考察期限过短、企业有效合规标准不明确以及合规监督管理机制失灵等问题。在未来发展中,应当及时修改法律建构独立的企业合规不起诉制度,确定一定幅度的合规期限并设定科学的监管体制和合理规制检察机关的自由裁量权。Non-prosecution of enterprise compliance is an important innovative measure to promote procuratorial organs to deeply participate in social governance and actively extend procuratorial functions.The Supreme People’s Procuratorate’s implementation of the enterprise compliance non-prosecution system in the pilot areas is not only the policy requirement of optimizing the business environment and protecting private enterprises,but also the due meaning of actively extending the procuratorial function and activating the discretion of non-prosecution,but also the trend of the transformation of modern criminal justice mode and the mitigation of criminal punishment.At present,China’s enterprise compliance non prosecution is embedded in the relative non-prosecution system,which has the dual effect of letting go of“enterprises and entrepreneurs”.It is mainly applicable to minor crimes of small and medium-sized micro enterprises,and is closely combined with the hearing system,the third-party mechanism and the leniency system of confession and punishment.In practice,there are also problems such as abuse of the discretion of the procuratorial organs,the short period of compliance inspection of the enterprises involved in the case,the unclear effective compliance standards of the enterprises,and the failure of the compliance supervision and management mechanism.In the future development,the Criminal Procedure Law and relevant laws and regulations should be revised in a timely manner,an independent enterprise compliance non-prosecution system should be established,a certain range of compliance periods should be determined,and a scientific regulatory system and reasonable regulation of the discretion of procuratorial organs should be set.

关 键 词：企业合规 合规监管 合规不起诉 审查起诉 

分 类 号：DF71[政治法律—诉讼法学]