企业合规不起诉中检察裁量权的合理规制  

The Reasonable Regulation of Prosecutorial Discretion in Corporate Compliance Non-prosecution

作　　者：张旭东 ZHANG Xudong(Southwest University of Political Science and Law,Chongqing 401120,China)

机构地区：[1]西南政法大学,重庆401120

出　　处：《西南政法大学学报》2023年第3期18-33,共16页Journal of Southwest University of Political Science and Law

基　　金：西南政法大学智能司法研究院2022年度合规专项课题“企业合规量刑激励机制研究”(ZNHG2022K11)。

摘　　要：当下我国对企业合规不起诉制度的改革探索是以检察机关为主导而展开的,检察裁量权的扩张是推动改革前行的必然要求,权力滥用的风险也随之产生。企业合规不起诉的运行包含程序启动、达成协议、合规考察与评估决策四个阶段,检察裁量权的行使贯穿始终。通过对现有指导性规范的分析与试点实践的考察发现,裁量权行使的过程存在诸多问题,试点实践中形成的由“内部约束机制”与“外部监督机制”组成的混合型权力规制模式存在一定不足,未能充分发挥对检察裁量权的规制作用。通过完善案件遴选机制,建立明确的合规监管模式选择机制,建立健全司法公开程序与权利救济机制等举措,可以在一定程度上实现对检察裁量权的有效规制。At present,the reform and exploration of the corporate compliance non-prosecution system in China have been promoted by the procuratorial organs.The expansion of prosecutorial discretion is an inevitable requirement for promoting reform,and the risk of power abuse is also generated.The operation of corporate compliance non-prosecution includes four stages:the procedure initiation stage,the agreement stage,the compliance inspection stage and the evaluation decision stage.The exercise of prosecutorial discretion runs through the whole process of mechanism operation.Through the analysis of the existing guiding norms and the investigation of the pilot practice,there are many problems in the process of exercising procuratorial discretion.The main reason is that the mixed power regulation mode formed in the pilot practice,consisting of the“internal constraint mechanism”and“external supervision mechanism”,has certain deficiencies,which fails to give full play to the regulatory role of the procuratorial discretion.The system can be improved by enhancing the case selection mechanism,establishing a clear compliance supervision mode selection mechanism,and establishing and perfecting the judicial open procedure and right relief mechanism,in order to achieve effective regulation of procuratorial discretion.

关 键 词：企业合规不起诉 检察裁量权 监督与制约 

分 类 号：DF73[政治法律—诉讼法学]