涉案企业合规程序立法关系处理与制度框架

The Legislative Relationship Treatment and Institutional Framework of the Enterprise Compliance Involved in Cases

随着涉案企业合规改革在司法实践中的逐步深入和全面推进,探索建立中国特色涉案企业合规司法制度,并从立法论角度为该制度的规范发展和整体构建提供法治基础,成为理论界与实务界共同研究的重要问题。法条改造说和特别程序说是涉案企业合规程序立法的两种基本方案。应当考虑涉案企业合规与单位权益保护、认罪认罚从宽、程序出罪、行刑衔接、诉讼全流程等关系维度,确定涉案企业合规案件特别诉讼程序之立法路径。从程序定位、价值理念、对象特殊性和处理方式等来看,涉案企业合规案件诉讼程序与未成年人刑事案件诉讼程序具有诸多相似相通之处,除对涉案企业合规的特有制度进行设计以外,可以考虑将专门机构或专门人员办理、社会调查、附条件不起诉、犯罪记录封存等制度引入涉案企业合规程序,以此来构建涉案企业合规案件诉讼程序的总体制度框架。

With the gradual and comprehensive advancement of the enterprise compliance procedures reform involved in cases in judicial practice,exploring the establishment of a caseinvolved enterprise compliance justice system with Chinese characteristics and providing a rule of law basis for the normative development and overall construction of the system from the perspective of legislative theory has become an important issue in both theoretical and practical fields.Legal provision transformation and special procedure formulation theory are two fundamental approaches in the legislative process of on the enterprise compliance involved in cases.In terms of determining the legislative path of special procedures for the enterprise compliance involved in cases,dimensions such as the relationship dimensions of compliance with the protection of unit rights and interests,leniency on admission of guilty and acceptance of punishment,procedure out of guilt,the unification between the criminal and administrative,and the whole process of litigation should be considered.From the perspective of procedural positioning,value concepts,object specificity and treatments,the procedures of enterprise compliance involved in cases share many similarities with the procedures for juvenile criminal cases.In addition to designing unique system of enterprise compliance involved in cases,it is worth considering introducing the systems of specialized agencies or specialists,social investigation,conditional non-prosecution and criminal record sealing,as a way to build the overall institutional framework of the litigation procedure of compliance cases for involved enterprises.