论涉案企业合规第三方组织的法律地位

On the Legal Status of the Third-party Organization in the Corporate Criminal Compliance

第三方组织是因应涉案企业合规改革需要而产生的临时性组织。既有改革文件虽强调第三方组织的重要作用,却对第三方组织的法律地位语焉不详。关于第三方组织法律地位的法理学说分歧较大,实务立场又明显有别。对此,应当从第三方组织与检察机关之间的关系出发,肯定第三方组织的履职行为具有公益性质,辨明第三方组织是协助检察机关履行特定诉讼职能的组织。顺应刑事诉讼法修改趋势,需要综合采取以下举措:一是将第三方组织写入《刑事诉讼法》且将第三方组织组成人员归入诉讼参与人的范围;二是严格规范第三方组织因履职需要而行使的职权与承担的义务;三是建立健全与第三方组织的法律地位相契合的专业人员选任管理制度;四是确定第三方组织制作的合规考察书面报告的证据能力及其法律效力。如此,方能科学确立第三方组织的刑事诉讼法律地位,为探寻我国单位犯罪案件诉讼程序立法路径提供理论支持。

The third-party organization(the TPO)is a temporary one created in response to the needs of the pilot reform of corporate criminal compliance.Although the existing reform documents emphasize the important role of TPO,they only have vague stipulation on the legal status of TPO.The legal theories on the legal status of TPO are quite contradictory,and the practical positions are obviously different.Therefore,it is imperative to,from the perspective of the relationship between the TPO and the procuratorial organs,recognize the duty performance of TPO as featuring public interest,and clarify the TPO as an organization that assists the procuratorial organs in performing certain litigation functions.In compliance with the trend of amending the Criminal Procedure Law(the CPL),it is necessary to comprehensively take the following actions:First,to write the TPO into the CPL and include its members in the scope of litigation participants;Second,to establish clear norms on the functions and obligations of the TPO for performing its duties;Third,to establish and improve the system of appointing and managing specialists that is consistent with the legal status of the TPO;Fourth,to clarify the evidentiary capacity and legal effect of a written compliance examination report prepared by the TPO.Thus,the legal status of the TPO in criminal procedure can only be scientifically established,so as to provide intellectual support for exploring the approach of p rocedural legislation on unit crime cases in China.