刑事合规与认罪认罚从宽的融合 企业合规从宽制度研究

Integration of Criminal Compliance and Leniency System for Confessions and Punishments:Research on Corporate Compliance Leniency System

刑事合规目前在我国处于从理念引入向制度构建的过渡阶段,构建思路亟需明确。从制度内核相似性与制度构建经济性的角度分析,刑事合规与认罪认罚从宽的融合构建具有较大优势,也在改革试点中被逐渐接受。企业合规从宽制度的构建,需从企业认罪认罚的方式、从宽的种类、认罪认罚有效性审查及配套机制等方面展开。具体而言,涉罪企业通过构建合规计划实现认罪认罚,并可就起诉与否及罚金数额等问题与检察机关协商。在从宽方面,对涉罪企业的实体从宽可在诉讼全流程体现,只是程序从简与强制措施从缓的实现,需要厘清合规考察期与诉讼期限的关系,设立对企业的强制措施。认罪认罚有效性是从宽的前提,其核心是合规计划的有效性,应符合有效合规计划的标准并由适合的第三方组织进行审查。此外,刑事合规与认罪认罚从宽制度的融合,还将对涉企案件的证据与证明、救济措施的样态以及刑事辩护的重心产生较大影响,需进行有针对性的分析构建。

As the transitions from value transplantation to institutional development in China,it is of urgent need to clarify ways to construct the criminal compliance system.Based on the perspective of the similarity of two systems and the economy of system construction,the integration of criminal compliance and leniency system for confessions and punishments has greater advantages and is also gradually accepted in the pilot reforms.The establishment of corporate compliance leniency system needs to be carried out from the aspects of the way enterprises plead guilty and accept punishments,the types of leniency,the review of the validity of the guilty plea and punishment acceptance and other supporting mechanisms.Specifically,companies involved in crimes will be able to plead guilty and accept punishments through the construction of a compliance program,and may negotiate with the prosecutors on issues such as whether to prosecute or not and the amount of fines.In terms of leniency,the entity leniency for perpetrating enterprises can be reflected in the entire process of litigation,except for the realization of procedural simplicity and the mitigation of coercive measures,which requires not only clarifying the relationship between the compliance inspection period and the litigation period but also establishing coercive measures for enterprises.The validity of guilty plea and punishment acceptance is a prerequisite for leniency,the core of which is the validity of the compliance program,which should meet the criteria of an effective compliance program and be reviewed by a suitable third-party organization.In addition,the integration of corporate criminal compliance and leniency system will also have a greater impact on the evidence and proof,the type of relief measures and the focus of criminal defense for enterprise-related cases.Therefore,the integration of corporate criminal compliance and leniency system calls for a well-targeted analysis and construction.