论合规不起诉案件中有效合规的基本标准

The Basic Standards of Effective Corporate Compliance in Non-prosecution Cases

企业合规不起诉案件中,涉案企业进行了有效的合规整改,是检察机关对其作不起诉处理的主要依据,也是企业合规监督考察所希冀达成的直接目的。现行域内外合规标准体系在合规监督考察中的适用具有局限性。而依据适用主体的不同,合规有效性标准可划分为合规建设标准和评估标准,两者在技术指标的设置上具有内在一致性,实践中可不必作特别区分。未来我国企业合规有效性标准体系的本土化建构,应沿着“以体系化建设为基础,以针对性纠错为重点”的整体思路,检察机关或第三方监督评估组织可分别将涉案企业的犯罪根因分析、合规体系建设、犯罪诱因阻断作为有效合规的前置性标准、基础性标准和关键性标准,从而对企业合规整改之成效予以综合评定。

In corporate compliance cases,the procuratorial organ may make a decision of non-prosecution mainly grounded in the effective compliance rectification carried out by the company involved,which is also the direct goal that the corporate compliance supervision and inspection hope to achieve.The application of the current compliance standard system in China and abroad has limitations in compliance supervision and inspection procedures.According to the different applicable subjects,compliance effectiveness standards can be divided into compliance construction standards and evaluation standards,which are inherently consistent in the setting of technical indicators,and there is no special distinction needed to be made in practice.The localized construction of China’s effectiveness standard system of corporate compliance in the future should follow an overall strategy of“systematic compliance construction as the foundation and targeted error correction as the focus”.The procuratorial organs can respectively take the root cause analysis of the crime,the systematic compliance construction,and the blocking-up of the inducements of the crime as the pre-requisite,basic and key standards for the evaluation of compliance effectiveness,comprehensively assessthe effectiveness of enterprises’compliance rectification and continuously promote the pilot work of the corporate compliance reform in practice.