论刑事合规不起诉中的检察建议——以最高人民检察院第81号指导性案例为视角

On Procuratorial Recommendations in Non-Prosecution of Criminal Compliance:From the Perspective of the Supreme People's Procuratorate Guiding Case No.81

我国各地检察机关在办理企业犯罪案件中自发探索刑事合规不起诉制度,其中,合规监管型检察建议在刑事合规不起诉中具有承上启下的重要地位。合规监管型检察建议是检察机关拟对涉罪企业做不起诉处理时,基于对企业经营、管理状况的调查和评估,就如何推动企业合规经营所提出的检察建议。它既为涉罪企业开展合规建设提供了参考和指引,也是检察机关在后期考察涉罪企业合规改进状况进而决定是否不起诉的重要依据。合规监管型检察建议与检察机关在刑事合规案件中提出的量刑建议、检察意见存在本质区别,也承载着有别于传统检察建议的制度功能。从我国刑事合规的实践探索来看,合规监管型检察建议存在具体指向型和概括引导型、检察建议前置型和检察建议后置型等不同模式,其各自适用条件、运行机制、法律效果等并不相同。为了保障合规监管型检察建议过程的正当性和内容的科学性,应建立企业犯罪案件的社会调查、合规听证等配套制度。

Prosecutors in various parts of China have spontaneously explored the criminal compliance non-prosecution system in handling corporate crime cases. Among them, compliance supervision procuratorial recommendations play an important role. Compliance supervision procuratorial recommendations are procuratorial recommendations on how to promote corporate compliance operations based on the investigation and evaluation of the company’s business and management status when the procuratorial agency intends not to prosecute the company involved in the crime;Procuratorial Recommendations provide reference and guidance for compliance construction and become an important basis for prosecutors when deciding whether to prosecute or not. Compliance supervision procuratorial recommendations are essentially different from the sentencing recommendations and procuratorial suggestions, and also carry system functions that are different from traditional procuratorial recommendations. Judging from the practice exploration of criminal compliance in China, there are different modes of compliance supervision procuratorial recommendations, such as ‘specific orientation’ and ‘general guidance’, ‘pre-procuratorial recommendations’ and ‘post-procuratorial recommendations’, which lead to different applicable conditions, operating mechanisms, and legal effects. In order to ensure the legitimacy of the compliance supervision procuratorial recommendations, social investigations and compliance hearings of corporate crimes should be established.