论企业合规刑事化试点中的检察监督

On the Procuratorial Supervision in the Trial of Enterprise Compliance Criminalization

民营企业采取合规不起诉制度试点的法理根据是多方面的,包括企业优化治理结构、单位犯罪刑事责任承担方式和刑事诉讼认罪认罚从宽制度。检察机关首创对涉罪企业采取合规不起诉制度。第二期试点将刑事合规不起诉扩展至更广泛的区域。通过法律文本和实践运行情况可以发现,检察机关在不起诉企业实施合规行为中不仅要监督合规计划设计、合规程序执行以及合规实践效果,而且还需要监督第三方社会组织对合规企业监管的监督。企业刑事合规体系建设和合规不起诉制度是一项复杂的企业治理问题,同时也是一个刑事实践问题。对企业刑事合规项目或体系的设计及运行,检察机关不仅要在刑事程序中加以监督,而且在刑事程序终结以后,仍然应监督企业合规制度的运行实效。

The legal basis for private enterprises to adopt the pilot system of non-prosecution by compliance is in many aspects,including the optimization of corporate governance structure,the way of undertaking criminal responsibility for unit crimes and the leniency system of guilty plea in criminal proceedings. The procuratorial organ pioneered the non-prosecution system for enterprises involved in crimes. The second phase of the trial will extend non-prosecution of criminal compliance to a wider area. Through the legal text and practice,it can be found that on the hand,the procuratorial organ in the implementation of non-prosecution enterprise compliance behavior lack of supervision status,the other,the scope of supervision objects is narrow,the supervision content is unclear and the supervision effect of the lack of evaluation criteria and other problems. The construction of enterprise criminal compliance system and non-prosecution system is a complex enterprise governance problem as well as a criminal practice problem. As for the design and operation of enterprise criminal compliance projects or systems,the procuratorial organs should not only supervise the criminal procedure,but also supervise the effectiveness of the compliance system after the criminal procedure.