检察机关在侦查阶段推进企业合规的路径探索

Exploring the Path for Procuratorial Authorities to Promote Corporate Compliance in the Investigation Stage

在侦查阶段开展企业合规对于维护企业的正常经营、贯彻“少捕慎诉慎押”的刑事司法政策、提升合规案件的办理质效、破解审查起诉阶段合规考察期不足等问题均有裨益。检察机关在侦查阶段开展企业合规是履行国家法律监督职能,坚持公检法三机关分工负责、互相配合、互相制约原则的应有之义,既有坚实的法理支撑,也有相应的规范适用依据。实践中,检察机关在侦查阶段开展企业合规有“提请审核模式”“商请介入模式”“主动介入模式”三种。改革试点阶段可优先考虑“商请介入模式”,后根据地区差异、案情特点有针对性地选择其他两种。作为改革试点的一项创新探索,在侦查阶段开展企业合规必须严把合规启动的前提条件关口,细化公安机关与检察机关的职责分工,强化程序控制,以限制侦查权的扩张,确保合规检察官介入侦查的客观中立。

Carrying out corporate compliance in the investigation stage is of great benefit to maintaining the normal operation of enterprises,implementing the Criminal Justice Policy of“less arrest cautious prosecution and cautious custody”,improving the quality and efficiency of handling compliance cases,and solving the problems such as insufficient compliance inspection period in the examination and prosecution stage.It has a solid legal basis and a corresponding normative applicable basis for the procuratorial organ carrying out corporate compliance in the investigation stage is the due meaning of performing the national legal supervision function and adhering to the principle of division of responsibilities mutual cooperation and mutual restriction among the public security procuratorial and trial organs.Practically,there are three types of corporate compliance for the procuratorial organs in the investigation stage:“request for review mode”,“negotiated intervention mode”,and“active intervention mode”.In the pilot stage of reform,priority can be given to the“negotiated intervention mode”,then the other two can be selected according to regional differences and case characteristics.So as to limit the expansion of investigation power,and ensure the objectivity and neutrality of compliance prosecutors in investigation,as an innovative exploration of the reform pilot.During the investigation stage of corporate compliance,the preconditions for compliance startup must be strictly controlled,the division responsibilities of public security organs and procuratorial organs must be refined,and the procedural control must be strengthened.