合规不起诉考察程序的启动条件--以最高检企业合规典型案例为样本

Initiation Conditions of the Compliance Non-prosecution Inspection Process--Taking the Typical Cases of Enterprise Compliance Reform Pilot of the Supreme People’s Procuratorate as a Sample

2021年6月和12月,最高人民检察院先后发布了两批企业合规典型案例,展示了检察机关适用合规不起诉制度,通过第三方监督评估机制督促和帮助企业进行合规整改和合规建设,保障企业稳定发展的实践探索。为保障合规不起诉制度的公平适用和合规考察的顺利进行,应当对合规不起诉考察程序的启动设置一定条件。对涉案企业启动合规考察程序应当满足三个条件:首先,涉案企业应当认罪认罚,承认指控的犯罪事实;愿意接受刑事或行政处罚,积极配合侦查并进行内部自查,采取相关恢复或补救措施。其次,企业应当具有合规能力,能够正常经营,保证合规考察的顺利进行和稳步推进。最后,企业应当作出合规承诺,承诺进行合规整改,加强合规建设,积极配合合规监管工作。

In June and December 2021,the Supreme People’s Procuratorate issued two batches of model cases of enterprise compliance,showing that the procuratorial organs apply the compliance non-prosecution system,through the third-party supervision and evaluation mechanism to supervise and help enterprises to carry out compliance rectification and compliance construction to ensure the stable development of enterprises.In order to ensure the fair application of the compliance non-prosecution system and the smooth progress of the compliance inspection,certain conditions should be set for the start-up of the compliance non-prosecution inspection procedure.Three conditions should be met for initiating the compliance inspection procedure for the enterprise involved in the case:First of all,the enterprise involved in the case should plead guilty and admit the facts of the alleged crime;be willing to accept criminal or administrative punishment,actively cooperate with the investigation and conduct internal self-investigation,and take relevant restoration or remedial measures.Secondly,the enterprise should have the compliance ability,be able to operate normally,and ensure the smooth progress and steady progress of the compliance inspection.Finally,enterprises should make compliance commitments,promise to carry out compliance rectification,strengthen compliance construction,and actively cooperate with compliance supervision.