我国企业刑事合规第三方监督评估问题研究

Third-Party Supervision and Evaluation for the Compliance of Enterprises Involved in Criminal Cases

在企业刑事合规改革中,第三方监督评估机制的建立立足于解决对涉案企业进行合规监管的问题。第三方组织监督评估的实质不仅是有组织的社会力量参与刑事司法,也是社会力量参与社会治理的体现。第三方组织监督评估具有客观、中立、专业等优势。在第三方监督评估过程中,第三方组织承担审查合规计划、监督合规计划实施以及评估合规整改情况的职责,检察机关对第三方组织履职进行组织、指引及监督。目前在制度层面,仍需进一步优化第三方组织的责任承担形式,平衡检察机关主导地位与第三方组织独立性之间的关系,并从回避机制、合规考察书面报告的争议解决以及程序公开等角度完善第三方组织监督评估的运行程序。

In the compliance reform of enterprises involved in criminal cases,a third-party supervision and evaluation mechanism is established to solve the problem of compliance supervision of enterprises involved,which symbolizes the participation of social forces in criminal justice and social governance.Objective,neutral and professional,the third-party organization reviews the compliance plan,supervises its implementation,and evaluates the compliance rectification,and at the same time,it is guided and supervised by the prosecutors.It is pointed out that at present it is still necessary to further optimize the form of the third-party organization's responsibility,balance the relationship between the leading position of the procurators and the independence of the third-party organization,and improve the operating procedures of the third-party organization supervision and evaluation in terms of avoidance mechanism,dispute resolution of the written report of compliance inspection and procedure disclosure.