企业合规不起诉法院司法审查的理据、模式和路径

The Reason,Mode and Path of Judicial Review in Corporate Compliance Non-prosecution System

企业合规不起诉由检察机关闭环运作,引发了对检察权异化的担忧以及程序正当性的追问。宪法、刑事诉讼法对法检权力以及相互关系的基本定位,起诉法定主义与便宜主义相结合的诉讼制度,决定了我国检察机关只具有有限的起诉裁量权。对涉嫌重罪的企业直接合规不起诉,逾越了起诉裁量权的范围。企业合规改革需要挖掘法院的角色定位与功能。中国特色的合规不起诉制度,应根据企业犯罪的轻重分别采取附条件不起诉制度和暂缓起诉制度。前者适用于检察机关起诉裁量权范围内涉嫌轻罪的企业,其是否不起诉由检察机关独立决定,无需法院司法审查;后者适用于涉嫌重罪的企业,其是否不起诉需要通过法院司法审查决定。法院的司法审查应是实质性的,是否满足重大社会公共利益的需要以及是否存在预防刑、责任刑的削减是审查的重点。同时,对于已经起诉的涉企犯罪,法院也需要主动进行审查,包括有无事前合规计划以及评估事后合规整改的可行性,并依据企业合规的情况予以妥当处理,以建构企业合规不起诉法院司法审查的制度。

The compliance non-prosecution system is operated by the procuratorial organs in a closed loop,so it makes people worry about the alienation of procuratorial power and the inquiry about procedural legitimacy.The basic orientation of the constitution and criminal procedure law on the judicial and procuratorial power as well as the mutual relationship,the litigation system of combining the doctrine of legal prosecution and prosecuting discretion,decides that the procuratorial organs in China only have limited prosecutorial discretion.Implementing the corporate compliance non-prosecution system directing to those enterprises suspected of a felony is beyond the scope of prosecutorial discretion.Corporate compliance reform needs to explore and shape the role of the court and its function.The compliance non-prosecution system with Chinese characteristics should adopt the conditional non-prosecution system and the deferred prosecution system respectively according to the seriousness of the enterprise crime.The former applies to enterprises suspected of misdemeanors within the procuratorial organs'discretion.Whether or not to prosecute shall be decided independently by the procuratorial organs without judicial review.The latter applies to enterprises suspected of felonies,and whether or not to prosecute requires judicial review.The judicial review of the court should be substantive.The focus of the review should be whether it meets the needs of the social and public interests and whether there is a reduction of preventive and liability punishment.At the same time,the courts also need to take the initiative to examine the corporate compliance that has been prosecuted for corporate crimes,including whether there is an ex-ante compliance plan and the feasibility of starting the ex-post compliance rectification.The court should properly deal with the situation of corporate compliance,to finally realize the institutional arrangement of judicial review in the corporate compliance non-prosecution system.