刑事合规不起诉审查要件:实践经验与反思重构

Elements of Criminal Compliance Non prosecution Review:Practical Experience and Reflection Reconstruction

刑事合规不起诉试点改革实践形成了许多有益经验,在适用范围与不起诉条件上的司法实践可供参照。值得注意的是,目前实践中还存在审查要件体系不够完善、整改要件评估不够细化、不起诉后的审查缺失等问题。在审查要件体系上,宜根据审查阶段划分为事前、事中、事后三阶段,并从主体、客观方面、主观方面三个要件审查是否启动合规程序;在事中审查方面,涉案企业整改验收不仅要关注合规制度性建设,还应当强调造成企业违法违规的文化诱因,将合规文化纳入考量;在事后审查方面,遵循事中审查的标准,同时就审查情况做好刑行衔接。

The pilot reform of criminal compliance non prosecution has formed many beneficial experiences,but currently there are still problems in practice,such as incomplete review requirements system,insufficient refinement of rectification requirements evaluation,and lack of review after non prosecution.In terms of the review requirements system,it is advisable to divide the review stage into three stages:pre review,during review,and post review,and examine whether to initiate compliance procedures from three aspects:subject,objective,and subjective;In terms of in-process review,rectification and acceptance should emphasize compliance cultural incentives and incorporate them into consideration;In terms of post examination,follow the standards of in process examination,and at the same time,ensure the connection between punishment and execution based on the examination situation.