我国企业合规不起诉的实践困境与出路探析

Analysis on the practical difficulties and solutions of non-prosecution for corporate compliance in China

企业合规不起诉是我国法治化营商环境建设的重大制度创新。分析最高人民检察院发布的四批企业合规典型案例可以发现,我国企业合规不起诉的适用范围,主要为民营企业与中小微企业;涉案罪名分布较集中,适用案件范围主要为轻罪案件;案件处理决定多为“双不起诉”;合规考察期限一般在3个月及以下。实践中,企业合规不起诉存在着运行模式与不起诉条件相冲突、“双不起诉”的正当性受到质疑、合规不起诉的适用范围及合规考察期限不明确等现实困境。在未来的制度完善过程中,应当构建独立的企业合规不起诉制度,严格区分企业责任和个人责任,明晰企业合规不起诉的适用范围,确定一定幅度的合规考察期限。

Non-prosecution for corporate compliance is a major institutional innovation in the construction of China’s legalized business environment.An analysis of four batches of typical corporate compliance cases released by the Supreme People’s Procuratorate shows that the applicable scope of non-prosecution for corporate compliance in China is mainly private enterprises and small,medium and micro enterprises;the crimes involved are relatively concentrated,and the scope of applicable cases is mainly misdemeanor cases;most of the decisions are“double non-prosecution”;and the compliance inspection period is generally 3 months or less.In practice,there are practical difficulties in non-prosecution for corporate compliance,such as the conflict between the operating model and the conditions for non-prosecution,the legitimacy of“double non-prosecution”being questioned,and the unclear scope of application of non-prosecution for compliance and the unclear compliance inspection period.In the process of improving the system in the future,an independent non-prosecution system for corporate compliance should be established to strictly distinguish corporate responsibilities and personal responsibilities,clarify the applicable scope of non-prosecution for corporate compliance and determine a certain range of compliance inspection periods.