审判阶段涉案企业合规改革检法衔接协同问题探究

Research on the Coordination of Enterprise Compliance Reform Betweenthe Procuratorates and Courts in the Trial Stage

人民法院如何接纳、吸收检察机关已经取得的合规成果,可以从厘清“检察主导”与“以审判为中心”的诉讼法律关系、调试企业合规与认罪认罚从宽的关系以及处理合规运行中的技术情形等三方面探究。“检察主导”与“以审判为中心”在合规启动决定权归属、合规过程掌控权以及合规成果转化等方面存在矛盾。检法的合规控制权冲突可以被调和,检察机关侧重于过程控制,审判机关侧重于实体控制。企业合规可与认罪认罚从宽制度融合构建,且是认罪认罚从宽制度在单位犯罪治理方面的深化,可通过认罪因素对合规的影响、量刑建议在合规中的定位、量刑建议材料优化等角度描述二者的融合表现。企业合规的适用条件应当符合改革目的,需关注审前合规与审判合规的衔接,法院为合规顺利开展提供的诉讼技术支持,以及撤回起诉的程序法与实体法区别等问题。人民法院应以“独立评估”模式参加一审阶段的企业合规,以“法院主导”模式参加二审上诉阶段的企业合规。

How people’s courts accept and absorb the compliance achievements made by procuratorial organs can be explored from three aspects:clarifying the legal relationship of litigation between “procuratorial dominance” and “trial as the center”,adjusting the relationship between enterprise compliance and leniency in guilty plea,and dealing with the technical situation in compliance operation.There are contradictions between “procuratorial dominance” and “trial as the center” in terms of ownership of compliance initiation decision-making power,control of the compliance process and conversion of compliance results.The conflict of compliance control power between procuratorial organs and judicial organs can be reconciled,with the procuratorial organs focusing on process procedural control and the judicial organs focusing on entity control.Enterprise compliance can be integrated with the leniency system of guilty plea,and it is the deepening of the leniency system of guilty plea in the management of unit crime.The integration performance of the two can be described from the perspectives of the impact of“guilty plea” on compliance,the positioning of “sentencing recommendation” in compliance,and the optimization of sentencing recommendation materials.The application conditions of enterprise compliance should be in line with the purpose of reform,and it is necessary to pay attention to issues such as the connection between pre-trial compliance and trial compliance,litigation technical support provided by the court for the smooth development of compliance,and the difference between procedural law and substantive law for withdrawing lawsuits.The people’s court should participate in the enterprise compliance at the first instance stage through an “independent evaluation” mode,and participate in the enterprise compliance at the second instance appeal stage in the mode of “court dominance”.