涉案企业刑事合规制度的程序法建构

Procedural Construction of Criminal Compliance Systems for Enterprises Involved in Crime

我国刑事法领域有关涉案企业合规改革在实践中取得一定成效,获得了社会各界的广泛认同,须适时总结相关经验并将其转化为法律规范。涉案企业合规的立法化是涉案企业合规改革激励机制真正走向制度化、规范化的根本之路,就程序建构的基本思路而言,增设涉案企业合规特别程序,将整改经验和制度创新在法律上加以确认和补充;重点构建附条件不起诉制度,以分案处理机制实现涉案企业与直接责任人员的罪责相称,以附条件不起诉和相对不起诉的相互区分而又功能互补实现诉前分流;做好检法衔接工作,限制适用合规撤回起诉,发挥法院的程序衔接作用,并且畅通信息共享机制,确保两机关各司其职而又有效衔接,为涉案企业合规改革提供刑事法治保障。

The compliance reform of the enterprises involved in the field of criminal law in China has got certain achievements in practice,which has been widely recognized by all walks of life.It is necessary to timely summarize relevant experience and transform it into legal norms.The legislation of the compliance of the enterprises involved in crimes is the fundamental road for the incentive mechanism to truly go towards institutionalization and standardization.As far as the basic idea of procedure construction is concerned,special procedures for compliance of enterprises involved in crimes are added to confirm and supplement the rectification experience and institutional innovation in law.Focus on the construction of conditional non-prosecution system,with the case-by-case mechanism to realize the proportionality of the crimes and responsibilities between the enterprises involved in the crime and the directly responsible personnel,with conditional non-prosecution and relative non-prosecution to distinguish each other and complementary functions to achieve pre-prosecution diversion.To improve the articulation of the public prosecutor's office and the courts,it is necessary to restrict the application of compliant withdrawal of prosecution,give full play to the procedural articulation role of the courts,and smooth information-sharing mechanisms,so as to ensure that the two agencies perform their respective roles in an effective manner and provide criminal legal guarantee for the compliance reform of the enterprises involved in the crime.