国际中文开源期刊平台

轻罪治理体系背景下的涉案企业刑事合规考察模式研究

A Study on the Mode of Corporate Compliance Inspection based on the Context of the Pretty Crimes Governance System

刑事司法科学与治理 / 2024,5(1)：49-59 / 2024-06-05 171 142

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• 作者： 林斌     
• 单位：

  中国政法大学法学院，北京

• 关键词： 刑事合规；合规考察模式；第三方组织监督考察模式；轻罪治理
• Corporate compliance; Compliance inspection mode; The mode of third-party organizations inspection; Pretty crimes governance
• 摘要： 企业刑事合规考察是企业刑事合规附条件不起诉制度能否取得实际成效的重要环节。我国在企业刑事合规不起诉改革中，探索形成了检察机关监督考察模式、行政主管机关监督考察模式、联合考察模式和第三方组织监督考察模式四种模式。不同模式都有其制度优势，但也不可避免地存在一些局限性。我国大部分检察机关采取的是第三方组织监督考察模式，以降低公权力滥用风险。优化后的第三方组织监督考察模式，不仅具有较强的中立性、专业性和针对性，更容易实现“实质合规”，还能通过第三方机制管委会对合规监管人的行为进行监管，更加符合我国实际情况。基于企业合规相称性原则的要求，对于合规整改难度不高的简单案件，无须适用企业刑事合规附条件不起诉制度并进行合规考察。对于确需适用企业刑事合规附条件不起诉并进行合规考察的案件，第三方合规监管人的费用应由企业承担。检察机关可以探索建立范式合规与简式合规并行的第三方组织监督考察模式，尽可能降低第三方合规监管人的费用，以减轻企业负担。
• Corporate criminal compliance inspection is an important part for corporate compliance conditionalnon-prosecution system to achieve practical results. In the reform of corporate criminal compliance and nonprosecution,four models have been explored, namely, the mode of procuratorial departments inspection, themode of administrative departments inspection, the mode of joint inspection by procuratorial departments andadministrative departments, and the mode of third-party organizations inspection. Different modes have theirinstitutional advantages, but there are some limitations. In order to reduce the risk of abuse of public power,the mode of third-party organizations inspection is applicable to most procuratorial organs in China. After thepromotion of the mode of third-party organizations inspection, it not only has strong neutrality, professionalismand pertinency, which is easier to realize “substantial compliance”, but also can supervise the behavior of themonitor through the third-party mechanism committee, which is more in line with the actual situation of China.Based on the requirements of the principle of proportionality of corporate compliance, there is no need to applythe conditional non-prosecution system of corporate compliance and conduct compliance investigation for simplecases with low difficulty in compliance rectification. For the cases where the corporate compliance conditionalnon-prosecution really need to be applied, the expenses of the third-party compliance monitor shall be borne bythe enterprise. The procuratorial organ can try to establish two modes of third-party organizations inspection,formal compliance and simple compliance, so as to reduce the costs of third-party compliance monitors as muchas possible, so as to reduce the burden on enterprises.
• DOI： https://doi.org/10.35534/cjsg.0501007
• 引用： 林斌．轻罪治理体系背景下的涉案企业刑事合规考察模式研究［J］．刑事司法科学与治理，2024，5（1）：49-59．