合规不起诉的模式分析与优化选择

Model Analysis and Optimization Selection of Compliance Non-Prosecution

摘要: 为治理和预防企业犯罪，促进企业依法合规经营，在最高检的部署下我国开展企业合规改革，即检察机关办理企业犯罪案件时可依据企业合规作出不起诉裁定或从轻的量刑建议。改革试点实践中，当前的企业合规不起诉模式存在局限，阻碍了企业合规改革积极效果的发挥，在对四种不起诉实践模式分析比较后，企业合规附条件不起诉模式更能发挥改革的积极效果，促进企业的实效合规。但现有法律框架下的附条件不起诉制度仅适用于未成年人案件，需进行制度优化和调适。针对附条件不起诉制度适案范围的限制和企业合规改革的实践需要，对企业合规附条件不起诉模式进行优化，调整适用对象，扩大适案范围，规范办案程序。如此，才能进一步扩大改革成果，提高司法效率，促进企业良性发展。

Abstract: In order to control and prevent enterprise crimes and promote enterprise compliance according to law, China is carrying out enterprise compliance reform under the deployment of the Supreme People’s Procuratorate. That is, the Procuratorate can make a ruling of non-prosecution or sen-tencing suggestion of leniency according to enterprise compliance when dealing with enterprise crime cases. In the reform pilot practice, the current enterprise compliance non-prosecution mode has limitations which hinder the positive effect of the enterprise compliance reform. After analyzing and comparing the four non-prosecution practice modes, the enterprise compliance conditional non-prosecution mode can better play the positive effect of the reform and promote the effectiveness and compliance of enterprises. However, the conditional non-prosecution system under the existing legal framework is only applicable to minor cases, which needs to be optimized and adjusted. In view of the limitation of the applicable scope of the conditional non-prosecution system and the practical needs of the enterprise compliance reform, the conditional non-prosecution mode of enterprise compliance is optimized, the applicable object is adjusted, the applicable scope is expanded, and the case handling procedure is standardized. Only in this way can we further expand the achievements of reform, improve judicial efficiency and promote the sound development of enterprises.