Research On The Guiding Role Of The Procuratorates In The Compliance Program System

Against the background of summarizing the experience of early reform pilot projects,in April 2022,the compliance reform pilot work of the enterprises involved in the case has been comprehensively carried out nationwide,with "procuratorial leadership" becoming a distinctive feature of the compliance reform pilot work of the enterprises involved.The pilot work of compliance reform for enterprises involved in cases led by procuratorial organs helps to reduce and prevent corporate crime from the source,and promote high-quality development of China’s economy and society.However,based on the current research situation in China,the theoretical basis for the procuratorial organs to perform their leading functions in the compliance cases of enterprises involved is still unclear.At the same time,the judicial practice since the implementation of the pilot work on compliance reform of the enterprises involved in the case has shown that there are practical problems that need to be urgently solved when the procuratorial organs play a leading role in the compliance cases of the enterprises involved.Therefore,the article is based on the basic theories of the pilot compliance reform of the enterprises involved and the development of prosecutorial power.On the premise of demonstrating the legitimacy,necessity,and feasibility of the procuratorial organs performing their leading functions in the compliance cases of the enterprises involved,the article examines the judicial practice of the procuratorial organs performing their leading functions in the compliance cases of the enterprises involved.In addition to the introduction and conclusion,the paper contains six parts:The first part clarifies the concepts involved in the research object of the article.On the one hand,the paper introduces the pilot work of compliance reform of enterprises involved in cases in China.Firstly,it sorts out the development context of the pilot work of compliance reform of enterprises involved in cases in China.Secondly,it briefly states the scope of application objects of the pilot work of compliance reform of enterprises involved in cases in China.Finally,it elaborates on the practical value of the pilot work of compliance reform of enterprises involved in cases promoted by the procuratorial organs;On the other hand,defining the connotation of the leading function of the procuratorial organs,firstly summarizing the general connotation of the procuratorial organs playing the leading role in criminal litigation activities in China,and then further elaborating on the special connotation of the leading role of the procuratorial organs in the Compliance Program System.The second part focuses on proving that the procuratorial organs should play a leading role in the compliance cases of the enterprises involved,mainly from three dimensions:the legitimacy,necessity,and feasibility of the procuratorial organs performing their leading functions in the compliance cases of the enterprises involved.Among them,the legitimacy of the procuratorial organs in fulfilling their leading functions in the compliance cases of enterprises involved includes two aspects:the procuratorial organs are the legal supervision organs stipulated in the Constitution of China,and the procuratorial organs are the national organs exercising the power of public prosecution in accordance with the law;The necessity for the procuratorial organs to perform their leading functions in the compliance cases of the involved enterprises is manifested in that the procuratorial organs are the arbiters of the compliance incentive range obtained by the involved enterprises,and the procuratorial organs are the participants in the entire process of handling the compliance cases of the involved enterprises;The feasibility of the procuratorial organs performing their leading functions in the compliance cases of the involved enterprises is mainly discussed from three aspects:the confession of guilt and punishment by the involved enterprises is a prerequisite for the involved enterprises to carry out compliance reform,the issuance of procuratorial suggestions and inspection opinions is an important means for the procuratorial organs to handle the compliance cases of the involved enterprises,and organizing procuratorial hearings is an important way for the procuratorial organs to handle the compliance cases of the involved enterprises.The third part discusses the leading functions that procuratorial organs should perform in compliance cases involving enterprises in accordance with current legal provisions.In summary,the leading functions that procuratorial organs should perform in compliance cases involving enterprises are mainly reflected in three aspects:leading the initiation of compliance rectification procedures for enterprises involved,leading the operation of compliance rectification procedures for enterprises involved,and leading the review of the effectiveness of compliance rectification of enterprises involved.The fourth part combines the four batches of 20 typical cases of compliance rectification of enterprises involved announced by the Supreme People’s Procuratorate,as well as other cases that can be found through public channels.Firstly,it summarizes the leading functions actually performed by the procuratorial organs in the compliance cases of enterprises involved.Secondly,it analyzes the actual problems of the procuratorial organs performing the leading functions in the pilot practice of compliance reform of enterprises involved through case analysis,These issues mainly involve the initiation of compliance rectification procedures for the involved enterprises,the allocation of powers between procuratorial organs and compliance third-party organizations,and the conflicts between procuratorial and legal authorities that may arise after the compliance cases of the involved enterprises enter the court trial stage.Finally,an attempt was made to analyze the reasons for the aforementioned practical problems.These reasons include the lack of objectivity in the application conditions and standards of compliance rectification procedures and compliance third-party mechanisms,unreasonable allocation of powers between procuratorial organs and compliant third-party organizations in enterprise compliance cases,insufficient construction of court trial procedures for enterprise compliance cases,and inadequate supporting systems for procuratorial organs to play a leading role in enterprise compliance cases.The fifth part mainly examines the theoretical and judicial status of foreign procuratorial organs playing a leading role in similar systems.Based on each country,the article summarizes the functions performed by prosecutors in similar systems in the United States,the United Kingdom,and France.On the basis of comparative research,the conclusion was drawn that both theoretical and practical circles outside the region have reflected on the functions played by prosecutors in similar systems,gradually attached importance to the role of judges in similar systems,and attached importance to the procedural construction of negotiations between prosecutors and the involved enterprises.The sixth part envisions the reform path for procuratorial organs to play a leading role in corporate compliance cases.Firstly,standardize the procedures for procuratorial organs to initiate compliance rectification of enterprises involved in the case;Secondly,clarify the relationship with compliant third-party organizations in handling compliance cases involving enterprises;Thirdly,play the role of the court in reviewing compliance cases involving enterprises;Fourthly,improve the supporting system that helps procuratorial organs play their leading role.