Study On Non-Prosecution System Of Enterprise Criminal Compliance

Non-prosecution of enterprise criminal compliance is a system in which enterprises take the initiative to cooperate with the investigation of judicial organs,fulfill the commitment of rectification,and finally obtain the decision of non-prosecution after being accused of a crime.The construction of this system provides a new model and a new way for procuratorial organs to participate in social governance.At the same time,the system relies on the positive general prevention theory,the idea of cheap prosecution,to help the healthy development of enterprises.Based on the need of current international environment,high incidence of criminal risk and the need to avoid water wave effect,it is very necessary to establish the system of enterprise criminal compliance with nonprosecution regulation.In the pilot reform of enterprise criminal compliance,the crime of disrupting the order of socialist market economy is the main case type,and the guilty plea of the involved personnel is taken as the starting condition.The reform pilot actively explores the application of the third-party supervision system,and establishes the cross-regional cooperation mechanism of enterprise compliance involved.However,there are still many problems,which are manifested in: First,the scope of application is not clear,whether small and micro enterprises and felony-involved enterprises can become the subject of application;Second,the application conditions of different regulatory models are not clear,and the extensive use of third-party regulatory models may lead to the waste of resources.Third,the period of enterprise compliance inspection is not reasonable,and the design has not been carried out according to the size of the enterprise.Fourth,the compliance process is not smooth "execution connection",starting compliance procedures and compliance processing results can not be effectively connected.The non-prosecution system of enterprise criminal compliance should refer to foreign mature experience.In the United States,the application of compliance does not distinguish the size of enterprises.In the aspect of compliance supervision,apart from the independent supervisor mode,enterprises also explore a new way to fulfill compliance obligations by regular reporting.Focusing on anti-corruption governance,France has implemented public interest judicial agreements in the criminal Procedure Law,set additional penalties for compliance plans in the criminal substantive law,and set a threeyear compliance inspection period for enterprises,so as to urge the enterprises involved to make rectification as soon as possible.For reference from foreign programs,our enterprise compliance application can not be limited by enterprise scale,and the period of enterprise compliance investigation should not be too short.To sum up the current situation of the pilot reform of enterprise compliance,the following aspects need to be designed to establish the non-prosecution system of enterprise criminal compliance: First,the applicable scope of enterprise compliance should be defined,and the enterprise compliance system should be equally applied regardless of the size of the enterprise and the severity of the crime involved.Secondly,it is necessary to clarify the applicable conditions of different supervision modes,including the applicable conditions of the third-party supervision mode and the applicable conditions of the supervision mode of procuratorial organs.Thirdly,the compliance inspection period should be set,with three years as the upper limit and six months as the lower limit.Finally,it is necessary to unblock the "execution connection" mechanism,establish the compliance access joint hearing system,and establish the limited compliance mutual recognition mechanism.