摘要
审判阶段合规对于贯通合规办案程序的全流程、实现合规改革效果充分释放具有重要意义。法院参与合规案件办理面对的分案处理、角色分工、撤回起诉、审理期限、裁判说理、合规书面考察报告的证据属性等程序法难题亟待解决。单位与个人分案审理属于起诉裁量权合法且必要的行使过程,审判权无需且不应加以干预;审判阶段启动合规考察的案件应由法院决定合规的启动与合规整改合格后的案件处理,由检察院主导合规整改;撤回起诉有悖公正审判原则,不宜作为处理审判阶段合规的方式;刑事诉讼法规定的审理期限实为羁押状态下的审理时长要求,不构成对非羁押状态下合规整改期间的障碍;将合规整改作为酌定量刑情节在裁判文书中表述,不存在相关法律适用障碍;合规书面考察报告本质上属于相关专业人士对企业专项合规事项的专业判断意见,宜归为报告类证据。
Compliance at the trial stage plays a crucial role in ensuring the smooth execution of the entire compliance process and maximizing the effectiveness of compliance reforms.The court faces various procedural legal challenges in handling compliance cases,such as separate trials,role assignment,withdrawal of lawsuit,trial deadlines,reasoning of judgments,and evidentiary attributes of compliance investigation reports.These challenges need to be urgently resolved.Separating the trial of organizations and individuals is a legitimate and necessary exercise of prosecutorial discretion,and the judicial power need not and should not be interfered with.In the case of compliance inspection initiated at the trial stage,the court shall decide the initiation of compliance and the handling of the case after compliance rectification,and the procuratorate shall lead the compliance rectification;Withdrawal of prosecution is against the principle of fair trial and should not be used as a way to deal with compliance at the trial stage;The time limit for trial stipulated in the Criminal Procedure Law actually refers to the duration of the trial during detention,and does not impose any restrictions on the compliance rectification period during non-detention status;As a discretionary sentencing circumstance,compliance rectification can be expressed in the judgment documents without any legal application obstacles;The compliance inspection report is essentially the professional judgment conclusion of relevant professionals on the special compliance matters of enterprises,and should be classified as report evidence.
作者
程雷
Cheng Lei(Research Center for Criminal Justice at Renmin University of China)
出处
《国家检察官学院学报》
CSSCI
北大核心
2023年第4期48-60,共13页
Journal of National Prosecutors College
基金
国家社科基金重大项目“健全支持民营经济发展的刑事法治研究”(20&ZD198)的阶段性成果
关键词
合规
分案审理
诉讼阶段论
撤回起诉
审理期限
Compliance
Separate Trial
Theory of Litigation Stage
Withdrawal of Lawsuits
Trial Time Limit
作者简介
程雷,中国人民大学刑事法律科学研究中心教授、法学博士。
