The Corporate Criminal Compliance Program From A Procedural Incentive Perspective

Enterprises have made indelible contributions to the development of China’s economy and society.With the increasing prosperity of China’s economy and society and the increasingly strict criminal law net,the number of enterprise crimes is on the rise,and the criminal risks faced by enterprises surge.Under this social background,enterprise crime governance is not enough to rely on the severe punishment law to achieve the expected social effect.The negative effects of punishment on enterprises often make it difficult to "recover".Therefore,compliance plan,as a means of crime prevention in advance,gets more and more attention by the criminal law community.Although the academic community is generally recognized with the effectiveness of compliance plans for enterprise crime prevention,the construction of compliance plans for interest-oriented enterprises faces the problem of insufficient driving force.In view of this,the compliance plan incentive mechanism into the field of criminal law,among them,program incentive at the beginning of the system and compliance "complementary",can in the realization of justice,repair social relations as far as possible to avoid the adverse water wave effect of enterprise,in the field of theory and practice.Since 2020,the Supreme People’s Procuratorate has promoted enterprise compliance reform on a pilot basis,and tried to encourage and promote Chinese enterprise compliance through procedures.However,for the specific implementation content,procedures and acceptance process,there are no clear provisions in Chinese laws.Although the academic circle continues to be optimistic about the procedural incentive system,the current research on the specific system design is still limited.Therefore,this paper conducts a preliminary study on the program incentive system from the perspective of comparative law.discusses the feasibility of introducing the compliance procedure incentive system in China,and puts forward its own views on the specific system design.The specific writing ideas are as follows:Chapter Ⅰ:Question of questions.Starting from the current situation of enterprise crimes in China,by analyzing the Chinese enterprise crime data,it points out that the number of Chinese enterprise crimes is constantly increasing,but the type of crime has shown a lighter trend,and this current situation of crime has become a profound social background for the application and promotion of the compliance system.Then,demonstrate the relationship between compliance plan and enterprise crime governance,sort out the origin and definition of the concept of compliance plan,and further emphasize that the compliance plan can strengthen the prevention effect of enterprise crime and improve the concept of unit crime,which is of great significance to crime governance.Finally,the paper discusses the dilemma of insufficient compliance drivers,and by comparing the effectiveness of different compliance incentive systems and their applicability to China,the introduction of procedural incentive system is a powerful tool to solve the implementation dilemma of compliance plans in China.Chapter Ⅱ:Off-domain practice of enterprise criminal compliance plan,This part mainly from the perspective of procedural incentive system,introduces the origin of procedural incentive system——the evolution and rise of the pretrial transfer agreement system in the United States,sorted out the relevant legislation of the system in the United States,selected some specific cases to discuss the positive effect and negative impact of procedural incentive system on American criminal justice.Then,introduce the development of procedure incentive system in the world and introduced the judicial review mode of——suspension agreement,represented by the UK,introduce the British judicial review mode compared with the United States in the system progress and improvement,in the specific practice case analysis,and put forward the substantive judicial review concerns facing formal risk.Finally,it responds to some of the doubts and refutation of the practice outside the compliance procedure incentive system,reflects on the problems in the practice outside the program incentive system,and points out that the introduction of the system in China should pay attention to the connection with local legal resources and the improvement of relevant legislation.Chapter Ⅲ:Feasibility analysis of introducing the compliance procedure incentive system in China.From the theoretical level of view,the burden of procedural incentive agreement assumes the function of substantial punishment,which realizes the restoration of social relations and judicial justice;At the same time,starting from the principle of both interests,the procedural incentive system realizes the balance between social interests and judicial justice to a certain extent.From the level of system foundation,the relationship and connection between the procedural incentive system and the existing conditional non-prosecution system and the system of leniency for guilty plea are discussed,and demonstrates that there is an institutional soil for the construction and development of compliance procedure incentive agreement in China.From the basis of practice,the relevant compliance documents and enterprise compliance practices.Finally,the feasibility of introducing compliance procedure incentive system.Chapter Ⅳ:Basic Concept of Enterprise Compliance Plan.This part mainly includes basic principles,scope of application,program setting,and protocol content setting.The author believes that the construction of China’s compliance procedure incentive program should adhere to the principle of both interests,equal use and crime prevention.The scope of application is mainly the main object of argument and the scope of charges.The author believes that the applicable object of the program incentive system should be the enterprise crime,should not include the natural person in the enterprise,however,the natural person in the enterprise can become the supervised object in order to evaluate the performance of the procedure incentive agreement;based on the investigation of the current criminal situation and criminal policy,as well as the characteristics of various charges of the criminal law,the author suggests that considering all the charges in the third chapter of the Criminal Law should be included in the scope of procedural incentive system,and the scope of punishment is not restricted after limiting the type of charges.In terms of procedure setting,a more detailed plan is put forward,starting from the starting path of qualification examination,pre-procedure application,applicable supervision and acceptance work.In terms of the content setting of the agreement,the author believes that it should include at least three parts:the provisions of the enterprise involved with the judicial procedure,the repair of social relations,and the provisions on the construction and improvement of the compliance plan;so as to ensure the effect of the compliance procedure incentive agreement.Chapter Ⅴ:Supporting measures for incentive plan.It mainly introduces the current application and improvement plan of the hearing system and the compliance supervision system to cooperate with the implementation of the compliance plan procedure incentive plan.Conclusion mainly summarizes the core view of the author on the compliance program incentive program,reflects on the shortcomings of this paper,and prospects the development of compliance program incentive system.