A Study Of Criminal Compliance Procedures Out Of Guilt

As a major theoretical issue of great academic interest,criminal compliance plays an irreplaceable role in procedural exculpation.The reform of the corporate compliance non-prosecution system,which has been comprehensively promoted by China’s procuratorial authorities nationwide,is a major reform initiative that demonstrates the function of criminal compliance in procedural exculpation.The typical cases of compliance non-prosecution reform released one after another by the Supreme People’s Procuratorate are an important manifestation of the results of this reform,in which the state achieves optimization of unit crime governance through the criminal compliance system,and gives criminal compliance a procedural exculpatory function through procedural incentives.The main purpose of this thesis is to study the problems of criminal compliance with procedural exculpation,and to explore the basic path of rationalizing criminal compliance with procedural exculpation.The specific line of thought is as follows:The first chapter defines the theory of criminal compliance.Firstly,the main academic views on criminal compliance are sorted out,and the difference between criminal compliance and corporate compliance is clarified.Secondly,the definition of criminal compliance procedures out of crime is clarified,and the object of study is clarified and distinguished from the function of entity out of crime.the criminal compliance theory is used to examine the pilot of criminal compliance non-prosecution for enterprises,so as to identify problems and solve them.Chapter 2 examines the current state of criminal compliance procedural exoneration.First,cases from the corporate criminal compliance non-prosecution pilot are studied empirically,with data on the type of offence,statutory penalty for the offence,type of business,business impact,mitigating circumstances,application of prosecutorial hearings,compliance rectification programmes,compliance inspection methods,and compliance outcomes.Secondly,the statistics were summarised and graphically analysed to discover the characteristics of the corporate criminal compliance non-prosecution pilot.Finally,the normative documents on criminal compliance procedure incrimination are examined to clarify the standard norms of criminal compliance by examining national and local regulatory documents and providing a reference base for identifying issues of criminal liability compliance procedure.Chapter 3,based on the examination of the current situation and empirical study of criminal compliance procedures out of guilt,identifies the legislative,judicial.and incentive aspects of the current criminal compliance procedures out of guilt and analyses their causes.First,in terms of the legal basis.Criminal compliance non-prosecution exceeds the legal boundaries of relative non-prosecution and conditional non-prosecution,resulting in a lack of legal basis for criminal compliance non-prosecution,which is contrary to the principle of criminality.Secondly,in terms of incentive function,the incentive function of criminal compliance has been expanding.On the one hand,it is reflected in the overly broad scope of application of criminal compliance,which has led to the unfavourable consequences of incompatibility between crime and punishment.On the other hand,it is reflected in the fact that the procuratorial authorities consider the economic contribution of enterprises too heavily,which makes criminal compliance have an obvious profit-seeking orientation and affects the equal application of criminal compliance procedures out of guilt.Finally,in terms of judicial system,firstly,the absence of a prosecutorial hearing system in some cases is not conducive to safeguarding the right of defence of the enterprises involved in the case,nor is it conducive to external supervision of criminal justice activities.Secondly,the absence of legal restoration in some cases is not conducive to reducing the culpability of enterprises,resulting in a surplus of positive incentives and a shortage of negative incentives.Thirdly,criminal compliance under the dominance of prosecutorial power reveals the problem of poor tripartite interface between the public prosecution and the law,the lack of cooperation and constraints between the public prosecution and the law,and the difficulty for public security organs and courts to limit the expansion of prosecutorial power.Fourthly,the lack of a long-term monitoring mechanism makes it difficult to ensure the effectiveness and sustainability of criminal compliance,which can easily lead to the risk of "paper compliance".Chapter 4 offers solutions to the problems raised in Chapter 3.Firstly,in terms of legal basis,the three-year statutory penalty for unit crimes should be used as a threshold to clarify the criteria for judging misdemeanours and felonies,and to divide misdemeanours and felonies.Adopt a laddering legislative model of relative non-prosecution for misdemeanours+withdrawal of prosecution for felonies to solve the problem of insufficient legal basis for criminal compliance procedures to commit offences.Second,in terms of compliance incentives.First,under the premise of legislation,there is also a need to establish a mechanism for the disciplinary and supervisory committee to supervise the procuratorial authorities,and to strengthen the function of the third-party supervision mechanism to give full play to its independence and professionalism.Secondly,to change the tendency of enterprises to be too decisive in their economic contribution,and to change their profit-seeking tendency by using criminal compliance as the core criterion for exoneration.Finally,in terms of judicial system.First,adopt a model combining prosecution hearing+legal restoration to ensure fairness and openness in criminal compliance procedures for exoneration,safeguard the right of defence of the units involved,raise the threshold of criminal compliance application,and balance positive and negative incentives.Secondly,build a mechanism for positive interaction between the public prosecution and the law,through early intervention by the procuratorial authorities at the investigation stage and the return of pre-trial court procedures.It also establishes a tripartite information-sharing platform between the public prosecution and the law to improve the pattern of mutual cooperation and constraints among the three parties.Thirdly,through regular compliance reports+irregular spot checks on the ground,a long-term supervision mechanism of 1-4 years will be constructed to guarantee the effectiveness and sustainability of criminal compliance and improve the institutional construction of criminal compliance procedures for incrimination.