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最高检印发第二批《企业合规典型案例》

浏览量：时间：2021-12-15

最高检发布第二批企业合规

典型案例

保护企业合法权益

促进企业合规守法经营

 

<section style="margin: 0px; padding: 15px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; background-size: 29.78660011291504%; background-attachment: scroll; background-image: url(" https:="" mmbiz.qpic.cn="" mmbiz_png="" 1rnn8iapyoglsia3rsiamtyjlekexrnqmyvqjkgssdgvr8oswhlpxd1er1wkgh7p3pyokyeiakgtzcatzzdib9ikewa="" 640?wx_fmt="png&quot;);" box-sizing:="" border-box="" !important;="" word-wrap:="" break-word="" background-position:="" 25.803699493408203%="" -43.147300720214844%;="" background-repeat:="" repeat="" repeat;"=""> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; color: rgb(62, 62, 62); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">近日，最高人民检察院发布第二批企业合规典型案例。该批典型案例以适用第三方监督评估机制为重点，着力反映企业合规流程、第三方机制的启动与运行、合规整改效果、检察机关的主导作用以及典型意义等。与第一批企业合规典型案例相比，该批典型案例涉及面更广，内容更丰富。</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">该批典型案例共6件，分别是：上海J公司、朱某某假冒注册商标案，张家港S公司、雎某某销售假冒注册商标的商品案，山东沂南县Y公司、姚某明等人串通投标案，随州市Z公司康某某等人重大责任事故案，深圳X公司走私普通货物案，海南文昌市S公司、翁某某掩饰、隐瞒犯罪所得案。</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">最高检第四检察厅负责人表示，该批典型案例都是检察机关在企业合规改革试点实践中刚刚办理的案件，既体现检察机关对涉案合规企业的“真严管、真厚爱”，又较好发挥案例本身的指导意义。该批典型案例特点突出，在普遍适用认罪认罚从宽制度的前提下，有的是对涉案企业异地适用第三方监督评估机制，有的是与“挂案”清理相结合，有的是行刑衔接推动行业治理，有的是非试点地区在法律框架内积极开展合规试点等。</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">最高检第四检察厅负责人强调，检察机关办理涉案企业合规案件，任何时候都要严格依法，绝不能搞“法外开恩”。要准确理解企业合规制度的原则精神，认真贯彻宽严相济、少捕慎诉慎押刑事司法政策，在保护企业合法权益的同时，促进企业合规守法经营，预防和减少企业违法犯罪，实现司法办案政治效果、法律效果、社会效果的有机统一。对于涉案企业不能按照合规承诺落实到位，再涉嫌犯罪的，要依法从严追究刑事责任，形成威慑和警示。</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">记者了解到，下一步，最高检将根据企业合规改革形势发展需要，加强办案指导，严格备案审查，指导各地加大办案力度，扩展案件类型，提高办案质效，积极培育有代表性、有影响力的企业合规典型案例。同时，将针对试点实践中遇到的新情况、新问题，继续整理发布多种类型的企业合规典型案例，持续为各地开展企业合规提供办案指导。除常态化发布企业合规典型案例之外，最高检还计划明年发布一批企业合规指导性案例。</p> </section> </section> </section> </section> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;">  </section> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 3px 0px; outline: 0px; max-width: 100%; display: inline-block; width: 578px; vertical-align: top; border: 1px solid rgb(41, 41, 145); height: auto; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 0px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; display: inline-block; width: 576px; vertical-align: top; background-color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; border-top-width: 3px; border-top-style: dashed; border-top-color: rgb(255, 255, 255); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 16px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 8px; outline: 0px; max-width: 100%; font-size: 18px; text-align: justify; letter-spacing: 0px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); font-size: 20px; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">关于印发</strong></span></p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); font-size: 20px; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">《企业合规典型案例</strong><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; letter-spacing: 0px; box-sizing: border-box !important; word-wrap: break-word !important;">（第二批）》</strong></span></p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); font-size: 20px; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; letter-spacing: 0px; box-sizing: border-box !important; word-wrap: break-word !important;">的通知</strong></span></p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">各省、自治区、直辖市人民检察院，解放军军事检察院，新疆生产建设兵团人民检察院：</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;">        为进一步加强企业合规改革试点工作，积极推进第三方监督评估机制适用，现将上海J公司、朱某某假冒注册商标案等6件适用第三方监督评估机制案例作为第二批企业合规典型案例印发你们，供办案时参考借鉴。</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: right; box-sizing: border-box !important; word-wrap: break-word !important;">                          最高人民检察院</p> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: right; box-sizing: border-box !important; word-wrap: break-word !important;">                             2021年12月8日</p> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 0px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; display: inline-block; width: 576px; vertical-align: top; background-color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; border-top-width: 3px; border-top-style: dashed; border-top-color: rgb(255, 255, 255); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 15px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: left; justify-content: flex-start; transform: translate3d(31px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 10px; outline: 0px; max-width: 100%; display: inline-block; width: auto; vertical-align: top; border-style: solid; border-width: 0px 2px; border-color: rgb(0, 0, 0); align-self: flex-start; flex: 0 0 auto; min-width: 10%; height: auto; z-index: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: -6px 0px 8px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; transform: translate3d(-1px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 17px; color: rgb(0, 0, 0); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">案例一</span></strong></p> </section> <section powered-by="xiumi.us" style="margin: 8px 0px -6px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: -29px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: right; justify-content: flex-end; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 27px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; flex: 0 0 auto; align-self: flex-start; border-width: 0px; height: auto; background-color: rgb(225, 244, 254); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(62, 62, 62); text-align: justify; font-size: 18px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">上海J公司、朱某某假冒注册商标案——依托长三角一体化协作平台，对涉案企业异地适用第三方监督评估机制</span></strong></p> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;"> </span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【关键词】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">企业合规  异地监督考察  长三角协作  检察一体化</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【要旨】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">针对涉案企业注册地、生产经营地和犯罪地分离的情况，依托长三角区域检察协作平台，联合探索建立涉案企业合规异地协作工作机制，合力破解异地社会调查、监督考察、行刑衔接等难题，以检察机关企业合规工作协同化推动长三角营商环境一体化建设，为企业合规异地检察协作提供参考和借鉴。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一、基本案情</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">上海市J智能电器有限公司（以下简称“J公司”）注册成立于2016年1月，住所地位于浙江省嘉兴市秀洲区，公司以生产智能家居电器为主，拥有专利数百件，有效注册商标3件，近年来先后被评定为浙江省科技型中小企业、国家高新技术企业。公司有员工2000余人，年纳税总额1亿余元，被不起诉人朱某某系该公司股东及实际控制人。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2018年8月，上海T智能科技有限公司（以下简称“T公司”）与J公司洽谈委托代加工事宜，约定由J公司为T公司代为加工智能垃圾桶，后因试产样品未达质量标准，且无法按时交货等原因，双方于2018年12月终止合作。为了挽回前期投资损失，2018年12月至2019年11月，朱某某在未获得商标权利人T公司许可的情况下，组织公司员工生产假冒T公司注册商标的智能垃圾桶、垃圾盒，并对外销售获利，涉案金额达560万余元。2020年9月11日，朱某某主动投案后被取保候审。案发后，J公司认罪认罚，赔偿权利人700万元并取得谅解。2020年12月14日，上海市公安局浦东分局以犯罪嫌疑单位J公司、犯罪嫌疑人朱某某涉嫌假冒注册商标罪移送浦东新区检察院审查起诉。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二、企业合规整改情况及效果</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一是认真审查，对符合适用条件的企业开展合规试点。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">浦东新区检察院经审查认为，J公司是一家高新技术企业，但公司管理层及员工法律意识淡薄，尤其对涉及商业秘密、专利权、商标权等民事侵权及刑事犯罪认识淡薄，在合同审核、财务审批、采购销售等环节均存在管理不善问题。鉴于J公司具有良好发展前景，犯罪嫌疑人朱某某有自首情节，并认罪认罚赔偿了T公司的损失，且该公司有合规建设意愿，具备启动第三方机制的基本条件，考虑其注册地、生产经营地和犯罪地分离的情况，有必要启动跨区域合规考察。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二是三级联动，开启跨区域合规第三方机制“绿色通道”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2021年4月，浦东新区检察院根据沪浙苏皖四地检察院联合制定的《长三角区域检察协作工作办法》，向上海市检察院申请启动长三角跨区域协作机制，委托企业所在地的浙江省嘉兴市检察院、秀洲区检察院协助开展企业合规社会调查及第三方监督考察。两地检察机关签订《第三方监督评估委托函》，明确委托事项及各方职责，确立了“委托方发起”“受托方协助”“第三方执行”的合规考察异地协作模式，由秀洲区检察院根据最高检等九部门联合下发的《关于建立涉案企业合规第三方监督评估机制的指导意见》成立第三方监督评估组织。随后，秀洲区检察院成立了由律师、区市场监督管理局、区科技局熟悉知识产权工作的专业人员组成的第三方监督评估组织，并邀请人大代表、政协委员对涉案企业同步开展监督考察。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三是有的放矢，确保合规计划“治标更治本”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">浦东新区检察院结合办案中发现的经营管理不善情况，向J公司制发《合规风险告知书》，从合规风险排查、合规制度建设、合规运行体系及合规文化养成等方面提出整改建议，引导J公司作出合规承诺。第三方组织结合风险告知内容指导企业制定合规计划，明确合规计划的政策性和程序性规定，从责任分配、培训方案到奖惩制度，确保合规计划的针对性和实效性。同时，督促企业对合规计划涉及的组织体系、政策体系、程序体系和风险防控体系等主题进行分解，保证计划的可行性和有效性。J公司制定了包括制定合规章程、健全基层党组织、建立合规组织体系、制定知识产权专项合规政策体系、打造合规程序体系、提升企业合规意识等方面的递进式合规计划，并严格按照时间表扎实推进。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">四是找准定位，动态衔接实现异地监管“客观有效”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">监督考察期间，第三方组织通过问询谈话、走访调查，深入了解案件背景，帮助企业梳理合规、风控方面的管理漏洞，督促制定专项整改措施。根据第三方组织建议，J公司成立合规工作领导小组，修改公司章程，强化管理职责，先后制定知识产权管理、合同审批、保密管理、员工培训、风险控制等多项合规专项制度，设立合规专岗，实行管理、销售分离，建立合规举报途径，连续开展刑事合规、民事合规及知识产权保护专项培训，外聘合规专业团队定期对企业进行法律风险全面体检，并且每半个月提交一次阶段性书面报告。第三方组织通过书面审查、实地走访、听取汇报等形式，对合规阶段性成效进行监督检查。同时，浦东新区检察院为确保异地合规监管的有效性，制作了《企业合规监督考察反馈意见表》，实时动态跟进监督评估进度，对第三方组织成员组成、合规计划执行、企业定期书面报告、申诉控告处理等提出意见建议。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">五是充分评估，确保监督考察及处理结果“公平公正”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">考察期限届满，第三方组织评估认为，经过合规管理，J公司提升合规意识，完善组织架构，设立合规专岗，开展专项检查，建立制度指引，强化流程管理，健全风控机制，加强学习培训，完成了从合规组织体系建立到合规政策制定，从合规程序完善到合规文化建设等一系列整改，评定J公司合规整改合格。浦东新区检察院联合嘉兴市检察院、秀洲区检察院通过听取汇报、现场验收、公开评议等方式对监督考察结果的客观性充分论证。2021年9月10日，浦东新区检察院邀请人民监督员、侦查机关、异地检察机关代表等进行公开听证。经评议，参与听证各方一致同意对涉案企业及个人作出不起诉决定。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三、典型意义</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">1. 积极探索，为企业合规异地适用第三方机制开拓实践思路。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">针对涉案企业注册地、生产经营地和犯罪地分离的情况，上海、浙江检察机关依托长三角区域检察协作平台，通过个案办理探索建立企业合规异地协作工作机制，确立了“委托方发起”“受托方协助”“第三方执行”的合规考察异地协作模式，合力破解异地社会调查、监督考察、行刑衔接等难题，降低司法办案成本，提升办案质效，为推动区域行业现代化治理提供了实践样本。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2. 有序推进，切实防止社会调查“一托了之”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">本案中，检察机关采取层层递进的工作方式，确保社会调查重点明确、调查结果全面客观。一是事前细化调查提纲。重点围绕涉案企业社会贡献度、企业发展前景、社会综合评价等开展协助调查，一并考察企业家的一贯表现，确保社会调查结果全面客观。二是事中加强沟通协调。浦东新区检察院多次赴浙江会商，就调查方式、调查内容及相关要求达成共识，形成办案合力。秀洲区检察院协调区市场监管、人社、税务、科技、工商联及行业协会，对涉案公司及个人开展全面调查。三是事后进行专项研讨。检察机关深入审查全部协查材料，研究认为涉案企业符合企业合规改革试点适用条件，并层报上级机关审核备案。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">3. 完善机制，提升监督评估实际效果。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">本案中，秀洲区检察院联合当地13个部门出台规范性文件，探索构建企业合规“双组六机制”工作模式。“双组”，即检察机关牵头成立“合规监管考察组”和“合规指导组”两个工作组；“六机制”，即联席会议、合规培育、提前介入、会商通报、指导帮扶、审查监管等六个协作机制。合规考察中，由合规监管考察组和合规指导组共同研究形成专业意见，并邀请人大代表、政协委员全程参与，提高监管考察的透明度和公信力。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">4. 标本兼治，有效防治企业违法犯罪。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">从司法实践看，涉企经济犯罪成因复杂，许多涉及经济社会系统性、深层次矛盾问题，单靠刑事法律的“孤军作战”，难以取得良好的社会治理效果。本案中，检察机关开展企业合规改革以推动源头治理为着力点，针对办案发现的企业经营管理中的突出问题，通过第三方监督评估机制对涉案企业开展扎实有效的合规整改，促进企业依法合规经营发展，对于完善制度机制、形成治理合力具有积极意义。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 15px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: left; justify-content: flex-start; transform: translate3d(31px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 10px; outline: 0px; max-width: 100%; display: inline-block; width: auto; vertical-align: top; border-style: solid; border-width: 0px 2px; border-color: rgb(0, 0, 0); align-self: flex-start; flex: 0 0 auto; min-width: 10%; height: auto; z-index: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: -6px 0px 8px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; transform: translate3d(-1px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 17px; color: rgb(0, 0, 0); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">案例二</span></strong></p> </section> <section powered-by="xiumi.us" style="margin: 8px 0px -6px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: -29px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: right; justify-content: flex-end; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 27px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; flex: 0 0 auto; align-self: flex-start; border-width: 0px; height: auto; background-color: rgb(225, 244, 254); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); text-align: justify; font-size: 20px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">张家港S公司、雎某某销售假冒注册商标的商品案——介入侦查认定“挂案”性质，积极引导涉案小微企业开展合规建设</strong></p> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【关键词】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">假冒注册商标  “挂案”清理  小微企业合规建设  第三方监督评估</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【要旨】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关推进涉企“挂案”清理过程中，对尚未进入检察环节的案件，可采取介入侦查的形式开展个案会商，认定“挂案”性质，能动清理。对符合企业刑事合规条件的案件，积极引导涉案企业开展合规建设，引入第三方组织进行监督评估，规范推进合规监督考察和“挂案”清理工作。检察机关与公安机关等有关部门积极配合，多措并举合力护航民营经济健康发展。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一、基本案情</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">张家港市S五交化贸易有限公司（以下简称S公司）2015年6月注册成立，注册资本200万元，在职员工3人，雎某某系该公司法定代表人、实际控制人。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2018年11月22日，张家港市市场监督管理局在对S公司进行检查时，发现该公司疑似销售假冒“SKF”商标的轴承，并在其门店及仓库内查获标注“SKF”商标的各种型号轴承27829个，金额共计68万余元。2018年12月17日，张家港市市场监督管理局将该案移送至张家港市公安局。2019年2月14日，斯凯孚（中国）有限公司出具书面的鉴别报告，认为所查获的标有“SKF”商标的轴承产品均为侵犯该公司注册商标专用权的产品。2019年2月15日，张家港市公安局对本案立案侦查。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二、企业合规整改情况及效果</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一是应公安机关邀请介入侦查。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2021年5月初，张家港市检察院应张家港市公安局邀请，派员介入听取案件情况。梳理在案证据，本案侦查工作的主要情况如下：第一，雎某某辩称涉案的轴承部分是从山东威海一旧货调剂市场打包购买，部分是从广州H公司、上海J公司购买，认为自己购进的都应该是正品。第二，公安机关经与广州H公司、上海J公司核实，上海J公司系授权的一级代理商，主要经营SKF等品牌轴承。广州H公司从上海J公司进购SKF轴承后进行销售，曾3次通过上海J公司直接发货给S公司，共计54万元。同时，公安机关对山东威海的旧货调剂市场进行了现场调查，发现该市场确实是二手交易市场，无法追溯货品源头。第三，斯凯孚（中国）有限公司出具书面鉴别报告时，未对查获的轴承及包装的真伪进行现场勘查，仅根据清点明细材料出具了鉴别说明和比对示例，且不愿再重新鉴定。此外，该案立案距今超过两年，已属“挂案”状态。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二是及时启动社会调查。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关向S公司、雎某某告知企业合规相关政策后，该公司分别向检察机关、公安机关递交了《提请开展刑事合规监督考察的申请书》。随后承办检察官走访企业和市场监督管理局、税务局等行政部门，实地查看公司经营现状、指导填写合规承诺、撰写调查报告。走访调查了解到，该公司系已实际经营六年的小微民营企业，因涉嫌犯罪被立案，一定程度上影响经营，资金周转困难，公司面临危机。该公司规章制度不健全，内部管理不完善，尤其是企业采购程序不规范，对供货商资质和货品来源审查不严，单据留存不全，还曾因接受虚开的增值税发票被税务机关行政处罚。检察机关经综合考虑，鉴于S公司有整改行为和较强的合规愿望，认为可以开展企业合规监督考察。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三是深入会商达成共识。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关认为，该案证明S公司及雎某某犯罪故意的证据不确实、不充分，公安机关也难以再查明轴承及包装的来源是否合法，案件久拖不决已处于“挂案”状态，亟待清理。检察机关与公安机关共同分析了相关情况，并就该案下一步处理进行会商，双方就企业合规、“挂案”清理工作达成共识。公安机关明确表示，如该公司通过企业合规监督考察时还没有新的证据进展，将作出撤案处理。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">四是扎实推进合规考察。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">经向上级检察机关请示并向张家港市企业合规监管委员会报告后，张家港市检察院联合公安机关对S公司启动合规监督考察程序，确定6个月的整改考察期。同时，张家港市企业合规监管委员会根据第三方监督评估机制，从第三方监管人员库中随机抽取组建监督评估小组，跟踪S公司整改、评估合规计划落实情况。按照合规计划，S公司梳理企业风险点，制定《财务管理合规建设制度》《发票制发流程》《货物销售采购流程》等内部制度，并形成规范的公司合同模板。在税务方面，公司从以往直接与代帐会计单线联系，转变为与会计所在单位签订合同，对财务人员应尽责任、单位管理职责进行书面约定。在知识产权方面，公司明确渠道商应提供品牌授权证明并备案，每笔发货都注明产品明细，做到采购来路明晰、底数清晰。合规整改期间，检察机关会同第三方监督评估小组，每月通过座谈会议、电话联系、查阅资料、实地检查等方式，特别是通过“不打招呼”的随机方式，检查企业合规建设情况。同时，检察机关还向公安机关通报企业合规建设进展情况，邀请参与合规检查，并认真吸收公安机关对合规制度完善提出的意见。2021年8月5日，鉴于该公司员工数少、业务单一、合规建设相对简易的情况，第三方监督评估小组提出缩短合规监督考察期限的建议。检察机关听取市场监督管理部门、税务部门意见后，决定将合规监督考察期限缩短至3个月。2021年8月16日至18日，第三方监督评估小组对该公司合规有效性进行评估，出具了合规建设合格有效的评估报告。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">五是参考考察结果作出处理。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2021年8月20日，张家港市检察院组织公开听证，综合考虑企业合规整改效果，就是否建议公安机关撤销案件听取意见，听证与会人员一致同意检察机关制发相关检察建议。当日，检察机关向公安机关发出检察建议，公安机关根据检察建议及时作出撤案处理，并移送市场监督管理部门作行政处罚。检察机关两个月后回访发现，S公司各项经营已步入正轨，因为合规建设，两家大型企业看中S公司合规资质与其建立了长期合作关系，业务预期翻几番，发展势头强劲。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三、典型意义</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">1. 对尚未进入检察环节的涉企“挂案”进行排查，采取与企业合规改革试点结合等方式能动清理。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关推进涉企“挂案”清理过程中，除依托统一业务应用系统中排除出相关数据外，还可以通过控告申诉、日常走访、服务企业平台等了解“挂案”线索。对尚未进入检察环节的案件，可采取介入侦查的形式，积极与公安机关开展个案会商。通过听取案件情况、审查在案证据、实地走访调查等工作，与公安机关共同分析是否属于“挂案”、“挂案”原因、“挂案”影响以及侦查取证方向、可行性等因素，分类施策、妥善处理。对符合合规监督考察的条件的案件，积极引导涉案企业开展合规整改，促进涉企“挂案”清理，最大限度降低“挂案”对企业生产经营的影响。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2. 严格把握企业合规监督考察条件、标准和工作程序，规范清理涉企“挂案”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">通过企业合规促进“挂案”清理，在具体操作中应该重点把握三点：一是要通过走访调查，深入了解犯罪嫌疑人认罪悔罪态度、企业经营状况、社会贡献、合规意愿以及违法犯罪既往历史等情况，评估涉案企业是否符合开展合规监督考察的条件。二是要加强对外沟通，向公安机关讲清企业合规政策和涉企“挂案”清理意义，争取理解和支持。三是要依托第三方监督评估机制，客观公正地跟踪指导企业合规建设、评估合规有效性，以第三方监督评估结论为主要依据，听取行政机关以及公开听证等多方意见，做到“阳光”清理、规范清理。本案中，检察机关按照申请、调查、会商、考察等程序，规范推进企业合规，同时引入第三方组织对企业合规建设进行全程监督，值得肯定。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">3. 与公安机关等有关部门积极配合，多措并举合力护航民营经济健康发展。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">为加强民营经济平等保护，2020年10月以来，最高检与公安部联合部署开展涉民营企业刑事诉讼“挂案”专项清理工作。全国检察机关、公安机关强化协作、多措并举，一大批“挂案”得到有效清理，该撤案的及时撤案，该继续侦办的尽快突破，以实际行动服务“六稳”“六保”大局，受到社会各界的广泛好评。同时，检察机关正在深入开展涉案企业合规改革试点，落实少捕慎诉慎押刑事司法政策，依法保护涉案企业和企业家人身和财产合法权益，向涉案企业提出整改意见，督促涉案企业作出合规承诺并积极整改。在日常“挂案”清理工作中，检察机关要针对涉案企业暴露出的经营管理、法律风险方面的突出问题，自觉开展企业合规工作，积极适用第三方监督评估机制，会同公安机关等有关部门综合运用经济、行政、刑事等手段，既促进涉案企业合规守法经营，也警示潜在缺乏规制约束的企业遵纪守法发展，逐步建立长效机制，实现精准监督。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 15px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: left; justify-content: flex-start; transform: translate3d(31px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 10px; outline: 0px; max-width: 100%; display: inline-block; width: auto; vertical-align: top; border-style: solid; border-width: 0px 2px; border-color: rgb(0, 0, 0); align-self: flex-start; flex: 0 0 auto; min-width: 10%; height: auto; z-index: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: -6px 0px 8px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; transform: translate3d(-1px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 17px; color: rgb(0, 0, 0); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">案例三</span></strong></p> </section> <section powered-by="xiumi.us" style="margin: 8px 0px -6px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: -29px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: right; justify-content: flex-end; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 27px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; flex: 0 0 auto; align-self: flex-start; border-width: 0px; height: auto; background-color: rgb(225, 244, 254); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); text-align: justify; font-size: 20px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">山东沂南县Y公司、姚某明等人串通投标案——异地协作开展第三方监督评估，对第三方组织开展“飞行监管”，促进当地招投标领域行业治理</strong></p> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【关键词】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">串通投标  异地协作  飞行监管  关联企业共同整改  行业治理</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;"> </span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【要旨】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">在办理企业合规案件过程中，依托第三方监督评估机制，充分发挥异地协作、公开听证、检察建议等作用，促进涉案企业及关联企业共同整改，形成工作合力。组建巡回检查小组，对第三方组织履职情况开展“飞行监管”，确保对涉案企业的监督评估客观公正有效。延伸检察职能，推动行业治理，实现“办理一案、治理一片”效果。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一、基本案情</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">山东省沂南县Y有限公司（以下简称Y公司）系专门从事家电销售及售后服务的有限责任公司，法定代表人姚某明。除Y公司外，姚某明还实际控制由其表哥姚某柱担任法定代表人的沂水县H电器有限公司（以下简称H公司）。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2016年9月、2018年3月、2020年6月，犯罪嫌疑人姚某明为让Y公司中标沂水县农村义务教育学校取暖空调设备采购、沂水县第一、第四中学教室空调等招标项目，安排犯罪嫌疑人徐某（Y公司员工）借用H公司等三家公司资质，通过暗箱操作统一制作标书、统一控制报价、协调专家评委等方式串通投标，后分别中标，中标金额共计1134万余元。2021年1月，沂水县公安局以Y公司、姚某明等人涉嫌串通投标罪移送沂水县检察院审查起诉。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二、企业合规整改情况及效果</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一是综合审查，确定案件纳入企业合规考察范围。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">沂水县检察院经审查认为，虽然该案中标金额较大，但Y公司姚某明等人有自首情节，主动认罪认罚，Y公司正处于快速发展阶段，在沂南县、沂水县空调销售市场占据较大份额，疫情期间带头捐款捐物，综合考虑企业社会贡献度、发展前景、社会综合评价、企业负责人一贯表现等情况，以及该企业在法律意识、商业伦理、人员管理、财务管理等方面存在的问题，决定对该案适用企业合规试点工作。2021年6月，沂水县检察院经征询涉案企业、个人同意，层报山东省检察院审核批准，对该案正式启动企业合规考察。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二是探索异地协作，对涉案企业开展第三方监督评估。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">结合涉案企业Y公司所在地为沂南县、犯罪地为沂水县的实际，沂水县检察院多次与两地第三方机制管委会及沂南县检察院沟通交流，共同签订《企业合规异地协作协议》，并由沂南、沂水两地第三方机制管委会从专业人员名录库中抽取律师、市场监管、工商联人员5人组建第三方组织，对Y公司合规建设开展监督评估。第三方组织多次深入企业实地走访、考察，主动约谈企业负责人，全面了解企业情况，诊断出Y公司在风险防控、日常管理方面存在缺乏招投标管理制度，内部审批不严，账簿登记不实，守法意识不强，工资发放不规范等诸多问题，指导企业制定覆盖生产经营全过程、各环节和管理层级的合规计划，确定3个月的考察期。整改过程中，第三方组织每月将合规计划执行情况通报双方检察机关及第三方机制管委会，四方会商后对合规计划及执行情况提出修改完善意见建议，定期跟踪调度，并于考察期满后出具对涉案企业的合规考察报告。同时，沂水县检察院积极建议县工商联、县市场监管局指派专人，参照Y公司合规计划，一并督促做好关联企业H公司的合规整改。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三是组建巡回检查小组，对第三方组织履职情况开展“飞行监管”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">沂水县第三方机制管委会制定《沂水县企业合规改革试点巡回检查小组工作方案》，结合本案案情，选取6名熟悉企业经营和法律知识的人大代表、政协委员、人民监督员组成巡回检查小组。巡回检查小组和办案检察官通过不预先告知的方式，深入到两个企业进行实地座谈，现场抽查Y公司近期中标的招标项目，对第三方组织履职情况以及企业合规整改情况进行“飞行监管”。通过现场核查，认为涉案企业整改到位，未发现第三方组织不客观公正履职情况。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">四是延伸检察职能，扩大办案效果。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">承办检察官在全面审查合规考察报告和案件情况的基础上，提出拟不起诉意见。为确保公开公正，检察机关邀请政协委员、人民监督员和第三方机制管委会成员等5人组成听证团，对该案进行合规验收听证，听证人员一致同意检察机关意见。2021年10月，沂水县检察院经综合评估案情、企业合规整改、公开听证等情况，认为Y公司、姚某明等人主动投案、认罪认罚，主观恶性较小，串通投标次数较少，且案发后有效进行企业合规整改，建立健全相关制度机制堵塞管理漏洞，依法合规经营不断创造利税，社会危害性较小，对Y公司、姚某明等人依法作出相对不起诉决定。同时，针对办案过程中发现的问题，沂水县检察院建议行政主管部门对Y公司及其他公司出借资质的行为依法处理；向财政、教育、市场监管三部门发出完善招投标管理、堵塞制度漏洞等检察建议，建议进一步严格落实行贿犯罪查询、政府采购活动中违法违规行为查询等制度规定，加强对招标代理公司管理。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">当地市场监管等部门积极采纳检察建议，开展招投标领域专项整治，对2021年以来60余个招投标项目全面清查，发现标前审查不严格、招标代理机构管理不规范等问题21个，并针对问题逐项整改；举办行业管理人员、招标代理机构专题培训，建立健全投标单位标前承诺制度、违法违规行为强制查询制度，对专项整治以来中标项目进行动态跟踪，畅通违法行为举报途径、加大惩罚力度，强化行政监管，有效遏制了串标、围标等违法行为发生。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三、典型意义</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">1. 积极探索，对第三方组织开展“飞行监管”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">该案中，为确保企业合规建设和第三方组织监督工作依法、规范、有序进行，第三方机制管委会组建巡回检查小组，探索建立“飞行监管”机制，对第三方组织及其组成人员的履职情况开展不预先告知的现场抽查和跟踪监督。实践中，第三方机制管委会可以牵头组建巡回检查小组，邀请人大代表、政协委员、人民监督员、退休法官、检察官以及会计、审计、法律、合规等相关领域的专家学者担任巡回检查小组成员开展巡回检查，并将检查情况及时报告第三方机制管委会及其联席会议，提出改进工作的意见建议。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2. 强化协作配合，促进关联企业共同整改。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">该案探索建立第三方监督评估异地协作模式，对涉案企业开展合规建设。同时由行政主管部门加强对关联企业合规整改的监督指导。经过共同监管，涉案企业及关联企业专门聘请法律顾问进行合规建设，同时建立每月述职谈合规、合规学习、员工管理、财务管理、举报制度等相关机制。整改期间，Y公司参与了六个项目的招投标，依法合规承揽工程2000余万元，稳定持续提供就业岗位200余个。同时，各职能部门在各自管理环节落实“谁执法谁普法”，加强正面引导和反面警示，让招投标领域相关从业人员正确判断自己的行为性质，遵规守法，加强行业自律。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">3. 注重行业治理，实现“办理一案、治理一片”效果。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">近年来，不法分子为经济利益所驱动，在工程建设、设备采购等多个领域大肆“串标”“围标”，不仅严重扰乱市场经济秩序，侵害其他招投标当事人合法利益，还给工程质量、安全管理带来隐患，各方务必高度重视，采取有力措施加以解决。该案中，检察机关积极延伸办案职能，主动作为，注重加强与相关行政主管部门的沟通协作，用好公开听证、检察意见、检察建议组合拳，促进从个案合规提升为行业合规，助力在招投标领域形成合规建设的法治氛围，努力实现“办理一起案件、扶助一批企业、规范一个行业”的良好示范效应。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 15px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: left; justify-content: flex-start; transform: translate3d(31px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 10px; outline: 0px; max-width: 100%; display: inline-block; width: auto; vertical-align: top; border-style: solid; border-width: 0px 2px; border-color: rgb(0, 0, 0); align-self: flex-start; flex: 0 0 auto; min-width: 10%; height: auto; z-index: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: -6px 0px 8px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; transform: translate3d(-1px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 17px; color: rgb(0, 0, 0); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">案例四</span></strong></p> </section> <section powered-by="xiumi.us" style="margin: 8px 0px -6px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: -29px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: right; justify-content: flex-end; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 27px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; flex: 0 0 auto; align-self: flex-start; border-width: 0px; height: auto; background-color: rgb(225, 244, 254); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); text-align: justify; font-size: 20px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">随州市Z公司康某某等人重大责任事故案——在涉企危害生产安全犯罪案件中适用企业合规推动当地企业强化安全生产意识</strong></p> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【关键词】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">重大责任事故  专项合规整改  第三方监督评估 安全生产</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【要旨】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">针对涉案企业安全生产管理中漏洞，检察机关深入开展社会调查，积极引导企业开展合规建设。检察机关委托应急管理局、市场监督管理局、工商联等第三方监督评估机制管委会成员单位以及安全生产协会，共同组成第三方监督评估组织，指导涉案企业及其相关人员结合履行合规计划，认真落实安全生产职责。检察机关对合规考察结果认真审查，组织召开公开听证会，确保合规整改效果，推动当地企业强化安全生产意识。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一、基本案情</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">湖北省随州市Z有限公司（以下简称Z公司）系当地重点引进的外资在华食品加工企业，康某某、周某某、朱某某分别系该公司行政总监、安环部责任人、行政部负责人。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2020年4月15日，Z公司与随州市高新区某保洁经营部法定代表人曹某某签订污水沟清理协议，将食品厂洗衣房至污水站下水道、污水沟内垃圾、污泥的清理工作交由曹某某承包。2020年4月23日，曹某某与其同事刘某某违规进入未将盖板挖开的污水沟内作业时，有硫化氢等有毒气体溢出，导致二人与前来救助的吴某某先后中毒身亡。随州市政府事故调查组经调查后认定该事故为一起生产安全责任事故。曹某某作为清污工程的承包方，不具备有限空间作业的安全生产条件，在未为作业人员配备应急救援装备及物资，未对作业人员进行安全培训的情况下，违规从事污水沟清淤作业，导致事故发生，对事故负有直接责任。康某某、周某某、朱某某作为Z公司分管和负责安全生产的责任人，在与曹某某签订合同以及曹某某实施清污工程期间把关不严，未认真履行相关工作职责，未及时发现事故隐患，导致发生较大生产安全事故。案发后，康某某、周某某、朱某某先后被公安机关采取取保候审措施，Z公司分别对曹某某等三人的家属进行赔偿，取得了谅解。2021年1月22日，随州市公安局曾都区分局以康某某、周某某、朱某某涉嫌重大责任事故罪移送随州市曾都区检察院审查起诉。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二、企业合规整改情况及效果</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一是审查启动企业合规考察。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">曾都区检察院经审查认为，康某某等人涉嫌重大责任事故罪，属于企业人员在生产经营履职过程中的过失犯罪，同时反映出涉案企业存在安全生产管理制度不健全、操作规程执行不到位等问题。事故报告认定被害人曹某某对事故负有直接责任，结合三名犯罪嫌疑人的相应管理职责，应当属于次要责任。三人认罪认罚，有自首情节，依法可以从宽、减轻处罚。Z公司系外资在华企业，是当地引进的重点企业，每年依法纳税，并解决2500余人的就业问题，对当地经济助力很大。且Z公司所属集团正在积极准备上市，如果公司管理人员被判刑，对公司发展将造成较大影响。2021年5月，检察机关征询Z公司意见后，Z公司提交了开展企业合规的申请书、书面合规承诺以及企业经营状况、纳税就业、社会贡献度等证明材料，检察机关经审查对Z公司作出合规考察决定。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二是精心组织第三方监督评估。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关委托当地应急管理局、市场监督管理局、工商联等第三方监督评估机制管委会成员单位以及安全生产协会，共同组成了第三方监督评估组织。第三方组织指导涉案企业结合事故调查报告和整改要求，按照合规管理体系的标准格式制定、完善合规计划；建立以法定代表人为负责人、企业部门全覆盖的合规组织架构；健全企业经营管理需接受合规审查和评估的审查监督、风险预警机制；完善安全生产管理制度和定期检查排查机制，从制度上预防安全事故再发生，初步形成安全生产领域“合规模板”。Z公司在合规监管过程中积极整改并向第三方组织书面汇报合规计划实施情况。2021年8月，第三方组织对Z公司合规整改及合规建设情况进行评估，并报第三方机制管委会审核，Z公司通过企业合规考察。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三是公开听证依法作出不起诉决定。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关在收到评估报告和审核意见后组织召开公开听证会，邀请省人大代表、省政协委员、人民监督员、公安机关和行政监管部门代表、工商联代表以及第三方组织代表参加听证，参会人员一致同意检察机关对康某某等三人作不起诉处理。2021年8月24日，检察机关依法对康某某、周某某、朱某某作出不起诉决定。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">Z公司通过开展合规建设，逐步建立起完备的生产经营、安全防范、合规内控的管理体系，企业管理人员和员工的安全生产意识和责任感明显增强，生产效益得到进一步提升。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三、典型意义</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">1. 检察机关积极稳妥在涉企危害生产安全犯罪案件中适用企业合规，推动当地企业强化安全生产意识。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关为遏制本地生产安全事故多发频发势头，保护人民群众生命财产安全，教育警示相关企业建立健全安全生产管理制度，积极稳妥选择在安全生产领域开展企业合规改革试点。涉企危害生产安全犯罪具有不同于涉企经济犯罪、职务犯罪的特点，检察机关需要更加深入细致开展社会调查，对涉企危害生产安全犯罪的社会危害性以及合规整改的必要性、可行性进行全面评估，确保涉案企业“真整改”“真合规”，切实防止“边整改”“边违规”。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2. 检察机关在企业合规试点中注意“因罪施救”“因案明规”。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">在合规整改期间，检察机关针对危害生产安全犯罪的特点，建议第三方组织对企业合规整改情况定期或不定期进行检查，确保企业合规整改措施落实落细。同时，第三方组织还根据检察机关建议，要求企业定期组织安全生产全面排查和专项检查，组织作业人员学习生产安全操作规程，加强施工承包方安全资质审查，配备生产作业防护设备，聘请专家对企业人员进行专项安全教育培训并考试考核。涉案企业通过合规整改，提高了安全生产隐患排查和事故防范能力，有效防止再次发生危害生产安全违法行为。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">3. 检察机关积极适用第三方机制，确保监督评估的专业性。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">本案中，检察机关紧密结合涉企危害生产安全犯罪特点，有针对性加强与第三方机制管委会沟通协调，由安全生产领域相关行政执法机关、行业协会人员组成第三方组织，应急管理部门相关人员担任牵头人，提升监督评估专业性。第三方组织围绕本案中造成生产安全责任事故的重要因素，如未认真核验承包方作业人员劳动防护用品、应急救援物资配备等情况，未及时发现承包方劳动防护用品配备不到位等问题，指导涉案企业及其相关人员结合履行合规计划，认真落实安全生产职责，细致排查消除安全生产隐患，确保合规整改取得实效。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 15px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: left; justify-content: flex-start; transform: translate3d(31px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 10px; outline: 0px; max-width: 100%; display: inline-block; width: auto; vertical-align: top; border-style: solid; border-width: 0px 2px; border-color: rgb(0, 0, 0); align-self: flex-start; flex: 0 0 auto; min-width: 10%; height: auto; z-index: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: -6px 0px 8px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; transform: translate3d(-1px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 17px; color: rgb(0, 0, 0); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">案例五</span></strong></p> </section> <section powered-by="xiumi.us" style="margin: 8px 0px -6px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: -29px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: right; justify-content: flex-end; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 27px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; flex: 0 0 auto; align-self: flex-start; border-width: 0px; height: auto; background-color: rgb(225, 244, 254); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); text-align: justify; font-size: 20px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">深圳X公司走私普通货物案——持续开展合规引导，做好刑事司法与行政管理行业治理的衔接贯通</strong></p> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【关键词】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">合规激励  第三方监督评估  行刑衔接  合规传导</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【要旨】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">积极探索检察履职与企业合规的结合方式，发挥少捕、慎诉等刑事司法政策的优势，激励企业加强合规管理。在涉案企业进行合规整改的过程中，检察机关应发挥程序性主导作用及保持中立性，推动企业真正依法合规经营。通过检察履职传导合规理念，加强与行政机关的沟通协作，促进“合规互认”，提升合规效果，增强参与力量，形成保护民营经济健康发展合力。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一、基本案情</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">X股份有限公司（以下简称“X公司”）系国内水果行业的龙头企业。2018年开始，X公司从其收购的T公司进口榴莲销售给国内客户。张某某为T公司总经理，负责在泰国采购榴莲并包装、报关运输至香港；曲某某为X公司副总裁，分管公司进口业务；李某、程某分别为X公司业务经理，负责具体对接榴莲进口报关、财务记账、货款支付等。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">X公司进口榴莲海运主要委托深圳、珠海两地的S公司（另案处理）代理报关。在报关过程中，由S公司每月发布虚假“指导价”，X公司根据指导价制作虚假采购合同及发票用于报关，报关价格低于实际成本价格。2018年至2019年期间，X公司多次要求以实际成本价报关，均被S公司以统一报价容易快速通关等行业惯例为由拒绝。2019年4月后，经双方商议最终决定以实际成本价报关。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2019年12月12日，张某某、曲某某、李某、程某被抓获归案。经深圳海关计核，2018年3月至2019年4月，X公司通过S公司低报价格进口榴莲415柜，偷逃税款合计397万余元。案发后，X公司规范了报关行为，主动补缴了税款。2020年1月17日，深圳市检察院以走私普通货物罪对张某某、曲某某批准逮捕，以无新的社会危险性为由对程某、李某作出不批准逮捕决定。2020年3月3日，为支持疫情期间企业复工复产，根据深圳市检察院建议，张某某、曲某某变更强制措施为取保候审。2020年6月17日，深圳海关缉私局以X公司、张某某、曲某某、李某、程某涉嫌走私普通货物罪移送深圳市检察院审查起诉。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二、企业合规整改情况及效果</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一是精准问诊，指导涉案企业扎实开展合规建设。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2020年3月，在深圳市检察院的建议下，X公司开始启动为期一年的进口业务合规整改工作。X公司制定的合规计划主要针对与走私犯罪有密切联系的企业内部治理结构、规章制度、人员管理等方面存在的问题，制定可行的合规管理规范，构建有效的合规组织体系，完善相关业务管理流程，健全合规风险防范报告机制，弥补企业制度建设和监督管理漏洞，防止再次发生类似违法犯罪。经过前期合规整改，X公司在集团层面设立了合规管理委员会，合规部、内控部与审计部形成合规风险管理的三道防线。加强代理报关公司合规管理，明确在合同履行时的责任划分。聘请进口合规领域的律师事务所、会计师事务所对重点法律风险及其防范措施提供专业意见，完善业务流程和内控制度。建立合规风险识别、合规培训、合规举报调查、合规绩效考核等合规体系运行机制，积极开展合规文化建设。X公司还制定专项预算，为企业合规体系建设和维护提供持续的人力和资金保障。合规建设期间，X公司被宝安区促进企业合规建设委员会（以下简称“宝安区合规委”）列为首批合规建设示范企业。鉴于该公司积极开展企业合规整改，建立了较为完善的合规管理体系，实现合规管理对所有业务及流程的全覆盖，取得阶段性良好效果，为进一步支持民营企业复工复产，深圳市检察院于2020年9月9日对X公司及涉案人员作出相对不起诉处理，X公司被不起诉后继续进行合规整改。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二是认真开展第三方监督评估，确保企业合规整改效果。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">为检验合规整改效果，避免“纸面合规”“形式合规”，深圳市宝安区检察院受深圳市检察院委托，于2021年6月向宝安区合规委提出申请，宝安区合规委组织成立了企业合规第三方监督评估工作组，对X公司合规整改情况进行评估验收和回访考察。第三方工作组通过查阅资料、现场检查、听取汇报、针对性提问、调查问卷等方式进行考察评估并形成考察意见。工作组经考察认为，X集团的合规整改取得了明显效果，制定了可行的合规管理规范，在合规组织体系、制度体系、运行机制、合规文化建设等方面搭建起了基本有效的合规管理体系，弥补了企业违法违规行为的管理漏洞，从而能够有效防范企业再次发生相同或者类似的违法犯罪。通过合规互认的方式，相关考察意见将作为深圳海关对X公司作出行政处理决定的重要参考。为了确保合规整改的持续性，考察结束后，第三方工作组继续对X集团进行为期一年的回访考察。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三是强化合规引导，做好刑事司法与行政管理、行业治理的衔接贯通。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">深圳市检察院在该案办理过程中，在合规整改结果互认、合规从宽处理等方面加强与深圳海关的沟通协作，形成治理合力，共同指导X公司做好合规整改，发挥龙头企业在行业治理的示范作用。整改期间，X公司积极推动行业生态良性发展，不仅主动配合海关总署关税司工作，不定期提供公司进口水果的采购价格，作为海关总署出具验估价格参数的参照标准，还参与行业协会调研、探讨开展定期价格审查评估与监督机制。针对案件办理过程中发现的行政监管漏洞、价格低报等行业普遍性问题，深圳市检察院依法向深圳海关发出《检察建议书》并得到采纳。深圳海关已就完善进口水果价格管理机制向海关总署提出合理化建议，并对报关行业开展规范化管理以及加强普法宣讲，引导企业守法自律。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">开展合规整改以来，X集团在合法合规的基础上，实现了年营业收入25%、年进口额60%的逆势同比增长。2021年8月10日X集团被评为深圳市宝安区“3A”信用企业（3A：海关认证、纳税信用、公共信用），同年9月9日被评为诚信合规示范企业。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三、典型意义</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">1. 落实少捕慎诉慎押刑事司法政策，降低办案对企业正常生产经营的影响。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">该案中，鉴于X公司长期以正规报关为主，不是低报走私犯意的提起者，系共同犯罪的从犯，案发后积极与海关、银行合作，探索水果进口合规经营模式，深圳市检察院经过社会危险性量化评估，对重要业务人员李某、程某作出不捕决定。在跟踪侦查进展，深入了解涉案企业复工复产状况的基础上，深圳市检察院对两名高管张某某、曲某某启动捕后羁押必要性审查。经审查，深圳市检察院认为该案事实已经查清，主要证据已收集完毕，建议侦查机关将两名高管变更强制措施回归企业。后侦查机关根据建议及时对张某某、曲某某变更为取保候审，有效避免企业生产停顿带来的严重影响。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2. 坚守法定办案期限，探索合规考察不局限于办案期限的模式。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">企业合规改革试点要依法有序推进，不能随意突破法律。改革试点中，如何处理合规考察期限和办案期限的关系是亟需厘清的重要问题。根据案件采取强制措施方式的不同，至多存在六个半月或一年的不同办案期限。本案中，涉案企业作为大型民营企业，其涉案合规风险点及合规管理体系建设较为复杂，合规整改时间无法在案件办理期限内完成。作为企业合规改革第一批试点地区，深圳检察机关根据涉案企业阶段性的合规整改情况作出不起诉决定后，持续督促其进行合规整改，合规考察期限届满后通过第三方工作组开展合规监督评估，确保合规整改充分开展、取得实效。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">3. 积极促成“合规互认”，彰显企业合规程序价值。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关对涉案企业作出不起诉决定后，行政执法机关仍需对涉案企业行政处罚的，检察机关可以提出检察意见。在企业合规整改期限较长的情况下，合规程序往往横跨多个法律程序，前一法律程序中已经开展的企业合规能否得到下一法律程序的认可，是改革试点实践中普遍存在的问题。本案中，深圳市检察机关对涉案企业开展第三方监督评估后，积极促成“合规互认”，将企业合规计划、定期书面报告、合规考察报告等移送深圳海关，作为海关作出处理决定的重要参考，彰显了企业合规的程序价值。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">4. 设置考察回访程序，确保合规监管延续性。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">企业合规监督评估后，涉案企业合规体系是否能实现持续有效地运转，直接关系到合规整改的实效。本案中，第三方工作组针对涉案企业合规管理体系建设尚待完善之处，再进行为期一年的企业合规跟踪回访，助力企业通过持续、全面合规打造核心竞争力。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;"> </span></p> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 16px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 15px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: left; justify-content: flex-start; transform: translate3d(31px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px 10px; outline: 0px; max-width: 100%; display: inline-block; width: auto; vertical-align: top; border-style: solid; border-width: 0px 2px; border-color: rgb(0, 0, 0); align-self: flex-start; flex: 0 0 auto; min-width: 10%; height: auto; z-index: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: -6px 0px 8px; padding: 0px; outline: 0px; max-width: 100%; text-align: center; justify-content: center; transform: translate3d(-1px, 0px, 0px); box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 17px; color: rgb(0, 0, 0); line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 20px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">案例六</span></strong></p> </section> <section powered-by="xiumi.us" style="margin: 8px 0px -6px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; background-color: rgb(0, 0, 0); height: 2px; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <svg style="float:left;line-height:0;width:0;vertical-align:top;" viewBox="0 0 1 1"></svg></section> </section> </section> </section> </section> </section> <section powered-by="xiumi.us" style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: -29px 0px 10px; padding: 0px; outline: 0px; max-width: 100%; display: flex; flex-flow: row nowrap; text-align: right; justify-content: flex-end; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 27px; outline: 0px; max-width: 100%; display: inline-block; width: 878px; vertical-align: top; flex: 0 0 auto; align-self: flex-start; border-width: 0px; height: auto; background-color: rgb(225, 244, 254); box-sizing: border-box !important; word-wrap: break-word !important;"> <section powered-by="xiumi.us" style="margin: 10px 0px 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"> <section style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); text-align: justify; font-size: 20px; line-height: 2; box-sizing: border-box !important; word-wrap: break-word !important;"> <p style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">海南文昌市S公司、翁某某掩饰、隐瞒犯罪所得案——非试点地区在法律框架内积极开展企业合规改革相关工作因地制宜推动第三方监督评估机制规范运行</strong></p> </section> </section> </section> </section> </section> </section> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【关键词】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">掩饰、隐瞒犯罪所得  第三方监督评估  公开听证  轻缓量刑建议</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">【要旨】</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">非试点地区严格按照法律规定和企业合规改革的精神，在本地选择符合条件的涉案高新技术民营企业开展企业合规考察。结合案发原因指导企业制定切实可行的合规计划，根据地方实际，推动第三方监督评估机制规范运行。企业合规整改结束后，检察机关组织公开听证，综合考虑案情及合规考察效果，对涉案企业及责任人依法提起公诉，并提出轻缓量刑建议。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一、基本案情</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">海南省文昌市S科技开发有限公司（以下简称S公司）系当地高新技术民营企业，翁某某系该公司厂长。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2015年至2016年期间，张某某（另案处理）在海南省文昌市翁田镇某处实施非法采矿，经张某某雇请的王某某（另案处理）联系，将采挖的石英砂出售给S公司。S公司厂长翁某某为解决生产原料来源问题，在明知石英砂为非法采挖的情况下，仍予以收购，共计3.69万吨。随后，翁某某安排公司财务部门通过公司员工陈某某及翁某某个人账户，将购砂款转账支付给王某某，王某某再将钱取出交给张某某。经审计，S公司支付石英砂款共计125万余元。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2020年2月，文昌市公安局在侦查张某某涉恶犯罪团伙案件时，发现翁某某涉嫌掩饰、隐瞒犯罪所得犯罪线索。2021年1月，翁某某经公安机关传唤到案后，如实供述犯罪事实，自愿认罪认罚。2021年2月，文昌市公安局以翁某某涉嫌掩饰、隐瞒犯罪所得罪移送文昌市检察院审查起诉。检察机关经审查，以涉嫌掩饰、隐瞒犯罪所得罪追加S公司为被告单位。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二、企业合规整改情况及效果</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">一是认真审查启动企业合规。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关经审查了解，S公司、翁某某涉嫌掩饰、隐瞒犯罪所得罪，反映出该公司及其管理人员过度关注生产效益，片面追求经济利益，法律意识较为淡薄。S公司系高新技术民营企业，生产的产品广泛应用于航天、新能源、芯片等领域，曾荣获全国优秀民营科技企业创新奖，现有员工80余人，年产值2000余万元。2021年3月，经S公司申请，检察机关启动合规整改程序，要求该公司对自身存在的管理漏洞进行全面自查并开展合规整改。2021年4月，S公司提交了合规整改承诺书，由公司董事会审核通过，并经检察机关审查同意，企业按照要求进行合规整改。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">二是扎实开展第三方监督评估。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2021年7月，由文昌市自然资源和规划局、市场监督管理局、税务局、综合行政执法局、工商联等单位的相关人员以及人大代表、政协委员、律师代表等组成的第三方监督评估组织，对S公司合规整改情况进行评估验收。2021年8月，第三方监督评估组织出具评估验收报告，认为S公司已经按照要求进行合规整改，建立了较为完善的内控制度和管理机制，可以对类似的刑事合规风险进行识别并有效预防违法犯罪。检察机关就S公司是否符合从宽处理条件及案发后合规整改评估情况举行公开听证会，充分听取人大代表、政协委员、律师代表和相关行政部门负责人的意见，还邀请人民监督员参加，全程接受监督。听证会上，听证员、人民监督员一致同意检察机关对S公司和翁某某的从宽处理意见，同时认可该企业的整改结果。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三是综合考虑提出轻缓量刑建议。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;">2</span><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">021年9月，文昌市检察院根据案情，结合企业合规整改情况，以S公司、翁某某涉嫌掩饰、隐瞒犯罪所得罪依法提起公诉，并提出轻缓量刑建议。2021年11月，文昌市法院采纳检察机关全部量刑建议，以掩饰、隐瞒犯罪所得罪分别判处被告单位S公司罚金3万元；被告人翁某某有期徒刑一年，缓刑一年六个月，并处罚金人民币1万元；退缴的赃款125万余元予以没收，上缴国库。判决已生效。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; color: rgb(41, 41, 145); box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">三、典型意义</span></strong></span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">1. 非试点地区在法律框架内积极开展企业合规改革相关工作。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">文昌市检察院充分认识开展涉案企业合规改革工作的重大意义，作为非试点地区积极主动作为，全面梳理排查2020年以来受理的涉企刑事案件，建立涉企案件台账，通过严把企业合规案件的条件和范围，精心选定开展企业合规改革工作的重点案件。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">2. 结合案发原因，指导企业制定切实可行的合规计划。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">检察机关经审查认为，S公司在合规经营方面主要存在两个方面的明显漏洞，首先是合同签订履行存在违法风险，其次是财务管理存在违规漏洞。鉴此，有针对性地指导企业重点围绕建立健全内部监督管理制度进行整改，督促企业在业务审批流程中增加合规性审查环节，建立起业务流程审批—法律事务审核（合规性审查）—资金收支规范—集团公司审计等四个方面全流程监管体系，有效防控无书面合同交易、坐支现金等突出问题。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">3. 根据本地实际，推动第三方监督评估机制规范运行。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">作为非试点地区，检察机关商请当地自然资源和规划局、市场监督管理局、税务局、综合行政执法局、工商联等单位的业务骨干以及人大代表、律师代表组成第三方组织对S公司合规整改情况进行评估验收，评估方式包括召开座谈会、查阅公司资料和台账、对经营场所检查走访等。各方面专业人员在此基础上结合各自职责范围出具评估验收报告，督促涉案企业履行合规承诺，促进企业合规经营。</span></p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"> </p> <p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; line-height: 2em; box-sizing: border-box !important; word-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">4. 充分履行检察职能，确保合规工作取得实效。</span></strong><span style="margin: 0px; padding: 0px; outline: 0px; max-width: 100%; font-size: 18px; box-sizing: border-box !important; word-wrap: break-word !important;">本案中，检察机关结合办案发现、研判企业管理制度上的漏洞，向涉案企业制发检察建议，有针对性地指出问题，提出整改建议要求，督促涉案企业履行合规承诺。同时，还派员不定期走访S公司及相关单位，持续对合规整改进行跟踪检查并提出意见建议。整改完成后，及时公开听证，做到“能听证、尽听证”。目前，S公司在合规整改完成后，已妥善解决生产原料来源问题，经营状况良好。</span></p><p style="margin: 0px 8px; padding: 0px; outline: 0px; max-width: 100%; clear: both; min-height: 1em; 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padding: 0px; outline: 0px;" tabindex="0"> <div class="weui-half-screen-dialog wx_bottom_modal" style="margin: 0px; outline: 0px; position: fixed; left: 0px; right: 0px; bottom: 0px; min-height: 255px; max-height: none; z-index: 5000; line-height: 1.4; background-color: var(--weui-BG-2); border-top-left-radius: 12px; border-top-right-radius: 12px; box-sizing: border-box; display: flex; -webkit-box-orient: vertical; -webkit-box-direction: normal; flex-direction: column; transform: translateY(100%); transition: transform 0.3s, transform 0.3s; visibility: hidden;"> <div class="weui-half-screen-dialog__bd" style="margin: 0px; padding: 0px 0px 56px; outline: 0px; -webkit-box-flex: 1; flex: 1 1 0%; min-height: 0px; overflow-y: auto; display: flex; -webkit-box-orient: vertical; -webkit-box-direction: normal; flex-direction: column; word-wrap: break-word; -webkit-hyphens: auto; font-size: 14px; color: var(--weui-FG-0); position: relative;" wah-hotarea="touchend"> <div style="margin: 0px; padding: 0px; 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padding: 0px; outline: 0px; background-color: rgba(0, 0, 0, 0.6); position: fixed; z-index: 998; inset: -100px 0px 0px; visibility: hidden; opacity: 1;" wah-hotarea="click"> </div> </div> </div> </div> </div> </div> </div> </div> <span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_colon" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">：</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_comma" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">，</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_period" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">。</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_type_video" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">视频</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_type_weapp" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">小程序</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_zan_btn_txt" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">赞</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_zan_btn_tips" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">，轻点两下取消赞</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_like_btn_txt" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">在看</span><span aria-hidden="true" class="weui-hidden_abs" id="js_a11y_like_btn_tips" style="margin: 0px; padding: 0px; outline: 0px; opacity: 0; position: absolute; width: 1px; height: 1px; overflow: hidden; left: auto;">，轻点两下</span></div> </div> </div> </div> <p> </p>
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