企业合规在行政执法和解中的导入研究

Study on the Introduction of Enterprise Compliance Into Administrative Law Enforcement Reconciliation

《行政强制法》第42条所规定的“执行协议”制度,为行政执法适用和解提供了契机。然而,由于该制度规定比较粗疏,导致执法和解实践存在适用率偏低、适用范围不清、适用条件不明、效果不佳等突出问题,面临困境。当下,企业合规的理念和模式,为执法和解制度的转型发展提供了契机。企业合规理论强调,对涉嫌违法犯罪的企业,可予以暂缓起诉或相对不起诉处理,其前提条件是,企业与执法机关达成“合规整改协议”,并严格执行,合规整改期满考核合格。很显然,将该理念导入行政执法中,具有很好的契合性和发展前景:意味着对违法企业作出处罚决定前,执法机关可以与其达成以合规整改为核心内容的和解协议,期满考核合格后,可作出减免处罚等处理。此举将为执法和解制度注入活力,使其在理念、目的、机制和功能的实现上,更具正当性、合理性、效率性和时代性,并促使其核心目标、制度定位、执法效能等发生有益转变,从而塑造出更符合实践理性的行政执法和解制度,并融入未来的“行政基本法”。

The“execution agreement”system stipulated in Article 42 of the Administrative Compulsion Law provides an opportunity for the application of reconciliation in administrative law enforcement.However,due to the relatively sparse provisions of the system,law enforcement reconciliation practices have prominent problems such as low application rate,unclear scope of application,unclear conditions of application and unsatisfactory effects,and are faced with difficulties.At present,the concept and mode of enterprise com⁃pliance provide an opportunity for the transformation and development of law enforcement reconciliation sys⁃tem.The enterprise compliance theory emphasizes that the enterprises suspected of violation of law or crimes can be deferred to be prosecuted or relatively non-prosecuted.The prerequisite is that the enterprises reach a“compliance rectification agreement”with the law enforcement authorities,strictly implement the agree⁃ment,and pass the inspection after the compliance rectification period.Obviously,the introduction of this concept into administrative law enforcement has good compatibility and prospects:it means that before mak⁃ing punishment decisions against illegal enterprises,law enforcement agencies can reach a reconciliation a⁃greement with compliance rectification as the core content,and after the enterprises pass the inspection at the end of the period,law enforcement agencies can reduce or cancel the punishment.This action will inject vitality into the law enforcement reconciliation system,make it more legitimate,reasonable,efficient and epochal in terms of the realization of the concept,purpose,mechanism and function,and promote the bene⁃ficial changes of its core objectives,system positioning,law enforcement efficiency,etc.,so as to shape a more practical and rational administrative law enforcement reconciliation system and to integrate into the fu⁃ture“Administrative Basic Law”.