国企纪检监察机构在合规管理中的履职困境与应对策略

Power Execution Dilemma of Discipline Inspection and Supervision Organs in State-Owned Enterprises in Compliance Management and Countermeasures

企业合规管理具有多元功能面向,有利于提升企业的风险抵御能力。根据相关合规管理文件的要求,国企纪检监察部门在职权范围内履行合规管理职责。因此,国企纪检监察机构履行企业廉政风险合规管理、承担违规管理与问责职能具有必要性和可行性。在党风廉政建设与国企治理的衔接上,如何将清廉国企建设与合规管理体系构建进行融合,成为新时代国企纪检监察部门履职的基本要求或趋势。然而,国企纪检监察机构的违规管理职能与纪检监察职能间的关系厘定以及如何弥合差异化的监察授权与违规管理间的需求鸿沟,成为国企纪检监察机构履职的挑战。破解国企纪检监察机构履行合规管理职责的困境,需要进一步完善监察授权的相关立法,规范企业合规管理中的违规调查措施、明确国企进行违规管理的处置与问责方式,有效衔接国企纪检监察机构既定的反腐职能。

In the compliance area,the enterprise compliance management has multiple functions beneficial to enhancing the enterprise's ability to counter risks.In accordance with the relative guidelines,the Discipline Inspection and Supervision Departments of state-owned enterprises shall perform compliance management duties within the scope of their functions and powers.Therefore,it is necessary and feasible for the discipline inspection and Supervision Organization of state-owned enterprises to carry out the compliance management,and to undertake the duty of violation management and accountability.In connecting the Party conduct and clean government construction and corporate governance,how to integrate the construction of"clean and honest state-owned enterprises"with the construction of compliance management system has become the basic requirement or trend for discipline inspection and supervision departments of state-owned enterprises in the new era.However,how to determine the relationship between the functions of non-compliance management and the functions of discipline inspection and supervision,and how to bridge the requirement gap between differentiated supervision authorities and the non-compliance management have posed great challenges for the discipline inspection and supervision institutions of enterprises to perform their duties.In order to solve the dilemma,it is necessary to further improve relevant legislation on supervision authorization,standardize the investigation measures of enterprises'compliance management,clarify the ways of handling and accountability,and effectively perform anti-corruption function of discipline inspection and supervision organs in such enterprises.