企业行政合规程序模式的选取

Selection of Procedure Model of Corporate Administrative Compliance

企业行政合规对“行政权不可处分原则”的冲击,从实体法上很难有缓解路径。相反,以行政正当程序为切入口,通过开放、民主的行政程序开展合规,是目前较为可行的替代方案。现阶段,合规程序分为“行政机关自我主导模式”和“检察机关居中主持模式”两种,二者各有利弊。从尊重行政自治和控制合规裁量权的角度来看,应对两种模式进行合并、融合,将“检察机关居中主持模式”划归为“行政机关自我主导模式”的一个环节,创建贯通二者的“混合模式”。相较而言,“混合模式”具有更为有力的权力制衡作用,可以很好地平衡企业行政合规和严格依法行政的紧张关系。基于对行政自治的尊重,“混合模式”并不能普遍适用于所有行政合规,应将重心置于“涉案合规”“事后合规”“单罚合规”“免罚合规”等在正当性上更具挑战的案件类型中。

The impact of corporate administrative compliance on the principle of non disciplinability of administrative power is difficult to find a relief path from the perspective of substantive law.On the contrary,using administrative due process as the entry point and conducting compliance through open and democratic administrative procedures is currently a more feasible alternative.At present,compliance procedures can be divided into two types:“administrative agency self leadership mode”and“procuratorial agency centered hosting mode”,each with its own advantages and disadvantages.From the perspective of respecting administrative autonomy and controlling compliance discretion,the two models should be merged and integrated,and the“procuratorial agency centered hosting model”should be classified as a part of the“administrative agency self leadership model”,creating a“hybrid model”that connects the two.Compared to others,the hybrid model has a more powerful power balance effect,which can effectively balance the tense relationship between administrative compliance and strict legal administration in enterprises.Based on respect for administrative autonomy,the“hybrid model”cannot be universally applied to all administrative compliance,and the focus should be on more challenging types of cases in terms of legitimacy,such as“compliance involved in cases”,“post compliance”,“single penalty compliance”,and“exemption compliance”.