中国反海外腐败执法障碍的类型化及其应对  

Identification and Discussion on Barriers to China s Anti-foreign Corruption Enforcement

作　　者：敖博 Ao Bo

机构地区：[1]中国人民大学刑事法律科学研究中心 [2]美国纽约大学法学院

出　　处：《财经法学》2023年第3期161-177,共17页Law and Economy

基　　金：国家社会科学基金重大项目“健全支持民营经济发展的刑事法治研究”(20&ZD198)阶段性成果;国家留学基金资助。

摘　　要：自《刑法修正案(八)》将“对外国公职人员、国际公共组织官员行贿”入罪以来,尚无以该罪定罪的刑事案件,由此形成了规范文本与刑事司法间的“执法落差”。这一现象由实体法、程序法及“外源性”障碍共同导致。实体法层面的执法障碍主要表现为刑事管辖权依据的部分缺失、单位刑事归责基础的弊端以及对该罪社会危害性评价的不足,对此应主要从立法论与解释论层面作适应性调整,并引入组织体刑事责任理念。程序法层面的执法障碍主要集中于线索获取、证据收集、刑事审判三个阶段,对此可通过以“公司警务”与“刑事合规”为核心的非庭审解决模式来解决。“外源性”执法障碍主要表现为经济场域对刑事司法场域运作逻辑的塑造,但在国际反海外腐败执法发生重大变化的背景下,应重新评估“囚徒困境”对我国企业“走出去”所能产生的经济红利。Since the introduction of the Chinese FCPA in the Eighth Amendment to the Criminal Law,there has been no public record of law enforcement by Chinese courts,thus creating an enforcement gap between law in books and law in actions in the field of anti-foreign corruption,which is a phenomenon that needs to be explained.This paper argues that the enforcement gap is caused by a combination of barriers in substantial criminal law,criminal procedure and the exogenous field.The substantial criminal law barriers are related to jurisdiction,corporate liability and evaluation of harm,which can be dealt with by legislative activities and statutory interpretations,as well as the introduction of the inherent corporate criminal liability.The procedural barriers include obstacles in getting clues,collecting evidence and criminal trial,which can be solved by non-trial resolution with self-policing and corporate compliance as the core.The exogenous law enforcement barrier is mainly a result of the economic field shaping the operation logic of the criminal justice field.However,under the context of significant changes in anti-foreign corruption law enforcement worldwide,the prisoner s dilemma effect should be re-evaluated.

关 键 词：对外国公职人员、国际公共组织官员行贿罪 海外腐败 执法障碍 合规建设 

分 类 号：D924.3[政治法律—刑法学] D997.9[政治法律—法学]