行政合规裁量扩张论  

Expansion of Administrative Compliance Discretion

作　　者：何瑞祥 HE Ruixiang(Shanghai Jiao Tong University Koguan Law School,Shanghai 200030,China)

机构地区：[1]上海交通大学凯原法学院,上海200030

出　　处：《现代法学》2024年第2期193-208,共16页Modern Law Science

摘　　要：行政合规裁量扩张论将行政合规中行政机关对企业减免处罚的行为,视为行政机关在没有明确的法律规范规定,但符合法律规范目的情形下,所作出的扩张行政裁量的行为,从而消除“行政权不可处分”原则与行政合规之间的龃龉。行政合规裁量包括契约裁量和处分裁量两阶段构造,是否合意构成了契约裁量与处分裁量的界碑。合规契约不具有执行力,行政机关有权裁量契约要素在合规处分中的比重,故合规行政处分仍是单方行政行为。行政合规裁量扩张应满足裁量授权规范的保护目的;把责任从企业外部有限度地转化到企业内部,实现实质制裁;在处分裁量后,再加上非类型化监管行为。对此,应基于规范保护目的,明确行政合规裁量扩张的界限,从而实现法益保护与规范效力的保障。The theory of expansion of administrative compliance discretion regards the act of reducing or exempting from penalty imposed by the administrative agency on the enterprise in administrative compliance as the act of expanding the administrative discretion made by the administrative agency in the absence of clear legal norms but in line with the purpose of legal norms,so as to eliminate the discord between the principle of“administrative power cannot be disposed”and administrative compliance.Administrative compliance discretion includes a two-stage structure,namely contractual discretion and disposition discretion,and whether or not it is consensual constitutes a boundary between contractual discretion and disposition discretion.The compliance contract is not enforceable,and the administrative authority has the right to determine the proportion of the elements of the contract in the compliance disposition,so the compliance disposition is still a unilateral high-power administrative act.The expansion of administrative compliance discretion should meet the protective purpose of the discretionary authorization specification,transferring the responsibility from the outside of the enterprise to the inside of the enterprise to achieve substantive sanctions.After the discretion of the sanction,the non-formalized regulatory behavior should be added.In this regard,based on the purpose of normative protection,the boundaries of the expansion of administrative compliance discretion should be clarified,so as to achieve the protection of legal interests and the guarantee of normative effectiveness.

关 键 词：行政合规 裁量扩张 行政契约 行政处分 规范保护目的 

分 类 号：DF34[政治法律—宪法学与行政法学]