行政调查中行政合规和解模式的兴起及实现  

The Rise and Realization of the Administrative Compliance Settlement Mode in Administrative Investigations

作　　者：张圣泽 Zhang Shengze

机构地区：[1]中华女子学院法学院 [2]中华女子学院法学院中国妇女儿童权益保障研究院

出　　处：《南大法学》2024年第6期110-125,共16页NanJing University Law Journal

摘　　要：行政和解试点期间,高盛行政和解案、上海司度行政和解案两则案例并未明确引入合规机制;行政执法当事人承诺制度规范亦未规定企业合规激励要素。这就导致行政和解蕴含的契约行政、合作行政价值难以充分彰显,企业合规具有的激励功能无法融入行政监管实践。“紫晶存储案”将企业合规与行政执法当事人承诺制度相结合,为行政和解制度注入合规激励机制,在实践层面开创了“行政合规和解模式”。现代行政法治图景中,行政监管从违法行为到违法风险、从行政威慑到行政激励、从追究责任到追求效能的全方位转型是行政合规和解模式兴起的现实基础。未来,行政合规和解模式实践应当立足于行政执法当事人承诺制度具备的过程性特征,事前评估当事人合规承诺,决定是否适用当事人承诺并签署认可协议;事中践行当事人合规管理体系建设全过程指导,协助当事人充分履行合规承诺;事后评估当事人合规整改有效性,认定当事人是否存在未履行或者未充分履行合规承诺并决定是否终止调查。During the pilot period of administrative settlement,the Goldman Sachs administrative settlement case and the Shanghai Sidu administrative settlement case did not explicitly introduce a compliance mechanism.The norms of the commitment system for administrative enforcement parties didn’t provide incentives for corporate compliance.Therefore,the contract administration and cooperative administration are difficult to fully manifest value and corporate compliance with the incentive function can not be integrated into the administrative supervision practice.“Amethyst Storage Case”combined enterprise compliance with commitment system for administrative enforcement party to inject compliance incentives for administrative settlement system,and at the practice level created“administrative compliance settlement mode”.In the modern administrative rule of law,administrative supervision,from illegal behavior to illegal risk,from administrative deterrence to administrative incentives,from accountability to the pursuit of the effectiveness,is the foundation of the rise of administrative compliance settlement mode.In the future,the practice of administrative compliance settlement mode should be based on the process characteristics of commitment system for administrative enforcement party.Ex ante it assesses the party’s compliance commitment,to decide whether to apply the party’s commitment and sign an agreement of recognition;in the process,it implements the party’s compliance management system to build the whole process of guidance,and assist the party to fully fulfill the commitment of compliance;ex post it assesses the rectification effectiveness of the party’s compliance,to determine whether the party has failed to fulfill its compliance commitment or has not fully fulfilled its compliance commitment and decide whether to terminate the investigation.

关 键 词：行政合规 合规激励 承诺 和解 

分 类 号：D922.1[政治法律—宪法学与行政法学]