论廉洁合规的理论溯源与范畴界定

• 作者： 王译 ^1,2
• 作者单位：
  1.  湘潭大学法学学部

  2.  湖南省人民检察院检察理论研究基地
• 提交时间：2024-07-03

摘要: 廉洁合规作为企业刑事合规的新生事物，廉洁合规的理论基础可通过“政治德性”的理论原点、“特别权力关系”的理论依托以及“软硬共治”的理论进路来寻根溯源。廉洁合规在履职行为层面涵盖了“为民”“务实”“清廉”的政治本色导向，在政治德性的内在要求层面涵盖了“忠诚”“干净”“担当”的政治品格导向。通过营商环境和政治生态间的互动关系，判断企业廉洁合规的实施效度须围绕国家法律、党内法规来建构企业章程以及内部规章制度。廉洁合规的基本范畴有别于刑事合规、前置于反腐败合规，融贯于行政合规，其强调单位“出责”的全过程性，还应明确个人“担责”的阶段性。

Abstract: As a new thing of enterprise criminal compliance, the theoretical basis of honesty and compliance can be traced through the theoretical origin of "political virtue", the theoretical support of "special power relationship" and the theoretical approach of "soft and hard governance". Integrity and compliance covers the political nature orientation of "serving the people", "being pragmatic" and "being honest" in the performance of duties, and the political character orientation of "loyalty", "cleanliness" and "responsibility" in the internal requirements of political virtue. Through the interactive relationship between business environment and political ecology, it is necessary to construct the articles of association and internal rules and regulations around national laws and inner-party regulations to judge the effectiveness of enterprise integrity and compliance. The basic category of honesty and compliance is different from criminal compliance and anti-corruption compliance, and it is integrated into administrative compliance. It emphasizes the whole process of unit’s "responsibility" and should also clarify the stages of individual’s "responsibility".

• 来自： 王译
• 分类： 法学 >> 宪法学与行政法学 政治学 >> 政治学理论 中共党史党建学 >> 中共党史党建学
• 说明： 该文已发表在《廉政文化研究》2024年第2期，期待能够得到学界的认可
• 稿件状态： 已被期刊录用
• 引用： PSSXiv:202407.00263 (或此版本 PSSXiv:202407.00263V1)
  DOI:10.12451/202407.00263
  CSTR:32012.36.PSSXiv.202407.00263
• 推荐引用方式： 王译.论廉洁合规的理论溯源与范畴界定.哲学社会科学预印本平台:https://zsyyb.cn/abs/202407.00263.[PSSXiv:202407.00263V1] (点此复制)