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中文题名:

 民营企业家腐败犯罪制度预防——以政商关系为视角    

姓名:

 梅华    

保密级别:

 公开    

论文语种:

 中文    

学科代码:

 035101    

学科专业:

 法律(非法学)    

学生类型:

 硕士    

学位:

 法律硕士    

学位类型:

 专业学位    

学位年度:

 2020    

校区:

 北京校区培养    

学院:

 法学院    

第一导师姓名:

 张远煌    

第一导师单位:

 北京师范大学刑事法律科学研究院    

提交日期:

 2020-06-14    

答辩日期:

 2020-06-02    

外文题名:

 INSTITUTIONAL PREVENTION OF CORRUPTION CRIME IN PRIVATE ENTREPRENEURS——FROM THE PERSPECTIVE OF GOVERNMENT-BUSINESS RELATIONS    

中文关键词:

 制度质量 ; 企业家精神 ; 政商关系 ; 营商环境 ; 反腐败合规制度    

中文摘要:

近年,民营企业家腐败犯罪频繁发生,究其原因,离不开民营企业所处的制度环境和企业内部管理运作等因素。具体而言,由于民营企业家腐败犯罪集中体现在以行贿罪、单位行贿罪等为代表的非健康政商关系中,通过对政商关系的影响因素的分析可知,企业家腐败犯罪的多发现象,制度不良是外因,企业家精神缺失是内因,在外在的拉力和内在的推力下,无论是基于企业的生存与发展,还是企业家近乎本能的自我保护,民营企业家都会倾向于向权力靠拢。

制度质量直接体现于营商环境,在制度不够完善的情形下,营商环境相对较差,民营企业为了获取经营资源将会谋求建立政治联系,将政商关系作为获取资源的工具。当营商环境越好,政商关系将向更加健康的方向发展,随着营商环境的恶化,政商关系则会向着非健康的方向发展。在非健康政商关系中民营企业始终属于从属地位,在商业往来和不当的权钱交易中民营企业始终处于被动地位,民营企业主动或被动的从事了腐败行为。

企业家精神是企业家应该具备的精神风貌,是否具备企业家精神将对应不同的政商关系。一个盛行寻租文化、内控缺失的企业将助长企业员工的犯罪动机,相反当民营企业家具备企业家精神时,企业家将会专注于生产和创新等生产性领域。当企业家精神的内涵融入到企业文化之中,其首先能够从内部动机上否认企业员工的寻租行为,其次当企业家精神落实到公司治理制度上时其更能够从外在形式上防止企业员工的寻租行为,进而为创造新型的政商关系创造了空间。

政商关系通常包含了企业家的工具性动机或者亲社会动机。一般而言非健康政商关系体现了企业家的工具性动机,非健康政商关系严重打压了企业家精神,企业一方面需要在非健康政商关系中投入大量资源维持同政府相关管理部门的关系,另一方面企业需要承受非健康政商关系对企业带来的负面危害。亲清政商关系则体现了政府对企业家的工具性动机的疏导与亲社会动机的激励。亲清政商关系扭转了非健康政商关系中企业的依附地位,强调了政府的服务型职能。随着亲清政商关系形成,民营企业将能从冗杂的非健康政商关系中脱身,将更多的资源投入到企业创新等生产性领域。

针对民营企业腐败犯罪的治理,近年来虽然国家加大了反腐力度,但只要市场经济尚不充分,政府手中的权力尚不能规范而透明地行使就不可能杜绝腐败现象,腐败只会换个形式重新出现。由于民营企业腐败犯罪具有其制度成因且难以发现,因此需要转变以往国家单向治理的思维,建立社会领域防治腐败长效机制。

在这方面,反腐败合规管理制度对于预防民营企业家腐败犯罪具有明显的制度优势。一方面反腐败合规制度有助于完善现代公司治理制度,并通过单位犯罪的二元认定模式提供政商之间的合法沟通渠道进一步优化营商环境。另一方面通过将企业家精神融入到反腐败合规制度中,有助于培育企业家精神、营造公司的反腐文化,从而阻断了制度质量、企业家精神与民营企业家腐败犯罪之间的感染。反腐败合规制度不仅仅能够预防犯罪,避免企业的利益损失,也能够创造价值。为了促使我国反腐败合规制度的长远发展,我国有必要完善我国单位犯罪的认定模式,将有效的合规计划确立为单位刑事责任的抗辩事由并进一步与我国的刑法制度相衔接,以最大的发挥合规制度的激励作用。同时将反腐败合规制度的实施效果与业务准入、融资、商誉等相结合以调动企业的积极性,落实企业的主体责任,构建社会领域的反腐败长效机制。
外文摘要:

In recent years, corruption crimes of private entrepreneurs have frequently occurred. The reasons for this are inseparable from the institutional environment and internal management operations of private enterprises. Specifically, since private entrepreneurs ’corruption crimes are concentrated in non-healthy political and business relations represented by bribery and unit bribery, the analysis of the influencing factors of political and business relations shows that entrepreneurs’ corruption crimes have many signs and systems Defect is the external cause, and the lack of entrepreneurial spirit is the internal cause. Under the external pull and internal push, whether it is based on the survival and development of the enterprise, or the entrepreneur's near-instinct self-protection, private entrepreneurs tend to move closer to power.

The quality of the system is directly reflected in the business environment. When the system is not perfect, the business environment is relatively poor. In order to obtain operating resources, private enterprises will seek to establish political ties and use government-business relations as a tool to obtain resources. When the business environment is better, the relationship between government and business will develop in a healthier direction. As the business environment deteriorates, the relationship between government and business will develop in a non-healthy direction. Private enterprises are always in a subordinate position in non-healthy government-business relations. Private enterprises are always in a passive position in business transactions and improper power-money transactions. Private enterprises have actively or passively engaged in corruption.

Entrepreneurship is the spirit that entrepreneurs should possess. Whether they have entrepreneurship will correspond to different government-business relations. An enterprise with a prevailing rent-seeking culture and lack of internal control will promote the criminal motivation of its employees. On the contrary, when private entrepreneurs have entrepreneurial spirit, entrepreneurs will focus on productive areas such as production and innovation. When the connotation of entrepreneurship is integrated into the corporate culture, it can first deny rent-seeking behavior of enterprise employees from the internal motivation, and secondly it can prevent The rent-seeking behavior of employees from the external form when the entrepreneurship is implemented in the corporate governance system ,so as to create space for creating new types of government-business relations.

Government-business relations often include instrumental or prosocial motivations for entrepreneurs. Generally speaking, non-healthy government-business relations reflect the instrumental motivation of entrepreneurs. Non-healthy government-business relations severely suppress the entrepreneurial spirit. On the one hand, companies need to invest a lot of resources in non-healthy government-business relations to maintain relations with the government. On the other hand, companies need to withstand the negative harm caused by non-healthy government-business relations. The pro-clear government-business relationship reflects the government's response to the entrepreneurial instrumental motivation and prosocial motivation. Pro-policy and business relations have reversed the dependence of enterprises in non-healthy government-business relations and emphasized the government's service-oriented functions. With the formation of pro-clear government-business relations, private enterprises will be able to escape from redundant and non-healthy government-business relations and invest more resources in productive areas such as corporate innovation.

Regarding the governance of corruption crimes by private enterprises, although the state has intensified its anti-corruption efforts in recent years, as long as the market economy is not sufficient, it is impossible for the government to put an end to corruption, and corruption will only reappear in another form. Since the corruption crimes of private enterprises have their institutional causes and are hard to find, it is necessary to change the previous one-way governance thinking and establish a long-term mechanism for preventing corruption in the social field. For example, improving the modern management level of private enterprises, rationalizing the relationship between the government and the market, and highlighting the main responsibilities of enterprises.

The anti-corruption compliance management system has obvious institutional advantages for preventing corruption of private entrepreneurs. On the one hand, the anti-corruption compliance system helps to combat the culture of corruption, improve the modern corporate governance system, and provide a legal communication channel between government and business. On the other hand, by integrating entrepreneurship into the anti-corruption compliance system, it helps to cultivate entrepreneurship and build a company's anti-corruption culture. Thus blocking the infection between the quality of the system, the entrepreneurship and the corruption crimes of private entrepreneurs. The anti-corruption compliance system can not only prevent crime, avoid loss of corporate profits, but also create value. In order to promote the long-term development of China's anti-corruption compliance system, it is necessary for our country to improve the model for identifying unit crimes in our country and establish an effective compliance plan as a defence for criminal responsibility. Combine the implementation effect of the anti-corruption compliance system with business access, financing, goodwill, etc. to mobilize the enthusiasm of the enterprise, implement the main responsibility of the enterprise, and build a long-term anti-corruption mechanism in the social field.

馆藏号:

 硕035101/20046    

开放日期:

 2021-06-14    

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