基于Lawler-Porter综合激励模型的竞争合规制度建构探析

Abstract

在竞争合规领域，普遍存在的“威慑陷阱”现象反映了我国传统简单威慑的固有缺陷，有鉴于此，一套能将外部法律规制等效转化为企业合规自觉的激励体系必不可少。在将Lawler-Porter综合激励模型引入到我国竞争合规制度领域的过程中，达成“工作绩效”是激励机制的基本目标，立法、执法、司法是法律上的三大主要推进路径。适用严格责任、将合规作为法定量刑情节等立法措施能从外在环境上激发企业的合规努力，合规风险提示、宽恕政策等执法手段在事后奖励方面推进企业合规体系建设，综合认定的司法理念则会进一步增强企业的公平感。通过以Lawler-Porter内在逻辑为核心，借鉴海外企业合规的先进经验构建的一套完整循环的竞争合规激励机制，能够从根源上提高企业合规参与度与积极性，从而为推动我国竞争合规制度的不断完善提供参考路径。 In the field of competitive compliance, the widespread phenomenon of “deterrence trap” reflects the inherent defects of China’s traditional simple deterrence. In view of this, a set of incentive mechanism that can equivalently change the external regulation into the compliance consciousness of enterprises is essential. In the process of introducing Lawler-Porter Comprehensive Incentive Model into the field of China’s competition compliance system, achieving “job performance” is the basic goal of the incentive mechanism, legislation, law enforcement and justice are the three main promotion paths in law. The application of legislative measures such as strict liability and taking compliance as a legal sentencing circumstance can stimulate the compliance efforts of enterprises from the external environment. Law enforcement means such as compliance risk prompt and leniency policy can promote the construction of enterprise compliance system in terms of afterwards reward, and the comprehensive judicial concept will further enhance the sense of fairness of enterprises. Through a complete cycle of competitive compliance incentive mechanism and with the help of advanced experience in compliance from overseas enterprises, we can improve the compliance participation and enthusiasm of enterprises from the root, thus offering a reference path for promoting the continuous improvement of China’s competitive compliance system.