行政合規裁量擴張論

Expansion of Administrative Compliance Discretion

行政合規裁量擴張論將行政合規中行政機關對企業減免處罰的行為，視為行政機關在沒有明確的法律規範規定，但符合法律規範目的情形下，所作出的擴張行政裁量的行為，從而消除“行政權不可處分” 原則與行政合規之間的齟齬。行政合規裁量包括契約裁量和處分裁量兩階段構造，是否合意構成了契約裁量與處分裁量的界碑。合規契約不具有執行力，行政機關有權裁量契約要素在合規處分中的比重，故合規行政處分仍是單方行政行為。行政合規裁量擴張應滿足裁量授權規範的保護目的；把責任從企業外部有限度地轉化到企業內部，實現實質制裁；在處分裁量後，再加上非類型化監管行為。對此，應基於規範保護目的，明確行政合規裁量擴張的界限，從而實現法益保護與規範效力的保障。

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.