The Compliance Checklist

With respect to corruption-type crimes, the subprovisions of the PRC Criminal Law provide for more than 10 criminal acts, including embezzlement, accepting bribes, offering bribes, and offering bribes by an entity. Parts Three and Eight criminalize and set forth the different penalties for acts of corruption committed by working personnel of the state, non-state workers, relevant entities and responsible individuals. Penalties include fines, penal servitude, fixed-term imprisonment, lifetime imprisonment and even capital punishment. With respect to crimes of corruption, it sets forth the penalty standards based on the amounts involved in cases and the seriousness of the circumstances.

The Amendment Act for the Criminal Law (9) (Criminal Law Amendment) officially implemented in November 2015 makes major revisions in respect of crimes of corruption.

• Threshold for constitution of a crime

The Criminal Law Amendment improves the criteria for determining crime and weighing penalties for the crimes of embezzlement and accepting bribes, dividing the proceeds of corruption into three tiers—relatively large, large and particularly large—while also taking into account the specific circumstances. The Interpretation on Several Issues Concerning the Application of the Law in the Handling of Criminal Embezzlement and Bribery Cases promulgated by the “two Supremes” on April 18, 2016 expressly specify that a “relatively large” amount for embezzlement or acceptance of a bribe is Rmb30,000, greater than the previous Rmb5,000. The criminal thresholds for the acceptance and offering of bribes by non-state working personnel are handled at twice the rate of the amounts in crimes of embezzlement and accepting bribes.

• Occupational ban

The Criminal Law Amendment also specifies that, “if a crime is committed exploiting the advantages of one's profession or if a crime involving the breach of a specific obligation required by one's profession is committed and a criminal penalty is imposed therefor, the people's court may, based on the circumstances of the crime and the need to prevent recidivism, ban the perpetrator from engaging in the relevant profession from three to five years commencing from the date of completion of service of the penalty or the parole date”. An “occupational ban” is neither a new form of criminal penalty nor does it fall within the category of criminal penalties, but is rather a legal consequence of a non-criminal penalty that aims to prevent an offender from using the advantages of his profession and position to commit a crime again.

• Addition of financial penalties

For the crimes of offering a bribe by non-state authority working personnel, offering a bribe to an entity, mediating a bribe, and offering a bribe by an entity, a provision simultaneously imposing fines is added, such that the responsible individuals, in addition to being held personally liable, are also sanctioned economically, thus increasing the legal costs of their crimes.

3. Which industries have been most subject to scrutiny or investigation by the authorities?

Based on the various documents issued by the Chinese government, the typical cases published by regulators, and our own experience and ongoing observations, the medical and healthcare industry remains a high-risk sector that draws the close attention of China's anti-bribery regulatory and law enforcement authorities. In particular, the documents relating to anti-commercial bribery in the medical space recently promulgated by the Supreme People's Procuratorate (SPP) and the State Council reflect the government's stance of further strengthening anti-bribery oversight in the industry: the Opinions on Comprehensively Performing Procuratorial Functions to Provide Vigorous Judicial Protection for Promotion of the Creation of a Healthy China, promulgated by the SPP in September 2016, require strict investigation and handling of commercial bribery and economic crimes in the pharmaceutical distribution sector; and the Several Opinions of the Steering Committee for Intensifying Reform of the Medical and Health System on Further Spreading the Experience Gained in Intensifying the Reform of the Medical and Health System, promulgated by the State Council in November 2016, propose establishing a blacklist of enterprises that have been involved in commercial bribery and revoking the supply qualifications of pharmaceutical production and distribution companies that engage in acts of commercial bribery, such as giving or receiving kickbacks.

In addition to medical and healthcare, the fast-moving consumer goods, food and beverage, real estate and construction, manufacturing, and financial and investment industries are also key focuses of anti-commercial bribery regulation and law enforcement. In the financial and investment sector, investigations and penalties for failing to accurately credit accounts or giving gifts stand out; and in the consumer and foods industry, issues such as improper discounts, cash rebates, third party violations of regulations, slotting fees, display fees, and separate-display fees stand out.

4. What is your advice to companies for maintaining compliance and proper commercial conduct?

Generally speaking, an enterprise should, in light of its own size and the specific features of its industry, enhance its employees' awareness of risk control, particularly those in key positions. In addition to formulating company risk control policies and a commercial code of conduct, conducting (regular or irregular) employee training is also highly important. The objective of training is not only to make employees aware of the enterprise's relevant policies and codes of conduct, but to also foster their capacity to duly handle compliance issues, such as how to handle a specific incident—whether to report the incident and who to report to, for instance. The ideal effects of enterprise compliance management should include (1) employees' understanding of proper initial handling methods when responding to a risk; and (2) the enterprise, particularly management, being able to rapidly, concertedly and effectively respond to ever-changing risk situations and the challenges brought by regulatory requirements. Of course, in the event of a contingency, promptly contacting the enterprise's legal affairs department and external lawyers to solicit professional advice is also a good way of controlling risks.

5. How are foreign companies affected by the new registration, filing and approval rules?

Pursuant to the Tentative Measures for the Administration of the Record Filing of the Establishment of, and Changes in, Foreign-invested Enterprises, which entered into effect on October 8, 2016, where the establishment of, and changes in, a foreign-invested enterprise (FIE) does/do not involve implementation of the special administrative measures for access specified by the state, the record filing system will apply instead of the previous system of examination and approval by the commerce authority. Commerce authority approval will no longer be a necessary prior procedure for business establishment or changes.

The implementation of the new regulations greatly facilitates entry and setup processes for FIEs. Additionally, the commerce authority record filing procedure is still being improved and the various operations that directly accompanied the previous commerce authority approval regime require certain adjustments. For example, in FIE equity acquisitions, approval by the commerce authority is usually an important stage in the transaction, one that affects the arrangements of the parties' rights and obligations and the subsequent applications for, and opening of, foreign exchange and dedicated accounts. Now, the parties to an acquisition should pay greater attention to the procedure for amending the business license with the administration for industry and commerce rather than the procedure for changes with the commerce authority.

6. What are the major data and employment aspects to take into account during internal investigations?

During an internal investigation, a company should collect the following types of information:

• Internal rules and regulations

The company can collect employee employment contracts and its internal rules and regulations (such as the employee handbook) in advance, paying special attention to their anti-corruption provisions, employees' non-disclosure obligations and their obligations to cooperate with the company in completing relevant investigations.

• Employee work e-mails

Before searching an employee's work e-mails, the company needs to first determine whether its internal rules and regulations expressly provide that (1) the company has the right to search and review the e-mails in employees' work e-mail boxes at any time or as required for an investigation; (2) employees' work e-mail addresses can be used solely for handling work matters; and (3) if employees use their work e-mail addresses to handle matters unrelated to work, they are deemed to acknowledge that the company still has the right to search and review all e-mails in their work e-mail boxes (including personal e-mails) without infringing their privacy.

If the company's internal policies are silent on the issue of work e-mails, it is recommended that such an agreement be executed with the employees or that employees be asked to sign relevant policies before an e-mail investigation is initiated so as to reduce future risks of infringing their privacy.

• Employee and third party interviews

During interviews of employees and third parties (such as suppliers or customers, if required), an effort should be made to prepare a record on the spot and the interviewees should be asked to sign it in confirmation and the interviewers should also sign it as witnesses. Under normal circumstances there will be two interviewers. Attention should be paid to preserving the evidentiary materials provided by interviewees during the interviews.

• Financial accounts and original vouchers

7. What is the best approach for companies and in-house legal teams to take during onsite regulatory inspections and investigations?

There usually is no warning or indication of an incoming onsite inspection by a government authority. Generally, we recommend that an enterprise duly put in place a contingency plan for responding to sudden onsite investigations by the authorities and train in advance the personnel who may have direct contact with government officials, including front desk reception staff and onsite persons in charge. Depending on the enterprise's industry and the different regulatory authorities, the method of responding to such investigations will vary slightly. However, the formulation of a contingency plan and the training should mainly cover: (1) understanding the objective of the inspection conducted by the officials; (2) coordinating the relevant personnel (including the enterprise's legal counsel and external lawyers) in responding to the visit and inquiry; and (3) properly cooperating and responding to the questions posed or measures taken by the government officials. Saying that “our person in charge is unavailable, please come back at another time” or directly refusing the entry of the officials is not an advisable response.

1. 过去一年，有那些最重大的案例可反映中国持续反贪腐的情形？

自2014年葛兰素史克案件以来，中国并未出现具有特别重大影响力的商业贿赂案件。

但是，一些跨国公司因涉嫌在华进行商业贿赂遭到美国监管部门处罚的情况值得警醒：

• 2015年7月，美赞臣因涉嫌在华进行商业贿赂被美国证券交易监督委员会（“SEC”）处罚1200万美元。根据SEC的披露，美赞臣此次受罚与其过去几年在中国市场的不恰当支付行为有关。 SEC称，美赞臣违反了美国《反海外腐败法》向中国多家医院相关人员支付不恰当的费用，以换取其推荐使用美赞臣营养产品。据悉，美赞臣的这一行为并未遭到中国监管部门的查处。
• 2016年11月，摩根大通及其在香港的子公司因雇佣中国政府官员子女以招揽业务，触犯美国《反海外腐败法》而被美国相关监管部门处罚约2.64亿美元。
• 同时需要关注的是《中华人民共和国反不正当竞争法》（下称“《反法》”）的修订对公司合规带来的潜在影响。 《反法》自1993年起实施，至今尚未有任何修改。而我国经济市场环境已有了很大变化，市场竞争程度和竞争状况也随市场环境发生了广泛而深刻的变化，现行《反法》已明显不适应经济发展需要。 2016年2月25日《中华人民共和国反不正当竞争法（修订草案送审稿）》（下称“《送审稿》”）公布。 《送审稿》对商业贿赂条款进行了大幅度的修改。总体而言，（1）《送审稿》对“商业贿赂”作了较为完整和直接的定义；（2）引入了“可能影响交易的第三方”；（3）列举了三种典型的商业贿赂行为；（4）明确了员工商业贿赂行为和经营者责任之间的关系；（5）加重了商业贿赂的法律责任。

2. 新的《刑法》如何针对贪腐？有什么惩罚？

关于贪污腐败类的犯罪行为，中国刑法分则主要在第三章及第八章中规定了贪污罪、受贿罪、行贿罪以及单位行贿罪等在内十多项罪名，针对国家工作人员、非国家工作人员、有关单位及相关责任人的贪污腐败行为进行了定罪及处罚。处罚的类型包括罚金、拘役、有期徒刑、无期徒刑甚至死刑。对于贪污受贿类犯罪，按照涉案金额的大小以及情节的轻重，分别列出刑罚标准。

在2015年11月正式实施的《刑法修正案（九）》对贪污腐败类犯罪作出了重大调整。

• 起刑点

《刑法修正案（九）》完善了贪污受贿犯罪的定罪量刑标准，将贪污腐败金额分为较大、巨大、特别巨大三档，并结合其他情节定罪处罚。 2016年4月18日两高颁布的《关于办理贪污贿赂刑事案件适用法律若干问题的解释》明确规定，贪污或受贿的数额较大定为3万元，高于之前的5千元。而非国家工作人员受贿罪及非国家工作人员行贿罪的起刑点按照贪污受贿罪数额标准的二倍执行。

• 从业禁止

《刑法修正案（九）》规定，“因利用职业便利实施犯罪，或者实施违背职业要求的特定义务的犯罪被判处刑罚的，人民法院可以根据犯罪情况和预防再犯罪的需要，禁止其自刑罚执行完毕之日起或者假释之日起从事相关职业，期限为三年至五年”。 “从业禁止”措施既不是新的刑种，也不属于刑罚之列，而是非刑罚的法律后果，其主要目的在于防止犯罪分子再次利用其职业和职务之便进行犯罪。

• 增加财产刑

对于非国家机关工作人员行贿罪、对单位行贿罪、介绍贿赂罪以及单位行贿罪增加并处罚金的条款，使得相关责任人在接受人身处罚的同时，在经济上也将受到制裁，增加其犯罪的法律成本。

3. 哪些行业受当局的重点审查？

根根据中国政府发布的各类文件、监管部门公布的典型案例以及我们的经验和持续观察，医疗和健康行业仍然是中国反商业贿赂监管执法部门重点关注的高危行业。特别是，最高人民检察院和国务院近期发布的涉及医药领域反商业贿赂的文件，体现了中国政府对医疗和健康行业进一步加强反商业贿赂监管的态度：最高人民检察院2016年9月发布的《关于全面履行检察职能为推进健康中国建设提供有力司法保障的意见》要求严肃查办药品流通领域的商业贿赂经济犯罪；国务院于2016年11月发布了《深化医药卫生体制改革领导小组关于进一步推广深化医药卫生体制改革经验的若干意见》，该文件要求建立商业贿赂企业黑名单制度，对出现回扣等商业贿赂行为的药品生产和流通企业，取消其供货资格。

除了上述医疗与健康行业，快消品与食品、房地产与建筑、制造业、金融与投资行业也是反商业贿赂监管与执法的重点对象。其中，金融与投资行业因未能准确入账及礼品问题引起的调查和处罚现象突出；快消品与食品行业因不当折扣、现金返利、第三方违规行为和进场费、陈列费、堆头费等原因受到调查和处罚的现象突出。

4. 在维持合规和正当商业行为方面，您对企业有什么建议？

一般而言，企业应根据自身规模和行业特点，提高员工（特别是关键岗位员工）的风险控制意识。除了制定公司风险控制政策、商业行为准则之外，定期或不定期的员工培训同样重要。培训的目的不仅仅是让员工了解企业的​​相关政策、行为准则，更包括培养员工妥善处理合规问题的能力，例如：如何处理、是否上报、向谁报告等。企业合规管理的理想效果应该包括（1）员工了解应对风险时妥善的初步处理方式；（2）企业，特别是管理层，能够迅速、一致、有效地回应多变的风险状况和监管要求所带来的挑战。当然，在突发情况下，及时联系企业法务部门及外部律师并寻求专业建议亦是控制风险的良策。

5. 新的备案制度对外资企业有什么影响？

根据2016年10月8日生效的《外商投资企业设立及变更备案管理暂行办法》（“《暂行办法》”），不涉及国家规定实施准入特别管理措施的外商投资企业的设立及变更由原先商委的审批制改为备案制。商委审批不再是工商设立、变更的前置程序。

新规实施为外商投资企业带来了极大的便利。同时，商委备案流程还在完善之中。而且，以往与商委审批直接挂钩的各项操作都需要进行调整。例如在外商投资企业股权并购中，商委批准往往作为一个重要的并购节点，影响并购双方权利和义务的安排以及后续外汇以及专用账户申请和开立。现在，并购双方应更加关注在工商局进行营业执照变更而非商委的变更流程了。

6. 在内部调查时，有哪些主要数据和人事方面的要素需要考虑？

在开展内部调查时，公司需要注意收集的信息主要包含以下几大类型：

• 内部规章制度规定

公司可以事先收集员工的劳动合同、公司的内部规章制度（包括员工手册等），重点关注其中关于反腐败类的规定、员工的保密义务以及员工是否有义务配合公司完成相应调查。

• 员工的工作邮件

在检索员工工作邮件之前，需要先确定公司的内部规章制度中是否明确（1）公司有权随时或基于调查需要检索及审查员工工作邮箱中的工作邮件；（2）员工的工作邮箱仅可作为员工处理工作事宜之用；（3）若员工利用工作邮箱处理非工作事宜，则视为员工认可公司仍有权检索并审查员工工作邮箱中的所有邮件（包括非工作事宜邮件）且不侵犯员工个人隐私。

如果公司的内部政策中尚无关于工作邮件的具体规定，建议在启动邮件调查之前先与员工签署该等协议或请员工签收相关政策，以降低未来侵犯个人隐私的风险。

• 与员工、第三方进行访谈

在与员工及第三方（供应商或客户，如需）进行访谈的过程中，应当尽可能当场制作访谈记录并请被访谈人签字确认，并请访谈人员签字作为见证。通常情况下，访谈人员为两名。对于访谈过程中被访谈人提供的证据材料应当注意保存。

• 财务账册及原始凭证

7. 对于现场监管检查、调查，企业及其内部法务团队应如何应对？

政府部门现场调查往往毫无预警与征兆。我们一般建议企业提前做好应对政府部门突击现场调查的预案，并对包括前台接待人员、现场负责人员在内的可能与政府官员直接接触的员工进行事先培训。根据企业所属行业及现场调查的不同政府部门，应对方式会稍有不同，但是预案制定与培训的内容应主要涵盖（1）了解政府官员检查的目的；（2）协调相关人员（包括企业法务人员和外部律师）做出反应；（3）对政府官员的问题或采取的措施做出适当的配合反应。而“我司负责人不在，请改天再来”或者直接将政府官员拒之门外都是不可取的做法。

1. What are the most significant cases from the past year that reflect China's continuing crackdown on corruption and bribery?

Since the GlaxoSmithKline case in 2014, no particularly influential commercial bribery cases have occurred in China.

However, certain instances in which multinational corporations have been penalized by U.S. regulators for suspected commercial bribery in China are worth noting:

• In July 2015, Mead Johnson was fined $12 million by the U.S. Securities and Exchange Commission (SEC) for suspected commercial bribery in China. According to the SEC, Mead Johnson violated the U.S. Foreign Corrupt Practices Act (FCPA) by making improper payments in China during the past few years, specifically paying fees to individuals at numerous Chinese hospitals in exchange for their recommending Mead Johnson nutritional products. Reports indicate that these acts by Mead Johnson have not been investigated or dealt with by Chinese regulators.
• In November 2016, JPMorgan Chase and its Hong Kong subsidiary were fined $264 million by relevant U.S. regulators for violating the FCPA by hiring and engaging the children of Chinese government officials to solicit business.

The revision of the PRC Anti-unfair Competition Law (AUCL)'s potential impact on corporate compliance is a legal development worth noting. The AUCL has not undergone any revisions since its implementation in 1993. But the economic environment in China has shifted dramatically since then, and the degree of market competition and the competitive landscape itself have also experienced wide-ranging and profound changes, leaving the AUCL clearly incapable of responding to the needs of economic development. On February 25, 2016, the PRC Anti-unfair Competition Law (Draft Amendments for Deliberation) (Draft AUCL) was published. The Draft AUCL makes major revisions to provisions on commercial bribery. In summary, the Draft AUCL (1) provides a relatively complete and direct definition of “commercial bribery”; (2) brings in “a third party that could affect the transaction”; (3) enumerates three typical acts of commercial bribery; (4) clarifies the relationship between acts of commercial bribery by employees and the liability of the business operator; and (5) increases the legal liability for commercial bribery.

2. In what ways does the new PRC Criminal Law target corruption and bribery? What are the penalties?

With respect to corruption-type crimes, the subprovisions of the PRC Criminal Law provide for more than 10 criminal acts, including embezzlement, accepting bribes, offering bribes, and offering bribes by an entity. Parts Three and Eight criminalize and set forth the different penalties for acts of corruption committed by working personnel of the state, non-state workers, relevant entities and responsible individuals. Penalties include fines, penal servitude, fixed-term imprisonment, lifetime imprisonment and even capital punishment. With respect to crimes of corruption, it sets forth the penalty standards based on the amounts involved in cases and the seriousness of the circumstances.

The Amendment Act for the Criminal Law (9) (Criminal Law Amendment) officially implemented in November 2015 makes major revisions in respect of crimes of corruption.

• Threshold for constitution of a crime

The Criminal Law Amendment improves the criteria for determining crime and weighing penalties for the crimes of embezzlement and accepting bribes, dividing the proceeds of corruption into three tiers—relatively large, large and particularly large—while also taking into account the specific circumstances. The Interpretation on Several Issues Concerning the Application of the Law in the Handling of Criminal Embezzlement and Bribery Cases promulgated by the “two Supremes” on April 18, 2016 expressly specify that a “relatively large” amount for embezzlement or acceptance of a bribe is Rmb30,000, greater than the previous Rmb5,000. The criminal thresholds for the acceptance and offering of bribes by non-state working personnel are handled at twice the rate of the amounts in crimes of embezzlement and accepting bribes.

• Occupational ban

The Criminal Law Amendment also specifies that, “if a crime is committed exploiting the advantages of one's profession or if a crime involving the breach of a specific obligation required by one's profession is committed and a criminal penalty is imposed therefor, the people's court may, based on the circumstances of the crime and the need to prevent recidivism, ban the perpetrator from engaging in the relevant profession from three to five years commencing from the date of completion of service of the penalty or the parole date”. An “occupational ban” is neither a new form of criminal penalty nor does it fall within the category of criminal penalties, but is rather a legal consequence of a non-criminal penalty that aims to prevent an offender from using the advantages of his profession and position to commit a crime again.

• Addition of financial penalties

For the crimes of offering a bribe by non-state authority working personnel, offering a bribe to an entity, mediating a bribe, and offering a bribe by an entity, a provision simultaneously imposing fines is added, such that the responsible individuals, in addition to being held personally liable, are also sanctioned economically, thus increasing the legal costs of their crimes.

3. Which industries have been most subject to scrutiny or investigation by the authorities?

Based on the various documents issued by the Chinese government, the typical cases published by regulators, and our own experience and ongoing observations, the medical and healthcare industry remains a high-risk sector that draws the close attention of China's anti-bribery regulatory and law enforcement authorities. In particular, the documents relating to anti-commercial bribery in the medical space recently promulgated by the Supreme People's Procuratorate (SPP) and the State Council reflect the government's stance of further strengthening anti-bribery oversight in the industry: the Opinions on Comprehensively Performing Procuratorial Functions to Provide Vigorous Judicial Protection for Promotion of the Creation of a Healthy China, promulgated by the SPP in September 2016, require strict investigation and handling of commercial bribery and economic crimes in the pharmaceutical distribution sector; and the Several Opinions of the Steering Committee for Intensifying Reform of the Medical and Health System on Further Spreading the Experience Gained in Intensifying the Reform of the Medical and Health System, promulgated by the State Council in November 2016, propose establishing a blacklist of enterprises that have been involved in commercial bribery and revoking the supply qualifications of pharmaceutical production and distribution companies that engage in acts of commercial bribery, such as giving or receiving kickbacks.

In addition to medical and healthcare, the fast-moving consumer goods, food and beverage, real estate and construction, manufacturing, and financial and investment industries are also key focuses of anti-commercial bribery regulation and law enforcement. In the financial and investment sector, investigations and penalties for failing to accurately credit accounts or giving gifts stand out; and in the consumer and foods industry, issues such as improper discounts, cash rebates, third party violations of regulations, slotting fees, display fees, and separate-display fees stand out.

4. What is your advice to companies for maintaining compliance and proper commercial conduct?

Generally speaking, an enterprise should, in light of its own size and the specific features of its industry, enhance its employees' awareness of risk control, particularly those in key positions. In addition to formulating company risk control policies and a commercial code of conduct, conducting (regular or irregular) employee training is also highly important. The objective of training is not only to make employees aware of the enterprise's relevant policies and codes of conduct, but to also foster their capacity to duly handle compliance issues, such as how to handle a specific incident—whether to report the incident and who to report to, for instance. The ideal effects of enterprise compliance management should include (1) employees' understanding of proper initial handling methods when responding to a risk; and (2) the enterprise, particularly management, being able to rapidly, concertedly and effectively respond to ever-changing risk situations and the challenges brought by regulatory requirements. Of course, in the event of a contingency, promptly contacting the enterprise's legal affairs department and external lawyers to solicit professional advice is also a good way of controlling risks.

5. How are foreign companies affected by the new registration, filing and approval rules?

Pursuant to the Tentative Measures for the Administration of the Record Filing of the Establishment of, and Changes in, Foreign-invested Enterprises, which entered into effect on October 8, 2016, where the establishment of, and changes in, a foreign-invested enterprise (FIE) does/do not involve implementation of the special administrative measures for access specified by the state, the record filing system will apply instead of the previous system of examination and approval by the commerce authority. Commerce authority approval will no longer be a necessary prior procedure for business establishment or changes.

The implementation of the new regulations greatly facilitates entry and setup processes for FIEs. Additionally, the commerce authority record filing procedure is still being improved and the various operations that directly accompanied the previous commerce authority approval regime require certain adjustments. For example, in FIE equity acquisitions, approval by the commerce authority is usually an important stage in the transaction, one that affects the arrangements of the parties' rights and obligations and the subsequent applications for, and opening of, foreign exchange and dedicated accounts. Now, the parties to an acquisition should pay greater attention to the procedure for amending the business license with the administration for industry and commerce rather than the procedure for changes with the commerce authority.

6. What are the major data and employment aspects to take into account during internal investigations?

During an internal investigation, a company should collect the following types of information:

• Internal rules and regulations

The company can collect employee employment contracts and its internal rules and regulations (such as the employee handbook) in advance, paying special attention to their anti-corruption provisions, employees' non-disclosure obligations and their obligations to cooperate with the company in completing relevant investigations.

• Employee work e-mails

Before searching an employee's work e-mails, the company needs to first determine whether its internal rules and regulations expressly provide that (1) the company has the right to search and review the e-mails in employees' work e-mail boxes at any time or as required for an investigation; (2) employees' work e-mail addresses can be used solely for handling work matters; and (3) if employees use their work e-mail addresses to handle matters unrelated to work, they are deemed to acknowledge that the company still has the right to search and review all e-mails in their work e-mail boxes (including personal e-mails) without infringing their privacy.

If the company's internal policies are silent on the issue of work e-mails, it is recommended that such an agreement be executed with the employees or that employees be asked to sign relevant policies before an e-mail investigation is initiated so as to reduce future risks of infringing their privacy.

• Employee and third party interviews

During interviews of employees and third parties (such as suppliers or customers, if required), an effort should be made to prepare a record on the spot and the interviewees should be asked to sign it in confirmation and the interviewers should also sign it as witnesses. Under normal circumstances there will be two interviewers. Attention should be paid to preserving the evidentiary materials provided by interviewees during the interviews.

• Financial accounts and original vouchers

7. What is the best approach for companies and in-house legal teams to take during onsite regulatory inspections and investigations?

There usually is no warning or indication of an incoming onsite inspection by a government authority. Generally, we recommend that an enterprise duly put in place a contingency plan for responding to sudden onsite investigations by the authorities and train in advance the personnel who may have direct contact with government officials, including front desk reception staff and onsite persons in charge. Depending on the enterprise's industry and the different regulatory authorities, the method of responding to such investigations will vary slightly. However, the formulation of a contingency plan and the training should mainly cover: (1) understanding the objective of the inspection conducted by the officials; (2) coordinating the relevant personnel (including the enterprise's legal counsel and external lawyers) in responding to the visit and inquiry; and (3) properly cooperating and responding to the questions posed or measures taken by the government officials. Saying that “our person in charge is unavailable, please come back at another time” or directly refusing the entry of the officials is not an advisable response.

1. 过去一年，有那些最重大的案例可反映中国持续反贪腐的情形？

自2014年葛兰素史克案件以来，中国并未出现具有特别重大影响力的商业贿赂案件。

但是，一些跨国公司因涉嫌在华进行商业贿赂遭到美国监管部门处罚的情况值得警醒：

• 2015年7月，美赞臣因涉嫌在华进行商业贿赂被美国证券交易监督委员会（“SEC”）处罚1200万美元。根据SEC的披露，美赞臣此次受罚与其过去几年在中国市场的不恰当支付行为有关。 SEC称，美赞臣违反了美国《反海外腐败法》向中国多家医院相关人员支付不恰当的费用，以换取其推荐使用美赞臣营养产品。据悉，美赞臣的这一行为并未遭到中国监管部门的查处。
• 2016年11月，摩根大通及其在香港的子公司因雇佣中国政府官员子女以招揽业务，触犯美国《反海外腐败法》而被美国相关监管部门处罚约2.64亿美元。
• 同时需要关注的是《中华人民共和国反不正当竞争法》（下称“《反法》”）的修订对公司合规带来的潜在影响。 《反法》自1993年起实施，至今尚未有任何修改。而我国经济市场环境已有了很大变化，市场竞争程度和竞争状况也随市场环境发生了广泛而深刻的变化，现行《反法》已明显不适应经济发展需要。 2016年2月25日《中华人民共和国反不正当竞争法（修订草案送审稿）》（下称“《送审稿》”）公布。 《送审稿》对商业贿赂条款进行了大幅度的修改。总体而言，（1）《送审稿》对“商业贿赂”作了较为完整和直接的定义；（2）引入了“可能影响交易的第三方”；（3）列举了三种典型的商业贿赂行为；（4）明确了员工商业贿赂行为和经营者责任之间的关系；（5）加重了商业贿赂的法律责任。

2. 新的《刑法》如何针对贪腐？有什么惩罚？

关于贪污腐败类的犯罪行为，中国刑法分则主要在第三章及第八章中规定了贪污罪、受贿罪、行贿罪以及单位行贿罪等在内十多项罪名，针对国家工作人员、非国家工作人员、有关单位及相关责任人的贪污腐败行为进行了定罪及处罚。处罚的类型包括罚金、拘役、有期徒刑、无期徒刑甚至死刑。对于贪污受贿类犯罪，按照涉案金额的大小以及情节的轻重，分别列出刑罚标准。

在2015年11月正式实施的《刑法修正案（九）》对贪污腐败类犯罪作出了重大调整。

• 起刑点

《刑法修正案（九）》完善了贪污受贿犯罪的定罪量刑标准，将贪污腐败金额分为较大、巨大、特别巨大三档，并结合其他情节定罪处罚。 2016年4月18日两高颁布的《关于办理贪污贿赂刑事案件适用法律若干问题的解释》明确规定，贪污或受贿的数额较大定为3万元，高于之前的5千元。而非国家工作人员受贿罪及非国家工作人员行贿罪的起刑点按照贪污受贿罪数额标准的二倍执行。

• 从业禁止

《刑法修正案（九）》规定，“因利用职业便利实施犯罪，或者实施违背职业要求的特定义务的犯罪被判处刑罚的，人民法院可以根据犯罪情况和预防再犯罪的需要，禁止其自刑罚执行完毕之日起或者假释之日起从事相关职业，期限为三年至五年”。 “从业禁止”措施既不是新的刑种，也不属于刑罚之列，而是非刑罚的法律后果，其主要目的在于防止犯罪分子再次利用其职业和职务之便进行犯罪。

• 增加财产刑

对于非国家机关工作人员行贿罪、对单位行贿罪、介绍贿赂罪以及单位行贿罪增加并处罚金的条款，使得相关责任人在接受人身处罚的同时，在经济上也将受到制裁，增加其犯罪的法律成本。

3. 哪些行业受当局的重点审查？

根根据中国政府发布的各类文件、监管部门公布的典型案例以及我们的经验和持续观察，医疗和健康行业仍然是中国反商业贿赂监管执法部门重点关注的高危行业。特别是，最高人民检察院和国务院近期发布的涉及医药领域反商业贿赂的文件，体现了中国政府对医疗和健康行业进一步加强反商业贿赂监管的态度：最高人民检察院2016年9月发布的《关于全面履行检察职能为推进健康中国建设提供有力司法保障的意见》要求严肃查办药品流通领域的商业贿赂经济犯罪；国务院于2016年11月发布了《深化医药卫生体制改革领导小组关于进一步推广深化医药卫生体制改革经验的若干意见》，该文件要求建立商业贿赂企业黑名单制度，对出现回扣等商业贿赂行为的药品生产和流通企业，取消其供货资格。

除了上述医疗与健康行业，快消品与食品、房地产与建筑、制造业、金融与投资行业也是反商业贿赂监管与执法的重点对象。其中，金融与投资行业因未能准确入账及礼品问题引起的调查和处罚现象突出；快消品与食品行业因不当折扣、现金返利、第三方违规行为和进场费、陈列费、堆头费等原因受到调查和处罚的现象突出。

4. 在维持合规和正当商业行为方面，您对企业有什么建议？

一般而言，企业应根据自身规模和行业特点，提高员工（特别是关键岗位员工）的风险控制意识。除了制定公司风险控制政策、商业行为准则之外，定期或不定期的员工培训同样重要。培训的目的不仅仅是让员工了解企业的​​相关政策、行为准则，更包括培养员工妥善处理合规问题的能力，例如：如何处理、是否上报、向谁报告等。企业合规管理的理想效果应该包括（1）员工了解应对风险时妥善的初步处理方式；（2）企业，特别是管理层，能够迅速、一致、有效地回应多变的风险状况和监管要求所带来的挑战。当然，在突发情况下，及时联系企业法务部门及外部律师并寻求专业建议亦是控制风险的良策。

5. 新的备案制度对外资企业有什么影响？

根据2016年10月8日生效的《外商投资企业设立及变更备案管理暂行办法》（“《暂行办法》”），不涉及国家规定实施准入特别管理措施的外商投资企业的设立及变更由原先商委的审批制改为备案制。商委审批不再是工商设立、变更的前置程序。

新规实施为外商投资企业带来了极大的便利。同时，商委备案流程还在完善之中。而且，以往与商委审批直接挂钩的各项操作都需要进行调整。例如在外商投资企业股权并购中，商委批准往往作为一个重要的并购节点，影响并购双方权利和义务的安排以及后续外汇以及专用账户申请和开立。现在，并购双方应更加关注在工商局进行营业执照变更而非商委的变更流程了。

6. 在内部调查时，有哪些主要数据和人事方面的要素需要考虑？

在开展内部调查时，公司需要注意收集的信息主要包含以下几大类型：

• 内部规章制度规定

公司可以事先收集员工的劳动合同、公司的内部规章制度（包括员工手册等），重点关注其中关于反腐败类的规定、员工的保密义务以及员工是否有义务配合公司完成相应调查。

• 员工的工作邮件

在检索员工工作邮件之前，需要先确定公司的内部规章制度中是否明确（1）公司有权随时或基于调查需要检索及审查员工工作邮箱中的工作邮件；（2）员工的工作邮箱仅可作为员工处理工作事宜之用；（3）若员工利用工作邮箱处理非工作事宜，则视为员工认可公司仍有权检索并审查员工工作邮箱中的所有邮件（包括非工作事宜邮件）且不侵犯员工个人隐私。

如果公司的内部政策中尚无关于工作邮件的具体规定，建议在启动邮件调查之前先与员工签署该等协议或请员工签收相关政策，以降低未来侵犯个人隐私的风险。

• 与员工、第三方进行访谈

在与员工及第三方（供应商或客户，如需）进行访谈的过程中，应当尽可能当场制作访谈记录并请被访谈人签字确认，并请访谈人员签字作为见证。通常情况下，访谈人员为两名。对于访谈过程中被访谈人提供的证据材料应当注意保存。

• 财务账册及原始凭证

7. 对于现场监管检查、调查，企业及其内部法务团队应如何应对？

政府部门现场调查往往毫无预警与征兆。我们一般建议企业提前做好应对政府部门突击现场调查的预案，并对包括前台接待人员、现场负责人员在内的可能与政府官员直接接触的员工进行事先培训。根据企业所属行业及现场调查的不同政府部门，应对方式会稍有不同，但是预案制定与培训的内容应主要涵盖（1）了解政府官员检查的目的；（2）协调相关人员（包括企业法务人员和外部律师）做出反应；（3）对政府官员的问题或采取的措施做出适当的配合反应。而“我司负责人不在，请改天再来”或者直接将政府官员拒之门外都是不可取的做法。