近日，威科先行在线发布《新型劳动法问题实务全面指引——威科先行系列实务指引》，指引内容分为六个专题，大成上海合伙人罗欣律师携手威科先行参与制作专题四“利益冲突管制”，以下内容为报告内容的概要：
概述 Abstract
利益冲突约束机制本是公司治理中的关键概念，嗣后迁移于雇佣法领域，并随同外资公司入华而在规章制度中出现，并逐渐成为实务中值得关注并有一定争议之劳动法律问题。
Restrictions on conflicts of interest, which was a core concept originated from corporate governance, was then introduced to employment law area and entered into China being incorporated into internal policy for multinational companies. Since then it has gradually become a major issue disputable but worth of attention in judicial practice.
利益冲突于产生之伊始，根据当事人的主观状态，可分为“有意识型”（员工主动推动或促成了利益冲突态势的形成）和“无意识型”（由于外部情况变动，员工被动卷入利益冲突事件）。但，无论意识之介入时机（事先或事中），一旦介入其中（即当事人知道或应当知道利益冲突的存在），其主观恶性（故意或过失），便成为可谴责性的根源；进一步，主观恶意所驱使之行为（包括“不作为”）使得其具有可处罚性。
At the very beginning when competing interests appears, there can be divided into two types of conflicts on the basis of the involved employee’s status of mind: ‘Awareness Type’ (where employees actively participate in or make contribution to the conflict) and ‘Unawareness Type’ (where employees were implicated in the conflict due to change of external social connections). Regardless of when the said awareness emerges (either prior to or amid the confliction), mala fide intention (deliberated or reckless) could be the root cause of culpability once the foregoing awareness is present in the party’s mind (i.e. when the party become aware or shall be aware of existence of the conflict), thus, the act or behavior driven by such intention (including failure on fulfilling due obligation) shall be punishable.
利益冲突行为所侵害的客体表面上是雇主的知情权或收益权，但根基在于动摇或丧失了雇主的信任——这是人身信赖合同的履约基础，违反了劳动者的忠诚义务，进而导致对员工的纪律措施，乃至劳动关系的解除。
The act or behavior under conflict of interest seemingly infringes on employer’s right to know or beneficiary position superficially, while it actually eroded or undermined employer’s trust whereby the employment contract had been counting on. Such action constitutes a substantial breach of loyalty duty that the employee owes to the employer, which triggers the initiative of disciplinary punishment imposed on employees and likely ends with collapse/termination of the employment.
利益冲突约束机制所要达成的目的并非是要求员工在利益冲突的情况下于结果层面作出“公正”地处理，其规制方法往往是程序导向的：一方面要避免利益冲突态势的形成（特别是杜绝在主观恶意驱使下主动形成的利益冲突），另一方面，在利益冲突“不期而至”之时，审慎地经由披露程序将“选择”交予用人单位。
The purpose of restrictions on conflicts of interest is not to compel employee to impartially deal with the collision but to provide them a procedure-oriented guidance to manage it: (i) on one hand avoiding the formation of a conflict of interest (especially eliminate the conflicting interests driven by mala fide intention); and (ii) cautiously handing over the decision-making to the employer via disclosure procedure when coming across the conflict of interest unexpectedly on the other hand.
长期以来，对于劳动法当中的利益冲突管制事务往往存有如下三点“刻板印象”：
For a long time, there have been three stereotyped standpoints regarding managing conflict of interest in employment law practice,
1、利益冲突行为之约束效力全源自于规章制度或合同约定（即所谓“有约定从约定”），若规章制度或合同约定缺位，则不应视为违纪行为（参照“法无明文规定不为罪”处理）。
The legal force of managing conflicts of interest completely stems from the internal rules and regulations or contractual agreements (as said ‘Following the Agreements if any’). But if both internal policies and employment contract are silent on this regard, the conflict of interest shall not be deemed as a condemned violation (referring to the principle of Nullum crimen sine lege applicable in criminal laws).
2、利益冲突行为若没有产生损害后果，其本身往往属于“中立”或“轻微”事件，其可谴责性或可处分性有待商榷。
If the interest conflicting does not incur any damages or adverse consequences, the conflict per se will be regarded as ‘neutral’ or just ‘minor’, and therefore may not be punished.
3、利益冲突行为本身不适宜作为一种违纪行为，其只是一种“中间状态”或“触发点”，往往会最终转化为渎职、侵占、侵害商业秘密、滥用公司资源等违纪行为，故相关制约应针对这些最终行为展开。
The behavior of conflict of interest itself seems taken as not a violation but only an " intermediate" or a "trigger" whereby it will eventually evolve into other inflictable breaches such as malfeasance, embezzlement, infringement of trade secrets, abuse of company resources. As such, said restrictions should be imposed on these ultimate conducts.
常见的受约束利益冲突包括如下种类：（1）滥用职权、（2）禁止兼职、（3）近亲属任职回避或禁止、（4）滥用公司资源、（5）商业贿赂、（6）潜在职务侵占（包括自我交易）、（7）违反保密义务等。
Common types of interests conflict that should be restricted include (i) malpractice or abuse of power, (ii) restriction on holding concurrent-positions, (iii) avoidance or prohibition of employing close relatives, (iv) abuse of company resources, (v) bribery, (vi) potential embezzlement (including self-dealing), (vii) breach of confidentiality, etc.
对可处罚性利益冲突的归责要件是：（1）与职务相关；（2）在外部存有公务利益与私人利益的冲突，且尚无法断定当事人选择了公务利益；（3）当事人未能及时、审慎地披露。有关利益冲突行为是否实际产生损害结果，不宜作为构成要件，但可被作为衡量处分的合理性的要素之一。
The imputation elements for conflicts of interest include: (i) it is job-related; (ii) there was externally substantial conflicts between the employer’s interest and the employee’s private benefit and it cannot be concluded the employee acted for employer’s good; (iii) the employee failed to disclose it in a timely and prudent manner. Besides, whether any damages were caused by the conflict shall not be a constituent element but can be used as a referral consideration for rationality of the punishment.
尽管利益冲突的约束渊源来自于劳动者的忠诚义务，或可以被解释为来自劳动合同的默示条款，但实践中，考虑到可执行性（特别是考虑到仲裁员及法官在此问题上的常见认知），规章制度将是更加可行的“抓手”（例如，劳动合同解除的重要依据之一是严重违反用人单位规章制度，并非严重违反合同约定）。
Restraint on interests conflict stems from loyalty duty that employees owe to their employers, or can be interpreted from implied terms of the employment contract, but in practice, considering its enforceability (especially arbitrators and judge’s mainstream preference), internal rules and regulations will be a more feasible tool to govern interests conflict (for example, one of main legal grounds for dismissal is a serious breach of internal policies but not the breach of contractual clauses).
目前，在华外资企业中的最佳实践是，利益冲突等合规性管理规定往往被规定在《商业行为准则》之类的特别政策中（以便依据监管规则定期更新）。《员工手册》（特别是其员工行为规范及劳动纪律等章节）再与《商业行为准则》进行关联，并且通过民主程序，保证其合理性及强制执行力。
Currently, the best practice for multinational companies in China is to incorporate compliance rules including conflicts of interest into internal policies, the Code of Business Conduct for instance(so as to make it updated periodically in accordance with regulatory requirements). Then, it is essential to establish connections between the Employee Handbook (especially chapters pertinent to code of conduct and labor discipline) and the Code of Business Conduct, where both will be justified and enacted through democratic procedures.
