【中英文对照版】关于进一步规范和监督罚款设定与实施的指导意见.docx

(国发(2024) 5号)各省、自治区、直辖市人 民政府，国务院各部委、 各直属机构：行政执法是行政机关履行 政府职能、管理经济社会 事务的重要方式。行政执 法工作面广量大，一头连 着政府，一头连着群众， 直接关系群众对党和政府 的信任、对法治的信心。 罚款是较为常见的行政执国务院关于进一步规范和监督罚款设定与实施的指导意见GuidingOpinionsoftheStateCouncilonFurtherRegulatingandSupervisingtheCreationandImpositionofFines制定机关：国务院发文字号：国发(2024)5号公布日期：2024.02.09施行日期：2024.02.09效力位阶：国务院规范性文件法规类别：法制工作综合规定营商环境优化IssuingAuthority：StateCouncilDocumentNumber：No.52024oftheStateCouncilDateIssued：02-09-2024EffectiveDate：02-09-20241.evelofAuthority：RegulatoryDocumentsoftheStateCouncilAreaofLaw:GeneralProvisionsonLegislativeAffairsOptimizationofDoingBusinessGuidingOpinionsoftheStateCouncilonFurther国务院关于进一步规范和RegulatingandSupervisingtheCreationand监督罚款设定与实施的指ImpositionofFines导意见(No.52024oftheStateCouncil)Thepeople,sgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;allministriesandcommissionsoftheStateCouncil;andallinstitutionsdirectlyundertheStateCouncil:Administrativelawenforcementisanimportantmeansforadministrativeorganstoperformgovernmentfunctionsandmanageeconomicandsocialaffairs.Theadministrativelawenforcementworkhasawidecoverageandheavyworkload,connectsthegovernmentwiththepublic,anddirectlyrelatestothepublic'trustinthePartyandthegovernmentaswellastheirconfidenceintheruleoflaw.Theimpositionoffinesisacommonmethodofadministrativelawenforcement.Inordertofurtherimprovethequalityoflegislationandlawenforcementconcerningfines,andregulateandsupervisethecreationandimpositionoffines,thefollowingopinionsareherebyofferedonthecreationandimpositionoffinesinadministrativeregulationsandrules.I. Generalrequirements(1) Guidingthought.GuidedbyXiJinpingThoughtonSocialismwithChineseCharacteristicsforaNewEra,XiJinpingThoughtontheruleoflawshallbethoroughlystudiedandimplemented,theguidelinesofthe20thNationalCongressoftheCommunistPartyofChinashallbefullyimplemented,andbasedonthenewdevelopmentstage,thenewdevelopmentphilosophyshallbeimplementedinacomplete,accurate,andcomprehensivemanner,theconstructionofanewdevelopmentpatternshallbeaccelerated,thecreationandimpositionoffinesshallbestrictlyregulatedandeffectivelysupervised,thepreventionofandpunishmentagainst川egalactsshallbestrengthened,thegovernmentgovernancecapacityshallbeenhanced,economicandsocialordershallbemaintained,thelawfulrightsandinterestsofenterprisesandthepublicshallbeeffectivelyprotected,thelaw-basedbusinessenvironmentshallbeoptimized,andthemodernizationofthenationalgovernancesystemandgovernancecapacityshallbepromoted.法行为。为进一步提高罚 款规定的立法、执法质 量，规范和监督罚款设定 与实施，现就行政法规、 规章中罚款设定与实施提 出以下意见。一、总体要求（一）指导思想。以 习近平新时代中国特色社 会主义思想为指导，深入 学习贯彻习近平法治思 想，全面贯彻落实党的二 十大精神，立足新发展阶 段，完整、准确、全面贯 彻新发展理念，加快构建 新发展格局，严格规范和 有力监督罚款设定与实 施，强化对违法行为的预 防和惩戒作用，提升政府 治理能力，维护经济社会 秩序，切实保护企业和群 众合法权益，优化法治化 营商环境，推进国家治理 体系和治理能力现代化。（二）基本原则。坚 持党的领导，把坚持和加 强党的领导贯穿于规范和 监督罚款设定与实施工作 的全过程和各方面。坚持 以人民为中心，努力让企 业和群众在每一个执法行 为中都能看到风清气正、(2) Basicprinciples.TheParty'sleadershipshallbeadheredto5theParty'sleadershipshallbeupheldandstrengthenedthroughoutthewholeprocessandinallaspectsofregulatingandsupervisingthecreationandimpositionoffines.Thepeople-centeredapproachshallbeadheredto,effortsshallbemadetoenableenterprisesandthepublictoseeintegrityandjusticeineachlawenforcementactionandfeelfairnessandjusticeineachlawenforcementdecision.Administrationinaccordancewiththelawshallbeadheredto,powersshallbeexercised,dutiesshallbeperformed,andresponsibilitiesshallbeundertakeninaccordancewiththelawbasedontherequirementsofstatutorypenalties,impartialityandopenness,proportionalitybetweenfaultsandpenalties,andcombinationofpunishmentandeducation.Theproblem-orientedprincipleshallbeadheredto,andeffortsshallbemadetoresolveprominentproblemssuchasarbitraryfinesstronglycomplainedaboutbyenterprisesandthepublic.(3) Mainobjectives.Finesshallbecreatedonamorescientificbasis,imposedinamorestandardizedmanner,andsupervisedinamoreeffectivemanner,andstrict,standardized,impartial,andcivilizedlawenforcementshallbecomprehensivelypromotedtogreatlyenhancethesatisfactionofenterprisesandthepeople.II. Scientificallycreatingfinesinaccordancewiththelaw从每一项执法决定中都能 感受到公平正义。坚持依 法行政，按照处罚法定、 公正公开、过罚相当、处 罚与教育相结合的要求， 依法行使权力、履行职 责、承担责任。坚持问题 导向，着力破解企业和群 众反映强烈的乱罚款等突 出问题。（三）主要目标。罚 款设定更加科学，罚款实 施更加规范，罚款监督更 加有力，全面推进严格规 范公正文明执法，企业和 群众的满意度显著提升。二、依法科学设定罚款（四）严守罚款设定 权限。法律、法规对违法 行为已经作出行政处罚规 定但未设定罚款的，规章 不得增设罚款。法律、法 规已经设定罚款但未规定 罚款数额的，或者尚未制 定法律、法规，因行政管 理迫切需要依法先以规章 设定罚款的，规章要在规 定的罚款限额内作出具体 规定。规章设定的罚款数 额不得超过法律、法规对 相似违法行为规定的罚款 数额，并要根据经济社会(4) Strictlyobservingtheauthorityofcreatingfines.Ifanylaworregulationprescribesadministrativepenaltiesagainstillegalactsbuthasnofine-relatedprovisions,nofineshallbecreatedinanyrule.Ifafinehasbeencreatedinanylaworregulationbuttheamountoffineshasnotbeenspecified,orforeffectiveadministration,itisurgenttocreatefinesinrulesinadvanceduetotheabsenceofanyapplicablelaworregulation,therulesshallcontainspecificprovisionswithintheprescribedlimitsoffines.Theamountoffinescreatedinrulesshallnotexceedtheamountoffinesprescribedbyanyotherlaworregulationforsimilarillegalacts,andshallbeadjustedinduetimeaccordingtoeconomicandsocialdevelopment.Thejointdevelopmentofunifiedregulatoryrules,standards,andspecificationsacrossadministrativeregionsinaccordancewiththerelevantprovisionsisencouraged,andtherelativeunificationoftheamountoffinesandbasicstandardsfordiscretion,amongothers,shallbepromotedinacoordinatedmanner.发展情况适时调整。鼓励 跨行政区域按规定联合制 定统一监管制度及标准规 范，协同推动罚款数额、 裁量基准等相对统一。（五）科学适用过罚 相当原则。行政法规、规 章新设罚款和确定罚款数 额时，要坚持过罚相当， 做到该宽则宽、当严则 严，避免失衡Q要综合运 用各种管理手段，能够通 过教育劝导、责令改正、 信息披露等方式管理的， 一般不设定罚款。实施罚 款处罚无法有效进行行政 管理时，要依法确定更加 适当的处罚种类。设定罚 款要结合违法行为的事 实、性质、情节以及社会 危害程度，统筹考虑经济 社会发展水平、行业特 点、地方实际、主观过 错、获利情况、相似违法 行为罚款规定等因素，区 分情况、分类处理，确保 有效遏制违法、激励守 法。制定行政法规、规章 时，可以根据行政处罚法 第三十二条等规定，对当 事人为盲人、又聋又哑的 人或者已满75周岁的人 等，结合具体情况明确罚 款的从轻、减轻情形；根 据行政处罚法第三十三条 等规定，细化不予、可以(5) Scientificallyapplyingtheprincipleofproportionalitybetweenfaultsandpenalties.Thecreationofnewfinesordeterminationoftheamountoffinesinadministrativeregulationsandrulesshalladheretotheprincipleofproportionalitybetweenfaultsandpenaltiesandthebalancebetweenleniencyandseverity.Variousadministrationmeansshallbecomprehensivelyadopted,andnofinesshallbecreatedingeneralifadministrationcanberealizedthrougheducationandpersuasion,orderingcorrectiveaction,informationdisclosure,orothermeans.Ifeffectiveadministrationcannotberealizedmerelythroughtheimpositionoffines,moreappropriatetypesofpenaltiesshallbedeterminedinaccordancewiththelaw.Finesshallbecreatedinlightofthefacts,nature,circumstances,anddegreeofsocialharmofillegalactsandbytakingintooverallconsiderationthelevelofsocialandeconomicdevelopment,industrycharacteristics,localconditions,subjectivefault,profitability,provisionsonfinesforsimilarillegalacts,andotherfactors.Casesshallbedifferentiatedandhandledbasedontheirspecificcircumstancestoeffectivelycurbillegalactsandencouragecompliancewithlaws.Inthedevelopmentofadministrativeregulationsandrules,ifthepartiesareblind,deaf,dumb,orhaveattainedtheageof75orabove,thecircumstancesunderwhichlighterormitigatedfinesmaybeimposedshallbespecifiedinlightofspecificcircumstancesinaccordancewithArticle32oftheAdministrativePenaltyLawandotherapplicableprovisions;thecircumstanceswherefinesshallormaybeexemptedshallbespecifiedinaccordancewithArticle33oftheAdministrativePenaltyLawandotherapplicableprovisions;andthecircumstancesunderwhichsevererpenaltiesshallbeimposedshallbespecifiedwithreferencetotheprovisionsofrelevantlegalrulesonimposingsevererpenaltiesonthosewhoinstigateminors,amongothers.不予罚款情形；参考相关 法律规范对教唆未成年人 等的从重处罚规定，明确 罚款的从重情形。（六）合理确定罚款 数额。设定罚款要符合行 政处罚法和相关法律规范 的立法目的，一般要明确 罚款数额，科学采用数额 罚、倍数（比例）罚等方 法。规定处以一定幅度的 罚款时，除涉及公民生命 健康安全、金融安全等情 形外，罚款的最低数额与 最高数额之间一般不超过 10倍。各地区、各部门要 根据地域、领域等因素， 适时调整本地区、本部门 规定的适用听证程序的 “较大数额罚款”标准。 同一行政法规、规章对不 同违法行为设定罚款的要 相互协调，不同行政法 规、规章对同一个违法行 为设定罚款的要相互衔 接，避免畸高畸低。拟规 定较高起罚数额的，要充 分听取专家学者等各方面 意见，参考不同领域的相 似违法行为或者同一领域 的不同违法行为的罚款数 额。起草法律、行政法 规、地方性法规时，需要 制定涉及罚款的配套规定 的，有关部门要统筹考 虑、同步研究。(6) Reasonablydeterminingtheamountoffines.FinesshallbecreatedinconformitywiththelegislativepurposeoftheAdministrativePenaltyLawandrelevantlegalrules.Theamountoffinesshallgenerallybespecified,andmethodssuchasfixedamountsandmultiple(proportional)fines,andothermethodsshallbeadoptedinascientificmanner.Ifitisprescribedthatacertainrangeoffinesshallbeimposed,themaximumamountoffinesshallgenerallynotexceedtentimestheminimumamount,exceptincaseswherethelifeandhealthofcitizens,financialsecurity,oranyothercircumstanceisinvolved.Allregionsandalldepartmentsshall,basedonregions,fields,andotherfactors,adjustinduetimethestandardsof“relativelylargeamountoffinesnprescribedbythelocalregionsanddepartmentstowhichthehearingproceduresshallapply.Finescreatedfordifferentillegalactsunderthesameadministrativeregulationandruleshallbecoordinatedwitheachother,andfinescreatedforthesameillegalactunderdifferentadministrativeregulationsandrulesshallbeconnectedwitheachother,inordertoavoidexcessivelyhighorlowfines.Ifahigherminimumfineisproposed,theopinionsofexperts,scholars,andotherpartiesshallbefullysolicited,andtheamountsoffinesagainstsimilarillegalactsindifferentfieldsordifferentillegalactsinthesamefieldshallbetakenasthereference.Ifitisnecessarytodevelopsupportingregulationsrelatingtofineswhendraftinglaws,administrativeregulations,andlocalregulations,relevantdepartmentsshalltakeintooverallconsiderationandconductresearchatthesametime.(7) Regularlyassessingandreviewingfine-relatedprovisions.Whenimplementingtheregularadministrativepenaltyassessmentsystemandorganizingtheassessmentofadministrativepenaltiesinbatcheseveryfiveyears,thedepartmentsoftheStateCouncilandpeople,sgovernmentsofprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernmentandtheirrelevantdepartmentsshallfocusontheassessmentoffine-relatedprovisionsthataredevelopedatearliertime,involvelargeramountoffines,areofgreatsocialconcern,andcloselyrelatetoenterprisesandthepublic.Iftheyfinduponassessmentthatanyfine-relatedprovisionisinconsistentwiththeprovisionsofanysuperordinatelaw,failstosatisfytheneedsofeconomicandsocialdevelopment,hasevidentlyinappropriateimpositionofpenalties,lackspertinenceandpracticality,orisotherwiseinappropriate,theyshall,accordingtolegislativepowersandprocedures,promptlyamendorappealsuchprovisionsorsuggestappropriateauthoritiestodoso.Allregionsandalldepartmentsshallpromptlyreviewexceptionalprovisionsonillegalincomecalculationmethodsintheformofadministrativeregulatorydocuments.Ifitisindeednecessarytoretainsuchexceptionalprovisions,theyshallpromptlyspecifysuchexceptionalprovisionsthroughlaws,administrativeregulations,anddepartmentalrulesinaccordancewiththelaw.(七)定期评估清理 罚款规定。国务院部门和 省、自治区、直辖市人民 政府及其有关部门在落实 行政处罚定期评估制度、 每5年分类分批组织行政 处罚评估时，要重点评估 设定时间较早、罚款数额 较大、社会关注度较高、 与企业和群众关系密切的 罚款规定。对评估发现有 不符合上位法规定、不适 应经济社会发展需要、明 显过罚不当、缺乏针对性 和实用性等情形的罚款规 定，要及时按照立法权限 和程序自行或者建议有权 机关予以修改或者废止。 各地区、各部门以行政规 范性文件形式对违法所得 计算方式作出例外规定 的，要及时清理；确有必 要保留的，要依法及时通 过法律、行政法规、部门 规章予以明确。(A)及时修改废止 罚款规定。国务院决定取 消行政法规、部门规章中 设定的罚款事项的，自决 定印发之日起暂时停止适 用相关行政法规、部门规 章中的有关罚款规定。国 务院决定调整行政法规、 部门规章中设定的罚款事(8) Promptlyamendingandrepealingfine-relatedprovisions.IftheStateCouncildecidestocancelanyfine-relatedmattersspecifiedinanyadministrativeregulationordepartmentalrule,thefine-relatedprovisionsinrelevantadministrativeregulationsordepartmentalrulesshalltemporarilyceasetoapplyfromthedateofissuanceofsuchadecision.IftheStateCouncildecidestoadjustanyfine-relatedmattersspecifiedintherelevantadministrativeregulationsordepartmentalrules,thefine-relatedprovisionsintherelevantamendedadministrativeregulationsanddepartmentalrulesshallapply.TherelevantdepartmentsoftheStateCouncilshall,within60daysfromthedateofissuanceofthedecision,submittheplanonamendmentstorelevantadministrativeregulationstotheStateCouncil,andcompletetheamendmentsorabolitionoftherelevantdepartmentalrules.Ifanydepartmentalruleneedstobeadjustedaccordingtotheamendedadministrativeregulations,theamendmentorabolitionshallbecompletedwithin60daysfromthedateofissuanceoftherelevantadministrativeregulations.Ifitisimpossibletocompletetheamendmentorabolitionofdepartmentalruleswithintheaforesaidtimelimitduetoanyspecialreason,anappropriateextensionofnotmorethan30daysmaybemade.Afterthecancellationoffines,relevantdepartmentsshallconductdiligentresearchinaccordancewiththelaw,strictlyfulfillregulatoryresponsibilities,endeavortostrengtheninterimandex-postregulation,improveregulationmethods,standardizeregulationprocedures,makeregulationmorescientific,simple,andaccurate,andfurtherenhancetheefficiencyofregulation.111. Strictlyregulatingtheimpositionoffines项的，按照修改后的相关 行政法规、部门规章中的 有关罚款规定执行。国务 院有关部门要自决定印发 之日起60日内向国务院报 送相关行政法规修改方 案，并完成相关部门规章 修改或者废止工作，部门 规章需要根据修改后的行 政法规调整的，要自相关 行政法规公布之日起60 0 内完成修改或者废止工 作。因特殊原因无法在上 述期限内完成部门规章修 改或者废止工作的，可以 适当延长，但延长期限最 多不得超过30日。罚款事 项取消后，有关部门要依 法认真研究，严格落实监 管责任，着力加强事中事 后监管，完善监管方法， 规范监管程序，提高监管 的科学性、简约性和精准 性，进一步提升监管效 能。三、严格规范罚款实施（九）坚持严格规范 执法。要严格按照法律规 定和违法事实实施罚款， 不得随意给予顶格罚款或 者高额罚款，不得随意降 低对违法行为的认定门 槛，不得随意扩大违法行 为的范围。对违法行为的 事实、性质、情节以及社(9) Adheringtostrictandstandardizedlawenforcement.Finesshallbeimposedinstrictaccordancewithlegalprovisionsandbasedontheillegalfactsinvolved;maximumorhighfinesshallnotbearbitrarilyimposed,thethresholdfordeterminingillegalactsshallnotbearbitrarilylowered,andthescopeofillegalactsshallnotbearbitrarilyexpanded.Forcasesthatinvolvesimilarviolationsintermsoffacts,nature,circumstances,anddegreeofsocialharm,itshallbeensuredthatthediscretioninimposingfinescomplieswithlegalrequirementssoastoavoiddifferentpenaltiesforsimilarcases.Theimpositionoffinesformakingprofitsshallbeprohibited,andtheimpositionoffinesagainstillegalactsbeyondthestatutorylimitationperiodshallbeprohibited.Forseriousillegalacts,therequirementsofttpunishmentofliablepersonsshallbeimplementedinaccordancewiththelawtoresolutelysafeguardthelawfulrightsandinterestsofenterprisesandthepublic.Whenimposingpenalties,administrativeorgansshallorderthepartiestocorrectorcorrectwithinaprescribedtimelimittheillegalact,andafineshallnotbeimposedwithoutorderingthecorrectionofillegalact.会危害程度基本相似的案 件，要确保罚款裁量尺度 符合法定要求，避免类案 不同罚Q严禁逐利罚款， 严禁对已超过法定追责期 限的违法行为给予罚款。 加大对重点领域的执法力 度，对严重违法行为，要 依法落实“处罚到人”要 求，坚决维护企业和群众 合法权益。行政机关实施 处罚时应当责令当事人改 正或者限期改正违法行 为，不得只罚款而不纠正 违法行为。（十）坚持公正文明 执法。国务院部门和省、 自治区、直辖市人民政府 及其有关部门要根据不同 地域、领域等实际情况， 科学细化行政处罚法第三 十二条、第三十三条规定 的适用情形。行政机关实 施罚款等处罚时，要统筹 考虑相关法律规范与行政 处罚法的适用关系，符合 行政处罚法第三十二条规 定的从轻、减轻处罚或者 第三十三条等规定的不 予、可以不予处罚情形 的，要适用行政处罚法依 法作出相应处理。鼓励行 政机关制定不予、可以不 予、减轻、从轻、从重罚 款等处罚清单，依据行政 处罚法、相关法律规范定(10) Adheringtoimpartialandcivilizedlawenforcement.ThedepartmentsoftheStateCouncilandpeople'sgovernmentsofprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment,aswellastheirrelevantdepartmentsshall,inlightoftheactualcircumstancesindifferentregionsandfields,amongothers,scientificallyspecifytheapplicablecircumstancesinArticles32and33oftheAdministrativePenaltyLaw.Whenimposingafineoranyotherpenalty,anadministrativeorganshallcomprehensivelyconsidertherelationshipbetweentheapplicationofrelevantlegalrulesandtheAdministrativePenaltyLaw,andapplytheAdministrativePenaltyLawandhandlecasesaccordinglyinaccordancewiththelaw