中英对照2021国务院关于进一步贯彻实施《中华人民共和国行政处罚法》的通知.docx

NoticebytheStateCouncilofFurtherImplementingtheLawofthePeople'sRepublicofChinaonAdministrativePenaltyDocumentNumber：No.262021oftheSlateCouncilAreaOfiaW:AdministrativePenallyandAdministrativeReconsiderationOptimizationofDoingBusiness1.evelofAuthority:RegulatoryDocumentsoftheStateCouncilIssuingAuthority：StateCouncilDateIssued：11-15-2021EffectiveDate11-15-2021Status:EffectiveLaw on Administrative PenallyNoticebytheStateCouncilofFurtherImplementingtheLawofthePeople'sRepublicofChinaonAdministrativePenally(No.262021oftheStateCouncil)Thepeople'sgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;andallministriesandcommissionsoftheStateCouncilandallinstitutionsdirectlyundertheStateCouncil:TheLawofthePeople'sRepublicofChinaonAdministrativePenalty(hereinafterreferredtoasthe“LawonAdministrativePenally")hasbeenrevisedandadoptedatthe25thsessionoftheStandingCommitteeofthe13thNationalPeople'sCongress.ForthepurposesoffurtherimplementingtheLawonAdministrativePenalty,youareherebynotifiedoftherelevantmattersasfollows:I. Fullyunderstandingthesignificanceofimplementingthe国务院关于进一步贯彻实施中华人民共和国行政处罚法的通知（国发（2021）26号）各省、自治区、直辖市人民政府，国务院各部委、各直属机构：中华人民共和国行政处罚法（以下简称行政处罚法）已经十三届全国人大常委会第二十五次会议修订通过。为进一步贯彻实施行政处罚法，现就有关事项通知如下：一、充分认识贯彻实施行政处罚法的重要意义TheLawonAdministrativePenaltyisanimportantlawregulatingtheactsofgovernment.EffectiveimplementationofthenewlyrevisedLawonAdministrativePenaltyisofgreatsignificanceforpromotingstrict,regulated,impartialandcivilizedlawenforcement,ensuringandsupen,isingtheeffectiveimplementationofadministrativemanagementbyadministrativeorgans,optimizingthelaw-basedbusinessenvironment,protectingthelawfulrightsandinterestsofcitizens,legalpersonsorotherorganizations,acceleratingtheconstructionofalaw-basedgovernment,andpromotingthemodernizationofthegovernancesystemandgovernancecapacityofthestate.ThenewlyrevisedLawonAdministrativePenaltyhasreflectedandconsolidatedthemajorreformachievementsinthefieldofadministrativelawenforcementinrecentyears,hasmettheneedsofcurrentlawenforcementpractice,hasspecifiedthedefinitionofadministrativepenalty,hasexpandedthetypesofadministrativepenalties,hasimprovedtheadministrativepenaltyprocedures,andhasstrengthenedtheadministrativelawenforcementresponsibilities.AllregionsanddepartmentsshallthoroughlystudyandimplementXiJinping'sruling-by-lawthought,acceleratetheconstructionofalaw-basedcountry,alaw-basedgovernmentandalaw-basedsociety,fullyunderstandthesignificanceoftheimplementationofthenewlyrevisedLaWonAdministrativePenalty,adopteffectivemeasures,makespecificarrangements,andsteadilyandeffectivelyconductimplementation.行政处罚法是规范政府行为的一部重要法律。贯彻实施好新修订的行政处罚法，对推进严格规范公正文明执法，保障和监督行政机关有效实施行政管理，优化法治化营商环境，保护公民、法人或者其他组织的合法权益，加快法治政府建设，推进国家治理体系和治理能力现代化，具有重要意义。新修订的行政处罚法体现和巩固了近年来行政执法领域取得的重大改革成果，回应了当前的执法实践需要，明确了行政处罚的定义，扩充了行政处罚种类，完善了行政处罚程序，强化了行政执法责任。各地区、各部门要从深入学习贯彻习近平法治思想，加快建设法治国家、法治政府、法治社会的高度，充分认识新修订的行政处罚法施行的重要意义，采取有效措施，作出具体部署，扎实做好贯彻实施工作。II. Strengtheningstudy,trainingandpublicity二、加强学习、培训和宣传工作1. Providinginstitutionalized,regulatedandnormalizedtraining.Staffmembersofadministrativeorgans,especiallyofficials,shalltaketheleadindiligentlystudyingtheLawonAdministrativePenalty,understandthespiritualessenceandinternalrequirementsinanin-depthmanner,implementadministrationaccordingtothelawandconsciouslyacceptsupervision.AllregionsanddepartmentsshallincorporatetheLawonAdministrativePenaltyintothecontentofadministrativelawenforcementtrainingasacompulsorycourseforadministrativelawenforcementpersonnel,tomakeadministrativelawenforcementpersonnelfullyunderstandandaccuratelygrasptheprovisionsoftheLawonAdministrativePenalty,andcomprehensivelyandcorrectlyperformtheiradministrativepenaltyfunctionsinaccordancewiththelaw.AllregionsanddepartmentsshallcompletetheeducationandtrainingofexistingadministrativelawenforcementpersonnelthroughvariousformsbeforeJune2022,andcontinuetoeffectivelytrainnewadministrativelawenforcementpersonnel.2. Intensifyingpublicity.AllregionsanddepartmentsshallincorporatethepublicityoftheLawonAdministrativePenaltyintotheEighthFive-Year,'planoftheirownregionsanddepartmentsforpopularizationoflawknowledge,carryoutextensivepublicitytothepublic,enhancetheconceptofruleoflawamongallthepeople,raisethelawcomplianceawarenessofallthepeople,andguideallpartiestosupervisethebehaviorsofadministrativepenaltyandprotecttheirownrightsandinterests.Inaccordancewiththerequirementsoftheresponsibilitysystemoft4whoeverenforceslawshallpopularizelaw/'therelevantterritorialmanagement（一）开展制度化规范化常态化培训。行政机关工作人员特别是领导干部要带头认真学习行政处罚法，深刻领会精神实质和内在要求，做到依法行政并自觉接受监督。各地区、各部门要将行政处罚法纳入行政执法培训内容，作为行政执法人员的必修课，使行政执法人员全面理解和准确掌握行政处罚法的规定，依法全面正确履行行政处罚职能。各地区、各部门要于2022年6月前通过多种形式完成对现有行政执法人员的教育培训，并持续做好新上岗行政执法人员培训工作。（二）加大宣传力度。各地区、各部门要将行政处罚法宣传纳入本地区、本部门的“八五”普法规划，面向社会广泛开展宣传，增强全民法治观念，提高全民守法意识，引导各方面监督行政处罚行为、维护自身合法权益。要按照“谁执法谁普法”普法责任制的要求，落实有关属地管理责任和部门主体责任，深入开展行政执法人员、行政复议人员等以案释法活动。三、依法规范行政处罚的设定()加强立法释法有关工作。起草法律、法规、规章草案时，对违反行政管理秩序的公民、法人或者其他 组织，以减损权益或者增加义务的方式实施惩戒的，要依 法设定行政处罚，不得以其他行政管理措施的名义变相设 定，规避行政处罚设定的要求。对上位法设定的行政处罚 作出具体规定的，不得通过增减违反行政管理秩序的行为 和行政处罚种类、在法定幅度之外调整罚款上下限等方式 层层加码或者“立法放水”。对现行法律、法规、规章中 的行政管理措施是否属于行政处罚有争议的，要依法及时 予以解释答复或者提请有权机关解释答复。responsibilityandtheprimarydepartmentalresponsibilityshallbeimplemented,andtheactivitiesofinterpretationoflawsbycasesamongadministrativelawenforcementpersonnelandadministrativereconsiderationpersonnelshallbecarriedoutinanin-depthmanner.III.Regulatingthesettingofadministrativepenaltiesaccordingtothelaw3. Strengtheningtheworkrelatedtolegislativeinterpretation.Whendraftinglaws,regulationsandrules,ifanycitizen,legalpersonoranyotherorganizationthatviolatestheadministrativemanagementorderissubjecttopenaltybyreductionofrightsandinterestsorincreaseinobligations,administrativepenaltyshallbesetinaccordancewiththelaw,butshallnotbesetinthenameofotheradministrativemanagementmeasuresinadisguisedmanner,tocircumventtherequirementsforsettingofadministrativepenalty.Wherespecificprovisionsareprovidedontheadministrativepenaltiessetbythesuperiorlaw,itisnotallowedtoincreaseorreducetheamountofadministrativepenaltyorconduct44Iegislativerclease,'byincreasingordecreasingthetypesofactsthatviolatetheadministrativeorderandthetypesofadministrativepenalties,adjustingtheupperandlowerlimitsoffinesbeyondthestatutoryrange,andothermethods.Wherethereisadisputeoverwhetheranadministrativemeasurespecifiedinthelaws,regulationsandrulescurrentlyinforceisadministrativepenalty,anexplanationandreplyshallbegiveninatimelymannerinaccordancewiththelaworarequestshallbesubmittedtothecompetentauthorityfbranexplanationandreply.4. Reasonablysettingtheamountoffinesinaccordancewiththelaw.AccordingtotheLawonAdministrativePenalty,ifnolawsoradministrativeregulationshavebeendeveloped,acertainamountoffinesmaybesetinthedepartmentalrulesoftheStateCouncilaccordingtothelimitsspecifiedbytheStateCouncilforactsthatviolatetheadministrativeorder.Thesettingoffinesindepartmentalregulationsshallinsistontheprincipleofpenaltiescommensuratewithfault,theamountoffinesshallbecommensuratewiththefacts,nature,circumstances,andsocialharmoftheillegalacts,andstringentorlenientpenaltyshallbegivenwhereitisappropriate.Whereprovisionsonfineshavebeenprescribedinlawsandadministrativeregulations,provisionsmustbeprescribedindepartmentalruleswithinthescopeofacts,types,andextentforimposingadministrativepenaltiesasprescribedinlawsandadministrativeregulations.Wherelawsandadministrativeregulationshavenotbeendeveloped,duetotheurgentneedofadministrativemanagement,finesneedtobelegallysetinaccordancewithdepartmentalrules,themaximumamountoffinessetshallnotexceed1()0,000yuanortheamountoffinesimposedagainstsimilarillegalactsunderthelawsandadministrativeregulations,wherethelife,healthandfinancialsafetyofcitizensareinvolvedandthereareharmfulconsequences,themaximumamountoffinessetshallnotexceed200,000yuan;andwheretheaforesaidlimitisexceeded,itshallbereportedtotheStateCouncilforapproval.Where,undertheaforesaidcircumstances,thefinessetbythedepartmentalrulesneedcontinuetobeimplementedafterthedepartmentalruleshavebeenimplementedforacertainperiodoftimeandtheyneedtobeupgradedtolawsand（四）依法合理设定罚款数额。根据行政处罚法规定，尚未制定法律、行政法规的，国务院部门规章对违反行政管理秩序的行为，可以按照国务院规定的限额设定一定数额的罚款。部门规章设定罚款，要坚持过罚相当，罚款数额要与违法行为的事实、性质、情节以及社会危害程度相当，该严的要严，该轻的要轻。法律、行政法规对违法行为已经作出罚款规定的，部门规章必须在法律、行政法规规定的给予行政处罚的行为、种类和幅度的范围内规定。尚未制定法律、行政法规，因行政管理迫切需要依法先以部门规章设定罚款的，设定的罚款数额最高不得超过10万元，且不得超过法律、行政法规对相似违法行为的罚款数额，涉及公民生命健康安全、金融安全且有危害后果的，设定的罚款数额最高不得超过20万元；超过上述限额的，要报国务院批准。上述情况下，部门规章实施一定时间后，需要继续实施其所设定的罚款且需要上升为法律、行政法规的，有关部门要及时报请国务院提请全国人大及其常委会制定法律，或者提请国务院制定行政法规。本通知印发后，修改部门规章时，要结合实际研究调整罚款数额的必要性，该降低的要降低，确需提高的要严格依照法定程序在限额范围内提高。地方政府规章设定罚款的限额，依法由省、自治区、直辖市人大常委会规定。（五）强化定期评估和合法性审核。国务院部门和 省、自治区、直辖市人民政府及其有关部门要认真落实行 政处罚定期评估制度，结合立法计划规划每5年分类、分 批组织一次评估。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 性等情形的行政处罚规定，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、废止。要加强行政规范性 文件合法性审核，行政规范性文件不得设定行政处罚；违 法规定行政处罚的，相关规定一律无效，不得作为行政处 罚依据。administrativeregulations,therelevantdepartmentsshallreporttotheStateCouncilforsubmittingrequeststotheNationalPeople'sCongressanditsStandingCommitteefordevelopmentoflaws,orsubmitrequeststotheStateCouncilfordevelopmentoflaws.AftertheissuanceofthisNotice,whenrevisingthedepartmentalrules,thenecessityofadjustingtheamountoffinesshallbestudiedinlightofthereality,andthoseshallbereducedshallbereduced,andthoseneedtobeincreasedshallbeincreasedwithinthelimitinstrictaccordancewithlegalprocedures.Thelimitsoffinessetbylocalgovernmentregulationsshallbeprescribedbythestandingcommitteesofthepeople'scongressesoftheprovinces,autonomousregionsandmunicipalitiesdirectlyundertheCentralGovernmentinaccordancewiththelaw.5. Strengtheningregularassessmentandreviewoflegality.TheministriesandcommissionsoftheStateCouncil,thepeople'sgovernmentsofprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernmentandtheirrelevantdepartmentsshalldiligentlyimplementthesystemofregularevaluationofadministrativepenalty,andorganizeanevaluationbyclassicationandinbatcheseveryfiveyearsinconsiderationofthelegislativeplans.Foradministrativepenaltyregulationsthatarefounduponevaluationtobeinconsistentwiththeprovisionsofsuperiorlaws,beunadaptabletotheneedsofeconomicandsocialdevelopment,beobviouslyinappropriatepunishment,belackofpertinenceandpracticality,andfallunderothercircumstances,theyshallmodifyorrepealtheregulationsontheirownorrecommendcompetentauthoritiestomodifyorrepealtheregulationsinaccordancewithlegislativepowersandprocedures.Theyshallstrengthenthereviewofthelegalityofadministrativenormativedocuments,andadministrativenormativedocumentsshallnotsetadministrativepenalties;andwhereadministrativepenaltiesareillegallyprovidedfor,therelevantprovisionsshallbeinvalidandshallnotbeusedasthebasisforadministrativepenalties.IV.FurtherregulatingIheimplementationofadministrativepenalty6. Comprehensivelyandcorrectlyperformingtheadministrativepenaltyfunctionsinaccordancewiththelaw.Administrativeorgansshallinsistonlawenforcementforthepeople,prevent,correctandpunishactsthatviolatetheadministrativeorderthroughadministrativepenalties,maintainpublicinterestsandsocialorder,andprotectthelawfulrightsandinterestsofcitizens,legalpersons,orotherorganizations,resolutelypulanendtoprofit-seekinglawenforcement,andstrictlyprohibitsettingoffineandconfiscationtarget,butshallnotimplementadministrativepenaltiesinviolationofthelaw,orimposepenaltiesforthesakeofpunishment.Thefinancialdepartmentshallstrengthenthesupendsionovertheimplementationofsuchsystemsasseparationoffinesandpaymentsandseparationofincomeandexpenditure,andcarryoutspecialsupervisionandinspectioninconjunctionwithjudicialadministrationandotherdepartmentsaccordingtotheprovisions.Actsofimposingadministrativepenaltyshallbecontinuouslyregulated,andlegalized,institutionalized,andregulatedinterimandexpostregulationshallbepromoted,toresolutelyavoidlawenforcementchaossuchascampaignstyleenforcement.四、进步规范行政处罚的实施（六）依法全面正确履行行政处罚职能。行政机关要坚持执法为民，通过行政处罚预防、纠正和惩戒违反行政管理秩序的行为，维护公共利益和社会秩序，保护公民、法人或者其他组织的合法权益，不得违法实施行政处罚，不得为了处罚而处罚，坚决杜绝逐利执法，严禁下达罚没指标。财政部门要加强对罚缴分离、收支两条线等制度实施情况的监督，会同司法行政等部门按规定开展专项监督检查。要持续规范行政处罚行为，推进事中事后监管法治化、制度化、规范化，坚决避免运动式执法等执法乱象。7. Specifyingjurisdiction,casefiling,hearing,enforcement,andotherproceduralsystems.Allregionsanddepartmentsshallstrictlycomplywiththestatutoryprocedures,developandrevisesupportingsystemsforadministrativepenaltyinlightofreality,andensurethattherelevantproceduralrequirementsoftheLawonAdministrativePenaltyareeffectivelyimplemented.Theprovisionsonterritorialjurisdictionandfunctionaljurisdictionshallbefurtherimproved,andIhejurisdictionaldisputeresolutionmechanismshallbeestablishedandimproved.Wheretwoormoreadministrativeorgansbelongtothesamecompetentdepartment,thereisadisputeoverthejurisdictionofadministrativepenaltyandnegotiationfails,thejurisdictionshallbedesignatedbythecommonsuperiorcompetentdepartment;andwheretwoormoreadministrativeorgansdonotbelongtothesamecompetentdepartment,thereisadisputeoverthejurisdictionofadministrativepenaltyandnegotiationfails,Ihejudicialadministrativedepartmentshallconductcoordinationinconjunctionwiththerelevantentities,andeffectivelydesignatejurisdictionundertheleadershipofthepeople'sgovernmentatthesamelevel.Thecasefilingsystemshallbeestablishedandimproved,andthestandardsforcasefilingshallbeimproved,Foranactinviolationoftheadministrativeorder,acaseshallbefiledinatimelymanneraccordingtotheprovisions,anditshallbeensuredthatthecaseiseffectivelyinvestigatedandhandledinatimelymanneraccordingtotherequirementsofthetimelimitforcasehandling.Whereitisreallynecessarytomakespecialprovisionsonthetimelimitforhandlingcasesthroughlegislation,itshallsatisfytherequirementsofbeingconducive（七）细化管辖、立案、听证、执行等程序制度。各地区、各部门要严格遵守法定程序，结合实际制定、修改行政处罚配套制度，确保行政处罚法的有关程序要求落到实处。要进一步完善地域管辖、职能管辖等规定，建立健全管辖争议解决机制。两个以上行政机关属于同一主管部门，发生行政处罚管辖争议、协商不成的，由共同的上一级主管部门指定管辖：两个以上行政机关属于不同主管部门，发生行政处罚管辖争议、协商不成的，司法行政部门要会同有关单位进行协调，在本级人民政府领导下做好指定管辖工作。要建立健全立案制度、完善立案标准，对违反行政管理秩序的行为，按规定及时立案并严格遵守办案时限要求，确保案件得到及时有效查处。确需通过立法对办案期限作出特别规定的，要符合有利于及时查清案件事实、尽快纠正违法行为、迅速恢复正常行政管理秩序的要求。要建立健全行政处罚听证程序规则，细化听证范围和流程，严格落实根据听证笔录作出行政处罚决定的规定。要逐步提高送达地址确认书的利用率，细化电子送达工作流程，大力推进通过电子支付系统缴纳罚款，加强信息安全保障和技术支撑。tofindingoutthefactscaseinatimelymanner,correcttheillegalactsassoonaspossible,andquicklyrestorethenormaladministrativeorder.Therulesonthehearingprocedureforadministrativepenaltyshallbeestablishedandimproved,thehearingscopeandprocessshallbespecified,andtheprovisionsonmakingadministrativepenaltydecisionsbasedonthehearingrecordsshallbestrictlyimplemented.TheutilizationrateoftheAddressConfirmationLetterforServiceofProcessshallbegraduallyincreased,theworkowforelectronicserviceofprocessshallbespecified,thepaymentoffinesthroughtheelectronicpaymentsystemshallbevigorouslypromoted,andinformationsecurityandtechnicalsupportshallbestrengthened.8. Regulatingthesettinganduseofelectronicmonitoringequipment.Whensettingupelectronicmonitoringequipment,administrativeorgansshallensurethattheequipmentmeetsthestandards,thesettingisreasonable,andthesignsareconspiucous.Itisstrictlyforbiddentoillegallyrequirethepartiestoassumeorsharethecostofsettingu