【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.Theamountoffinescreatedinrulesshallnotexceedtheamountoffinesprescribedbyanyotherlaworregulati