【中英文对照版】烟草专卖行政处罚程序规定(2023).docx

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1、烟草专卖行政处罚程序规定（2023年5月16日工业和信 息化部令第61号公布，自 2023年7月20日起施行。） 第一章总则第一条 为了规范烟草 专卖行政处罚的实施，保障和 监督烟草专卖局有效实施行 政管理，维护国家烟草专卖制 度，保护公民、法人或者其他 组织的合法权益，根据中华 人民共和国行政处罚法中 华人民共和国烟草专卖法中华人民共和国未成年人 保护法以及中华人民共和 国烟草专卖法实施条例等法 律、行政法规，制定本规定。第二条各级烟草专卖 局实施行政处罚，适用本规 定。第三条烟草专卖局实 施行政处罚，应当遵循下列原 则：烟草专卖行政处罚程序规定(2023)Provisions on the

2、 Administrative Penalty Procedures forTobacco Monopoly (2023)发布部门：工业和信息化部发文字号：工业和信息化部令第61号发布日期：2023-05-16生效日期：2023-07-20效力级别：部门规章类别：烟草专卖 行政处罚与行政复议Issuing Authority： Ministry of Industry & Information TechnologyDocument Number： Order No. 61 of the Ministry of Industry and Information TechnologyDate I

3、ssued ： 05-16-2023Effective Date： 07-20-2023Level of Authority： Departmental RulesArea of Law： Tobacco Monopoly Administrative Penalty and Administrative ReconsiderationProvisions on the Administrative Penalty Procedures for Tobacco Monopoly(Issued by Order No. 61 of the Ministry of Industry and Inf

4、ormation Technology on May 16, 2023, coming into force on July 20, 2023)Chapter I General ProvisionsArticle 1 These Provisions are developed in accordance with the Administrative Penalty Law of the Peoples Republic of China, the Tobacco Monopoly Law of the Peoples Republic of China, the Law of the P

5、eoples Republic of China on the Protection of Minors, the Regulation on the Implementation of the Tobacco Monopoly Law of the Peoples Republic of China, and other applicable laws and administrative regulations for the purposes of regulating the imposition of administrative penalties for tobacco mono

6、poly, guaranteeing and supervising the effective administration by tobacco monopoly administrations, maintaining the tobacco monopoly system of the state, and protecting the lawful rights and interests of citizens, legal persons, or other organizations.Article 2 These Provisions shall apply to the i

7、mposition of administrative penalties by tobacco monopoly administrations at all levels.Article 3 Tobacco monopoly administrations shall comply with the following principles when imposing administrative penalties:(3) Clues to the illegal activities of the party have been acquired, and the investigat

8、ion needs to be continued as the party is suspected of having violated the law.(4) Other cases over which the jurisdiction needs to be designated by the tobacco monopoly administration at a higher level.(5) Any other circumstance under which the case shall be filed for investigation and handling in

9、accordance with the law.Article 35 To file a case, the handling person shall enter a case filing report and attach the case handling materials, and submit them to the person in charge of the tobacco monopoly administration for review and approval. The date when a case is filed shall be the date of a

10、pproval by the person in charge of the tobacco monopoly administration.For ongoing illegal activities, the tobacco monopoly administration having the jurisdiction shall immediately investigate and handle the 川egal activities and supplement the case filing formalities in accordance with the law withi

11、n seven days after the investigation and handling.Article 36 Under any of the following circumstances, a tobacco monopoly administration shall not file a case or shall revoke a case if it has been filed:(1) The time limit for administrative penalties prescribed by law has elapsed.(2) It is not under

12、 the jurisdiction of the administration.(3) The facts of the violation of the law are untenable or the circumstances of the illegal act are minor and the imposition of an administrative penalty is not required in accordance with the law.(4) Any other circumstance under which the case shall not be fi

13、led as prescribed by any law or administrative regulation.（三）掌握了当事人违法活动 线索，且有违法嫌疑需要继续 进行调查的；（四）上级烟草专卖局指定管 辖的案件；（五）依法应当立案查处的其 他情形。第三十五条办理立案 的，应当由承办人填写立案报 告表并附办案相关材料，报本 烟草专卖局负责人审核批准。 烟草专卖局负责人批准的日 期为立案日期。对正在发生的违法活动，有管 辖权的烟草专卖局应当立即 查处，并在查处后7日内依法 补办立案手续。第三十六条 有下列情 形之一的，烟草专卖局应当不 予立案；已经立案的，应当予 以撤销：（一）违法行为超

14、过法律规定 的行政处罚时限的；（二）不属于本机关管辖的；（三）违法事实不成立或者违 法行为轻微依法可以不予行 政处罚的；（四）法律、行政法规规定不 予立案的其他情形。不予立案或者撤销立案的，应 当填写不予立案或者撤销立 案报告表，报本烟草专卖局负 责人批准。属于其他行政机关 管辖的案件，烟草专卖局应当 在7日内移送其他行政机关。If a case is not filed or a filed case is revoked, a report on not filing or revoking a filed case shall be entered and submitted to th

15、e person in charge of the tobacco monopoly administration for approval. If a case is under the jurisdiction of another administrative organ, the tobacco monopoly administration shall transfer it to that organ within seven days.第三十七条对于举报 或者其他机关移送的案件，烟 草专卖局决定不予立案的，应 当书面告知具名的举报人或 者移送机关。烟草专卖局应当将不予立案 的情况

16、立卷归档。第二节调查取证第三十八条执法人员 在调查或者进行检查时，应当 主动向当事人或者有关人员 出示执法证件。当事人或者有 关人员有权要求执法人员出 示执法证件。执法人员不出示 执法证件的，当事人或者有关 人员有权拒绝接受调查或者 检查。当事人或者有关人员应当如 实回答询问，并协助调查或者 检查，不得拒绝或者阻挠。询 问或者检查应当制作笔录。第三十九条执法人员 需要从有关单位查阅、复制与 违法活动有关的合同、发票、 账册、单据、记录、文件、业 务函电和其他材料的，应当出 示县级以上烟草专卖局出具 的协助函。执法人员应当收集、调取与案 件有关的原始凭证作为证据； 调取原始证据确有困难的，可 以

17、将原件复印、复制、摘抄、 拍照，并由原始证据持有人签 名或者以其他方式确认复印 件、复制件、摘抄件、照片与 原件相符。第四十条提取物证应 当当场清点，出具物品清单并 由执法人员、当事人签名或者 以其他方式确认。当事人拒绝 确认或者不在场的，应当有2 名以上见证人在场确认；见证 人不足2名或者拒绝确认的， 执法人员应当在物品清单上Article 37 Where a tobacco monopoly administration decides not to file a case reported by an informant or transferred by another organ,

18、 it shall notify the informant who has left his or her name or the other organ in writing.A tobacco monopoly administration shall archive the information on the refusal to file the case.Section 2 Investigation and Evidence CollectionArticle 38 When conducting an investigation or inspection, law enfo

19、rcement officers shall take the initiative to produce law enforcement credentials to the party or relevant personnel. The party or relevant personnel shall have the right to request law enforcement officers to produce law enforcement credentials. If law enforcement officers fail to produce their law

20、 enforcement credentials, the party or relevant personnel shall have the right to refuse to accept the investigation or inspection.The party or relevant personnel shall truthfully answer inquiries and assist in the investigation or inspection, and shall not refuse or obstruct the investigation or in

21、spection. Transcripts shall be made for the interview or inspection.Article 39 Where law enforcement officers need to consult or copy any contracts, invoices, account books, documents, records, files, business correspondence, or other materials related to the illegal activities under investigation,

22、they shall produce a letter to request assistance issued by a tobacco monopoly administration at or above the county level.Law enforcement officers shall collect and take the original vouchers relevant to a case as evidence; if it is indeed difficult to obtain the original evidence, they may photoco

23、py, reproduce, extract, or take photos of the originals, and the holder of the original evidence shall sign or otherwise confirm that the photocopies, duplicates, excerpts, or photographs are consistent with the originals.Article 40 Extracted physical evidence shall be inventoried on the spot, and a

24、 list of physical evidence shall be issued and signed or otherwise confirmed by law enforcement officers and the party. If the party refuses to confirm or is not present, two or more witnesses shall be present for confirmation. If there are fewer than two witnesses or the witnesses refuse to confirm

25、, the law enforcement officers shall indicate the situation on the list and affix their注明情况并签名。第四十一条执法人员 应当收集视听资料的原始载 体。收集原始载体有困难的， 可以收集复制件并注明制作 方法、制作时间、制作人等情 况。视听资料应当附相关话语 的文字记录。第四十二条执法人员 应当收集电子数据的原始载 体。收集电子数据原始载体有困 难的，可以提取电子数据。执 法人员提取电子数据应当制 作笔录，并附电子数据清单， 交电子数据持有人签名或者 以其他方式确认。依照前两款规定收集电子数 据证据有困难的，

26、可以采取打 印、拍照或者录像等方式固定 相关证据，并附情况说明，交 电子数据持有人签名或者以 其他方式确认。持有人拒绝确认或者不在场 的，应当有2名以上见证人在 场确认；见证人不足2名或者 拒绝确认的，执法人员应当注 明情况并签名。第四十三条执法人员 询问当事人、证人应当单独进 行，向其说明依法享有的权利 和提供伪证或者隐匿证据的 法律责任，并制作询问笔录。 询问笔录应当交被询问人核 对；被询问人阅读有困难的， 应当向其宣读。经核对无误 后，由被询问人在笔录上逐页 签名或者以其他方式确认。笔 录有差错、遗漏的，应当允许 被询问人更正或者补充，涂改 部分应当由被询问人签名或 者以其他方式确认；被

27、询问人 拒绝确认的，执法人员应当在signatures thereto.Article 41 Law enforcement officers shall collect the original carriers of audiovisual materials. If it is difficult to collect the original carriers, duplicates may be collected, and information such as the production methods and time, and the producer shall be i

28、ndicated. Audiovisual materials shall be accompanied by written records with relevant words.Article 42 Law enforcement officers shall collect the original carriers of electronic data.If it is difficult to collect the original carriers of electronic data, electronic data may be extracted. When extrac

29、ting electronic data, law enforcement officers shall prepare written records and attach a list of the electronic data, and turn it over to the holder of the electronic data for signature or confirmation by other methods.If it is difficult to collect the electronic data evidence in accordance with th

30、e preceding two paragraphs, the relevant evidence may be fixed by printing, taking photos, making video records, or other means, a statement of the situation shall be attached and be turned over to the holder of the electronic data for signature or confirmation by other methods.If the holder refuses

31、 to confirm or is not present, two or more witnesses shall be present for confirmation. If there are fewer than two witnesses or the witnesses refuse to confirm, law enforcement officers shall indicate the situation and affix their signatures thereto.Article 43 Law enforcement officers shall intervi

32、ew the party and the witnesses separately, explain their legal rights and the legal liability for providing false evidence or concealing evidence, and prepare interview transcripts.The interview transcripts shall be turned over to the interviewee for verification and be read to any person who has di

33、fficulty in reading. If no error is found upon verification, the interviewee shall sign each page of the transcripts or otherwise confirm the transcripts. If there is any error or omission in the interview transcripts, the interviewee shall be permitted to make corrections or supplements, the correc

34、tions or supplements shall be signed or otherwise confirmed by the interviewee; and if the interviewee refuses to confirm, law enforcement officers shall indicate thesituation and affix their signatures thereto.Article 44 Where it is necessary to appraise the veracity of tobacco monopoly products an

35、d other special matters, the tobacco monopoly administration shall entrust the tobacco quality testing institution designated by the market regulatory department of the State Council or the market regulatory department of the peoples government of the province, autonomous region, or municipality dir

36、ectly under the Central Government to conduct the appraisal, and issue a letter of entrusted appraisal stating the matters to be appraised and relevant materials.Article 45 When law enforcement officers conduct the inspection of the site where a suspected illegal act occurs, they shall produce on-si

37、te disposition transcripts and turn them over to the party for signature or confirmation by other methods. If any party refuses to confirm or is not present, two or more witnesses shall be present for confirmation. If there are fewer than two witnesses or the witnesses refuse to confirm, law enforce

38、ment officers shall indicate the situation on the on-site disposition transcripts and affix their signatures thereto. The personnel participating in the investigation shall not serve as witnesses.Article 46 Where evidence may be destroyed or lost or difficult to obtain at a later time, the evidence

39、related to a suspected illegal act may be legally registered and preserved in advance with the approval of the person in charge of the tobacco monopoly administration.To register and preserve evidence in advance, an advance registration and preservation notice shall be issued, signed, or otherwise c

40、onfirmed by law enforcement officers and the party, and then be turned over to the party and the tobacco monopoly administration respectively. If the party refuses to confirm or is not present, two or more witnesses shall be present for confirmation. If there are fewer than two witnesses or the witn

41、esses refuse to confirm, law enforcement officers shall indicate the situation on the advance registration and preservation notice and affix their signatures thereto.笔录上注明情况并签名。第四十四条需要对烟 草专卖品的真伪等专门事项 进行鉴定的，烟草专卖局应当 委托国务院市场监督管理部 门或者省、自治区、直辖市人 民政府市场监督管理部门指 定的烟草质量检测机构实施， 并出具载明委托鉴定事项及 相关材料的委托鉴定书。第四十五条对涉嫌

42、违 法行为发生的现场进行检查 时，执法人员应当制作现场笔 录并交当事人签名或者以其 他方式确认。当事人拒绝确认 或者不在场的，应当有2名以 上见证人在场确认；见证人不 足2名或者拒绝确认的，执法 人员应当在现场笔录上注明 情况并签名。参与调查的人员 不得作为见证人。第四十六条在证据可 能灭失或者以后难以取得的 情况下，经本烟草专卖局负责 人批准，可以依法对与涉嫌违 法行为有关的证据进行先行 登记保存。烟草专卖局先行登记保存证 据，应当出具先行登记保存通 知书，由执法人员、当事人签 名或者以其他方式确认后，分 别交当事人和本烟草专卖局。 当事人拒绝确认或者不在场 的，应当有2名以上见证人在 场确

43、认；见证人不足2名或者 拒绝确认的，执法人员应当在 先行登记保存通知书上注明 情况并签名。先行登记保存期间，任何人不 得销毁或者转移先行登记保 存的证据。During the period when evidence is registered and preserved in advance, no one may destroy or transfer such evidence.第四十七条对于依法 先行登记保存的证据，应当根 据情况在7日内采取下列措 施：（-）及时采取复制、拍照、 录像等证据保全措施；（二）需要鉴定的，及时送交 有关机构鉴定并告知当事人 所需时间；（三）依法应当移送其他

44、有关 部门处理的，作出移送决定并 书面告知当事人；（四）违法事实不成立，或者 依法可以不予行政处罚的，决 定解除先行登记保存措施并 告知当事人。第四十八条执法人员 在调查过程中发现立案事由 以外的涉嫌违法行为的，应当 及时报请本烟草专卖局负责 人决定是否对该涉嫌违法行 为一并进行调查。第四十九条调查终结 的，执法人员应当提交案件处 理审批表。案件处理审批表包 括当事人的基本情况、经调查 核实的事实和证据、对涉嫌违 法行为的定性意见、处理建议 及其法律依据等内容。第三节审查和决定第五十条烟草专卖局 的专卖执法机构在将案件处 理审批表报送本局负责人审 查决定前，应当先由本局法制 工作机构或者专职法

45、制工作 人员对涉嫌违法行为的定性 意见、处理建议及其法律依据 进行法制审核并签署意见。未 经法制审核或者审核未通过 的，不得作出决定。Article 47 For evidence legally registered and preserved in advance, the following measures shall be taken within seven days according to the actual circumstances:(1) Taking evidence preservation measures such as copying, photographi

46、ng, and making video recordings in a timely manner.(2) Promptly submitting the evidence to the relevant institution for identification or authentication if necessary and informing the party of the time required for identification or authentication.(3) Making a transfer decision and informing the par

47、ty of the decision in writing if the evidence shall be transferred to any other relevant department for handling in accordance with the law.(4) Deciding to remove the advance registration and preservation measures and informing the party if the facts of the violation of the law are untenable or an a

48、dministrative penalty is not required in accordance with the law.Article 48 Where law enforcement officers, in the process of investigating a case, discover any suspected illegal act other than the cause of the case under investigation, they shall promptly report to the person in charge of the tobac

49、co monopoly administration to decide whether to investigate the suspected illegal act.Article 49 After the conclusion of the investigation, law enforcement officers shall submit a case handling approval form. The case handling approval form shall include the basic information on the party, facts and evidence that have been verified through investigation, opinions o