【中英文对照版】煤炭行政处罚办法(2023).docx

煤炭行政处罚办法(2023)MeasuresforCoal-RelatedAdministrativePunishments(2023)制定机关：国家发展和改革委员会(含原国家发展计划委员会、原国家计划委员会)发文字号：中华人民共和国国家发展和改革委员会令第9号公布日期：2023.12.27施行日期：2024.04.01效力位阶：部门规章法规类别：煤炭工业管理IssuingAuthority：NationalDevelopment&ReformCommission(incl.fbnerStateDevelopmentPlanningCommission)DocumentNumber：OrderNo.9oftheNationalDevelopmentandReformCommissionofthePeople'sRepublicofChinaDateIssued：12-27-2023EffectiveDate：04-01-20241.evelofAuthority：DepartmentalRulesAreaofLaw:CoalIndustryAdministrationOrderoftheNationalDevelopmentandReformCommissionofthePeople'sRepublicofChina(No.9)TheMeasuresforCoal-RelatedAdministrativePunishments,asdeliberatedandadoptedatthe7thexecutivemeetingoftheNationalDevelopmentandReformCommissiononDecember26,2023,areherebyissuedandshallcomeintoforceonApril1,2024.Chairman:ZhengShanjieDecember27,2023MeasuresforCoal-RelatedAdministrativePunishments中华人民共和国国家发展和改革委员会令（第9号）煤炭行政处罚办法已经2023年12月26日第7次委务会议审议通过，现予公布，自2024年4月1日起施行。主任：郑栅洁2023年12月27日煤炭行政处罚办法第一条为规范煤炭行政处罚的 实施，保障和监督煤炭管理部门有效 实施行政管理，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，根据中华人民共和国Article1Forthepurposesofregulatingtheimplementationofcoal-relatedadministrativepunishments,ensuringandsupervisingtheeffectiveimplementationofadministrationbycoaladministrativedepartments,safeguardingpublicinterestsandmaintainingsocialorder,andprotectingthelegitimate煤炭法和中华人民共和国行政处 罚法及其他有关法律、行政法规， 制定本办法。rightsandinterestsofcitizens,legalpersonsorotherorganizations,theseMeasuresaredevelopedinaccordancewiththeCoalIndustryLawofthePeople'sRepublicofChina,theAdministrativePunishmentLawofthePeople'sRepublicofChina,andotherrelevantlawsandadministrativeregulations.第二条公民、法人或者其他组 织违反煤炭法律、法规、规章规定， 应当给予行政处罚的，依照中华人 民共和国行政处罚法和本办法规定 的程序实施。Article2Whereacitizen,legalperson,oranyotherorganizationshallbegivenanadministrativepunishmentduetohisoritsviolationofanycoallaw,regulation,orrule,thepunishmentshallbeimposedinaccordancewiththeproceduresprescribedintheAdministrativePunishmentLawofthePeople'sRepublicofChinaandtheseMeasures.法律、行政法规、部门规章另有规定 的，从其规定。Ifitisotherwiseprovidedforbyanylaw,administrativeregulationordepartmentalrule,suchprovisionsshallprevail.第三条本办法所称煤炭法律、 法规、规章，包括：Article3Theucoallaws,regulationsandrulesasmentionedintheseMeasuresinclude:CoalIndustryLawofthePeople'sRepublicofChina;(一)中华人民共和国煤炭法;（二）国务院制定的煤炭行政法规;国务院煤炭管理部门制定的部(2) coaladministrativeregulationsdevelopedbytheStateCouncil;（） I 门规章;(3) departmentalrulesdevelopedbythecoaladministrativedepartmentoftheStateCouncil;（四）省、自治区、直辖市人民代表 大会及其常务委员会制定的有关煤炭 的地方性法规；(4) localregulationsrelatedtocoaldevelopedbythepeople'scongressesofprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernmentandtheirstandingcommittees;（五）省、自治区、直辖市人民政府 制定的煤炭地方政府规章；(5) localgovernmentregulationsoncoaldevelopedbythepeople'sgovernmentsofprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;and(6) coal-relatedprovisionsinotherlaws,regulationsand(六)其他法律、法规、规章中有关rules.煤炭的规定。第四条 煤炭行政处罚遵循公 正、公开的原则。Article4Theprinciplesofimpartialityandopennessshallbefollowedforcoal-relatedadministrativepunishments.第五条实施煤炭行政处罚，纠 正违法行为，应当坚持处罚与教育相 结合，服务与管理相结合，引导和教 育公民、法人或者其他组织自觉守 法。Article5Whencoal-relatedadministrativepunishmentsareimposedorillegalactsarecollected,thecombinationofpunishmentwitheducationandthecombinationofserviceswithmanagementshallbeinsistedon,andcitizens,legalpersonsorotherorganizationsshallbeguidedandeducatedinconsciouslyabidingbythelaw.第六条国务院煤炭管理部门、 县级以上地方人民政府煤炭管理部门 在法定职权范围内负责煤炭行政执法 工作，实施行政处罚，对煤炭行政执 法和行政处罚进行监督检查。Article6ThecoaladministrativedepartmentoftheStateCouncilandthecoaladministrativedepartmentsoflocalpeople'sgovernmentsatorabovethecountylevelshallberesponsibleforcoal-relatedadministrativelawenforcementwithinthescopeoftheirstatutoryfunctionsandpowers,imposingadministrativepunishments,andconductingsupervisoryinspectionsofcoal-relatedlawenforcementandadministrativepunishments.煤炭管理部门委托实施行政处罚的， 应当符合中华人民共和国行政处罚 法第二十条、第二十一条的规定。TheentrustedimpositionofadministrativepunishmentsbycoaladministrativedepartmentsshallcomplywithArticles20and21oftheAdministrativePunishmentLawofthePeople'sRepublicofChina.第七条煤炭行政处罚由违法违 规行为发生地的具有行政处罚权的县 级以上人民政府煤炭管理部门管辖。Article7Acoal-relatedadministrativepunishmentshallbeunderthejurisdictionofthecoal-relatedadministrativepunishmentofthepeople'sgovernmentatorabovethecountylevelwiththeadministrativepunishmentpowerattheplacewheretheviolationoflawsorregulationsoccurs.跨行政区域的违法违规案件行政处 罚，由其共同上一级人民政府煤炭管 理部门管辖。Theadministrativepunishmentsconcerningcasesinvolvingviolationsoflawsandregulationsacrossadministrativeregionsshallbeunderthejurisdictionofthecoaladministrativedepartmentsofthecommonpeople'sgovernmentsatthenexthigherlevel.跨省、自治区、直辖市行政区域，调 查对象为中央企业总部，以及在全国 或煤炭行业有重大影响的违法违规案 件行政处罚，由国务院煤炭管理部门 管辖。Theadministrativepunishmentsconcerningcasesinvolvingviolationsoflawsorregulationsacrossadministrativeregionsofprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment,withheadquartersofcentralenterprisesunderinvestigation,andwithmajorimpactsnationwideorinthecoalindustryshallbeunderthejurisdictionofthecoaladministrativedepartmentoftheStateCouncil.第八条 上级人民政府煤炭管理 部门认为确有必要的，经通知下级人 民政府煤炭管理部门和当事人，可以 对下级人民政府煤炭管理部门管辖的 案件直接管辖。Article8Ifthecoaladministrativedepartmentofthepeople'sgovernmentatahigherleveldeemsitnecessary,itmay,afternotifyingthecoaladministrativedepartmentofthepeople'sgovernmentatalowerlevelandtheparties,directlyexercisejurisdictionoverthecaseunderthejurisdictionofthecoaladministrativedepartmentofthepeople'sgovernmentatthelowerlevel.上级人民政府煤炭管理部门可以将其 管辖的案件交由下级人民政府煤炭管 理部门实施行政处罚。Thecoaladministrativedepartmentofthepeople,sgovernmentatthehigherlevelmaytransferthecaseunderitsjurisdictiontothecoaladministrativedepartmentofthecoaladministrativedepartmentofthepeople'sgovernmentatthelowerlevelfortheimpositionofadministrativepunishment.下级人民政府煤炭管理部门认为其管 辖的案件重大、疑难或者实施行政处 罚有困难的，可以报请上一级人民政 府煤炭管理部门指定管辖。Ifthecoaladministrativedepartmentofthepeople'sgovernmentatalowerlevelconsidersthatacaseunderitsjurisdictionismajorordifficultorithasdifficultyinimposingthepunishment,arequestshallbesubmittedtothecoaladministrativedepartmentofthepeople,sgovernmentatthenexthigherlevelfordesignationofjurisdiction.第九条两个以上同级人民政府 煤炭管理部门都有管辖权的，由最先 立案的煤炭管理部门管辖。Article 9 Wheretwoormorecoaladministrativedepartmentsofthepeople'sgovernmentsatthesamelevelhavejurisdiction,thecoaladministrativedepartmentthatfirstfilesthecaseshallhavejurisdiction.对管辖发生争议的，应当协商解决， 协商不成的，报请共同的上一级人民 政府煤炭管理部门指定管辖；也可以 直接由共同的上一级人民政府煤炭管 理部门指定管辖。Thedisputesoverjurisdictionshallberesolvedthroughnegotiation,andifnegotiationfails,thecommoncoaladministrativedepartmentofthepeople,sgovernmentatthenexthigherlevelshallberequestedtodesignatejurisdiction;orthecommoncoaladministrativedepartmentatthenexthigherlevelmayalsodirectlydesignatejurisdiction.第十条本办法适用的行政处罚 种类包括：Article 10 TheseMeasuresshallapplytothefollowingtypesofadministrativepunishments:（一）警告、通报批评;(1) Warningandcirculationofanoticeofcriticism.(2) Fineandconfiscationofillegalincome.(3) Orderedsuspensionofproductionorbusinessoperations.(4) Otheradministrativepunishmentsasprescribedbylawsandadministrativeregulations.Article 11 Fortwoormoreviolationsofcoallaws,regulationsorrules,administrativepunishmentsshallbedecidedseparatelybutbeexecutedconcurrently.Apartyshallnotbesubjecttotheadministrativepunishmentoffinesfortwoormoretimesduetothesameillegalact.Ifthepunishmentoffinesshallbeimposedfortheviolationofseverallawsandregulationsbythesameillegalact,thepunishmentshallbegivenaccordingtotheprovisionsonahigherfine.Article 12 Whenacoaladministrativedepartmentexecutesanadministrativepunishment,itshalldealwiththecircumstancesofimposingnopunishment,givingalighterormitigatedpunishmentandgivingaheavierpunishmentinaccordancewithrelevantlaws,regulations,andrules.Article 13 Coaladministrativedepartmentsshallacceptinaccordancewiththelawthecasesinvolvingviolationsofcoalregulationsdiscoveredinaccordancewiththelaworrequiredtobedealtwith.Ifacoaladministrativedepartmentfindsthatanyreportcaseacceptedshallnotbeinvestigatedandhandledbyit,itshallexplainittotheinformantinatimelymanner,andatthesametimetransferthereportletterorrecordstothedepartmentwiththepowertohandleit.（二）罚款、没收违法所得;（三）责令停产停业;（四）法律、行政法规规定的其他行政处罚。第十一条对有两个以上违反煤炭法律、法规、规章规定行为的，应当分别决定行政处罚，合并执行。对当事人的同一个违法行为，不得给予两次以上罚款的行政处罚。同一个违法行为违反多个法律规范应当给予罚款处罚的，按照罚款数额高的规定处罚。第十二条煤炭管理部门实施行政处罚时，不予处罚、从轻或者减轻处罚、从重处罚的情形，按照相关法律、法规、规章执行。第十三条煤炭管理部门对依法发现的或者要求处理的违反煤炭法规的案件，应当依法受理。煤炭管理部门发现受理的举报案件不属于本部门查处的，应当及时向举报人说明，同时将举报信函或者记录移送有权处理的部门。Article14Administrativepunishmentproceduresaredividedintosummaryprocedureandordinaryprocedure.第十四条行政处罚程序分为简易程序和普通程序。Whereanadministrativepunishmentdecisionismade对依法当场作出行政处罚决定的，应当适用简易程序；其他煤炭行政处 罚，应当依照中华人民共和国行政 处罚法的规定适用普通程序。onsiteinaccordancewiththelaw,thesummaryprocedureshallapply;andforothercoal-relatedadministrativepunishments,ordinaryprocedureshallapplyinaccordancewiththelawtheAdministrativePunishmentLawofthePeople'sRepublicofChina.笫十五条违反煤炭法律、法 规、规章规定事实确凿并有法定依 据，对公民处以二百元以下、对法人 或者其他组织处以三千元以下罚款或 者警告的行政处罚的，可以当场作出 行政处罚决定。法律、行政法规、部 门规章另有规定的，从其规定。Article15Wherethefactsofaviolationofanycoallaw,regulationorruleareconclusiveandthereisalegalbasis,andafineofnotmorethan200yuanistobeimposedonacitizenorafineofnotmorethan3,000yuanistobeimposedonalegalpersonoranyotherorganizationoranadministrativepunishmentofwarningistobegiven,anadministrativepunishmentdecisionmaybemadeonsite,exceptasotherwiseprovidedforbyanylaw,regulationorrule.对当场作出的行政处罚决定，应当依 照中华人民共和国行政处罚法第 五十二条、第五十三条的规定执行。AnadministrativepunishmentdecisionmadeonsiteshallbeimplementedinaccordancewithArticles52and53oftheAdministrativePunishmentLawofthePeople'sRepublicofChina.第十六条除本办法第十五条规 定的可以当场作出的行政处罚外，煤 炭管理部门发现应当给予行政处罚的 行为的，必须全面、客观、公正地调 查，收集有关证据；必要时，可以进 行检查。Article16ExceptfortheadministrativepunishmentsthatmaybeimposedonsiteasprescribedinArticle15oftheseMeasures,ifacoaladministrativedepartmentfindsthatanyadministrativepunishmentshallbeimposedforanyact,itshallconductaninvestigationinacomprehensive,objective,andimpartialmannerandcollecttherelevantevidence;andmayconductinspectionwhennecessary.符合立案标准的，煤炭管理部门应当 及时立案。Wherethestandardsforcase-filingaremet,thecoaladministrativedepartmentshallfilethecaseinatimelymanner.调查取证等执法过程应当依照中华 人民共和国行政处罚法等相关规定 执行。InvestigationandevidencecollectionandotherlawenforcementprocessesshallbegovernedbytheAdministrativePunishmentLawofthePeople'sRepublicofChinaandotherrelevantprovisions.第十七条 调查终结，执法人员 应当制作调查报告，应当包括被调查 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；Article 17 Afteraninvestigationiscompleted,lawenforcementofficersshallprepareaninvestigationreport,whichshallincludethebasicinformationonthepartiesunderinvestigation,factsandevidencethathavebeenverifiedthroughinvestigation,opinionsonthenatureofthesuspectedillegalact,handling自由裁量的理由等其他需要说明的事 项。recommendationsandtheirlegalbasis,andothermatters,andthereasonsfordiscretionandothermattersthatneedtobespecified.第十八条煤炭管理部门应当对 调查结果进行审查，根据不同情况， 分别作出如下决定：Article 18 Acoaladministrativedepartmentshallexaminetheinvestigationresultsandmakethefollowingdecisionsbasedondifferentcircumstances:（一）确有应受行政处罚的违法行为 的，根据情节轻重及具体情况，作出 行政处罚决定；(1) Iftheillegalactforwhichanadministrativepunishmentshallbegivenhasactuallybeencommitted,anadministrativepunishmentdecisionshallbemadeinlightoftheseriousnessofcircumstancesandspecificcircumstances.（二）违法行为轻微，依法可以不予 行政处罚的，不予行政处罚；(2) Iftheillegalactissominorthattheviolatormaybeexemptedfromadministrativepunishmentinaccordancewiththelaw,noadministrativepunishmentshallbegiven.（三）违法事实不能成立的，不予行 政处罚；(3) Ifthefactsoftheviolationoflawareunfounded,noadministrativepunishmentshallbegiven.（四）违法行为涉嫌犯罪的，移送司 法机关。(4) Iftheillegalactissuspectedofanycrime,thecaseshallbetransferredtothejudicialauthority.对情节复杂或者重大违法行为给予行 政处罚，煤炭管理部门负责人应当集 体讨论决定。Whereanadministrativepunishmentshallbegivenforacaseinvolvingcomplicatedcircumstancesoramajorillegalact,thepersoninchargeofthecoaladministrativedepartmentshallmakeadecisionuponcollectivediscussions.第十九条 煤炭管理部门在作出 行政处罚决定之前，应当告知当事人 拟作出的行政处罚内容及事实、理 由、依据，并告知当事人依法享有的 陈述、申辩、要求听证等权利。Article 19 Beforemakinganadministrativepunishmentdecision,acoaladministrativedepartmentshallinformthepartiesofthecontentoftheadministrativepunishmenttobegiven,andthefacts,reasons,andbasistherefor,andtheparties'lawfulrightstomakestatementsorargumentsandrequestahearing,amongothers.当事人进行陈述、申辩的，煤炭管理 部门应当充分听取当事人意见，对当 事人提出的事实、理由和证据，应当Whereapartymakesstatementsorarguments,thecoaladministrativedepartmentshallfullylistentotheopinionsofthepartyandreexaminethefacts,grounds,andevidencepresentedbytheparty;andthefacts,grounds,进行复核；当事人提出的事实、理由 或者证据成立的，应当予以采纳。orevidencepresentedbythepartyshallbeadoptediftheyaretenable.煤炭管理部门不得因当事人的陈述、 申辩而给予更重的处罚。Thecoaladministrativedepartmentshallnotimposeaheavierpunishmentonanypartyduetotheparty'sstatementsorarguments.第二十条煤炭管理部门拟作出 下列行政处罚决定，应当告知当事人 有要求听证的权利，当事人要求听证 的，煤炭管理部门应当组织听证：Article 20 Tomakeanyofthefollowingadministrativepunishmentdecisions,acoaladministrativedepartmentshallinformthepartiesoftherighttorequestahearing,andifapartyrequestsahearing,thecoaladministrativedepartmentshallorganizeahearing:（一）较大数额罚款;(1) Imposingarelativelylargeamountoffine.（二）没收较大数额违法所得;(2) Confiscatingarelativelylargeamountofillegalincome.（三）责令停产停业;(3) Orderingthesuspensionofproductionorbusinessoperations.（四）其他较重的行政处罚;(4) Otherrelativelysevereadministrativepunishments.（五）法律、法规、规章规定的其他 情形。(5) Othercircumstancesasprescribedbylaws,regulations,andrules.当事人不承担煤炭管理部门组织听证 的费用。Thepartyshallnotbeartheexpensesfortheorganizationofahearingbythecoaladministrativedepartment.前款所指的“较大数额”，地方人民 政府煤炭管理部门按省、自治区、直 辖市人大常委会或者人民政府或者其 授权部门规定的标准执行；国务院煤 炭管理部门按对公民人民币五千元以 上、对法人或者其他组织人民币五十 万元以上执行。Thetermualargeamount"asmentionedintheprecedingparagraphmeansthestandardprescribedbythepeople'scongressorthepeople'sgovernmentoftheprovince,autonomousregion,ormunicipalitydirectlyundertheCentralGovernmentorthedepartmentauthorizedbyitifthefineisimposedbythecoaladministrativedepartmentofthelocalpeople'sgovernment;andmeansafineof5,000yuanormoreimposedonacitizenorafineof500,000yuanormoreimposedonalegalpersonoranyotherorganizationifthefineisgivenbythecoaladministrativedepartmentoftheStateCouncil.Article21Underanyofthefollowingcircumstances,thepersoninchargeofacoaladministrativedepartmentshallconductalegalreviewbeforemakinganadministrativepunishmentdecision;andnodecisionshallbemadeifnolegalreviewhasbeenconductedorthedecisionfailstopassthereview:(1) Majorpublicinterestsareinvolved.(2) Itisdirectlyrelatedtothemajorrightsandinterestsofapartyorathirdpartyandhasundergonethehearingprocedure.(3) Thecircumstancesofthecasearedifficultandcomplicated,andthecaseinvolvesmultiplelegalrelationships.(4) Anyothercircumstancethatlegalreviewshallbeconductedasprescribedbylawsandregulations.Article22