《中华人民共和国行政处罚法》法律解读之行政处罚的设定

行政处罚与社会公民的日常生活息息相关，小到诸如个人在公共场合抽烟的违法行为，大到上市公司的巨额罚单，甚至停产停业、吊销营业执照等关于企业生死的违法行为都涉及到行政处罚。

Administrative punishment is closely related to the daily life of social citizens, ranging from illegal acts such as personal smoking in public places, to huge fines for listed companies, and even suspension of production and business, revocation of business licenses and other illegal acts on the life and death of enterprises.

一、行政处罚的特征

行政处罚是指国家行政机关依法对违反行政管理法规的行为给予的制裁措施。行政处罚有以下几个特征：1、决定并实施处罚的机关是国家行政主管机关(还包括法律、法规授权和受委托的机关或组织)；2、行政处罚只适用于违反行政管理法律、法规和规章的行为；3、行政处罚的承受人可以是自然人，也可以是法人或非法人组织；4、行政处罚是一种严厉的行政行为，可以直接限制或剥夺违法行为人的人身权、财产权，因此对行政处罚要规定较为严格的限制条件。保障和监督行政机关有效实施行政管理与保护公民、法人或者其他组织的合法权益是《行政处罚法》的“两保障”。

二、 行政处罚的设定和实施

行政处罚的设定权是国家立法权中的一项重要内容，采取严格慎重的法定原则，即法无明文规定的，不处罚。行政处罚按其性质划分，大体可以分为四类：一是涉及人身权利的人身自由罚；二是吊销许可证或营业执照、责令停产停业等的行为罚；三是罚款、没收非法财产等财产罚；四是警告、通报批评等申诫罚。

处罚设定权可以概括为：法律可以设定各种类型的行政处罚权；行政法规可以设定除限制人身自由以外的各类行政处罚；地方性法规可以设定除限制人身自由、吊销企业营业执照以外的行政处罚。

实施处罚涉及两个问题，一是实施的主体：不是所有的行政机关都有行政处罚权，哪些行政机关有行政处罚权，由法律和行政法规规定。二是实施的行为：行政机关只能对自己主管业务范围内的违反行政管理秩序的行为给以行政处罚；行政机关有权给予什么种类的行政处罚，依法律、法规的规定。

1. Characteristics of administrative penalties

Administrative punishment refers to the sanctions imposed by the national administrative agency on violations of administrative regulations. Administrative punishment has the following characteristics: 1. The agency that decides and implements the punishment is the national administrative authority (also includes the authority and organization authorized by laws and regulations and entrusted agencies); 2. The administrative punishment only applies to violations of administrative laws and regulations And regulations; 3. The recipient of the administrative punishment can be a natural person, a legal person or an unincorporated organization; 4. The administrative punishment is a severe administrative act that can directly restrict or deprive the person who violates the law of personal and property rights. Therefore, stricter restrictions should be imposed on administrative penalties. Ensuring and supervising the effective implementation of administrative management by administrative organs and protecting the legitimate rights and interests of citizens, legal persons or other organizations are the “two guarantees” of the Administrative Penalty Law.

Second, the establishment and implementation of administrative penalties

The power to set administrative punishment is an important part of the national legislative power. It adopts strict and prudent statutory principles, that is, no punishment will be provided if the law does not specify it. Administrative penalties can be divided into four categories according to their nature: first, personal liberty penalties involving personal rights; second, penalties for revoking licenses or business licenses, ordering suspension of production and business, and so on; and third, fines, confiscation of illegal property and other properties Penalties; Fourth, warnings, notices of criticism, etc.

The power to set punishment can be summarized as: laws can set various types of administrative punishment powers; administrative regulations can set various administrative punishments other than restricting personal freedom; local regulations can set other than restricting personal freedom, revoking business Administrative penalties other than licenses.

The implementation of punishment involves two issues. The first is the main body of the implementation: not all administrative agencies have the power of administrative punishment, and which administrative agencies have the power of administrative punishment are prescribed by laws and administrative regulations. The second is the act of implementation: the administrative organ can only impose administrative penalties on violations of the order of administrative management within the scope of its own business; the administrative organ has the right to give administrative penalties in accordance with the provisions of laws and regulations.

三、行政处罚的基本原则

（一）必须遵循行政处罚法定原则。

1、行政处罚的依据合法。只有法律、法规和规章这三种规范性文件可以设定行政处罚。

2、行政处罚的主体合法。有权行使行政处罚的主体有：法律、法规规定具有行政处罚权的行政机关；国务院或经国务院授权的省级人民政府可以决定行使有关行政机关的行政处罚权的行政机关；法律、法规授权的具有管理公共事务职能的组织；具备依法成立管理公共事务，具有熟悉有关法律、法规、规章和业务的工作人员，对违法行为需要进行技术检查或技术鉴定的，应当有条件进行相应的技术检查或者技术鉴定这三个条件的事业组织可以接受行政机关的委托实施行政处罚。

3、行政处罚的程序合法。即使事实清楚，但在处罚前没有告知违法人享有的权利，那么该处罚行为就是违法的。在进行行政处罚过程中保障相对人应享有的权利以及遵循法定的处罚程序，是行政机关必须遵守的一项准则。

（二）必须遵循公正、公开的原则。

设定和实施行政处罚必须以事实为依据，与违法行为的事实、性质、情节以及社会危害程度相当。违法行为的事实是否该罚；其性质如何，是否属于行政处罚的范畴；情节怎样，区别出是否有情节严重应该给予刑事处罚的行为，或情节轻微不够行政处罚的；社会危害程度怎样，是严重危害社会还是对社会无大危害。

（三）必须遵循坚持处罚与教育相结合的原则。

设定行政处罚，不仅仅是惩罚违法者，并通过惩罚防止其再次违法，而且是寓教育于惩罚之中，使违法者通过处罚受到教育，自觉遵守法律秩序，同时也教育他人维护法律，提高法制观念。

为了保障当事人的合法权益，法律规定了受到行政处罚者的各项权利，包括行政处罚行使之中和行政处罚之后，主要有：陈述和申辩权，这是当事人在行政处罚之中所享有的一项权利。申请行政复议或提起行政诉讼权，这是当事人在受到行政处罚之后所依法享有的一项权利。要求行政赔偿权，这是行政处罚之后已认定行政处罚是错误，而对当事人进行行政救济的一项措施。

3. Basic Principles of Administrative Penalty

(1) The legal principle of administrative punishment must be followed.

1. The basis for administrative punishment is legal. Only three types of normative documents, laws, regulations and rules, can set administrative penalties.

2. The subject of administrative punishment is legal. Subjects entitled to exercise administrative punishment include: administrative organs with administrative punishment powers stipulated by laws and regulations; the State Council or provincial-level people's governments authorized by the State Council may decide to exercise administrative punishment powers of relevant administrative organs; those authorized by laws and regulations Organizations with the function of managing public affairs; having staff established in accordance with the law to manage public affairs, with staff who are familiar with relevant laws, regulations, rules and businesses, and who need to conduct technical inspections or technical appraisals of illegal activities, shall carry out corresponding technical inspections or A business organization with these three conditions for technical appraisal may accept the entrustment of administrative agencies to impose administrative penalties.

3. The procedure of administrative punishment is legal. Even if the facts are clear, but the violators were not informed of their rights before the punishment, the punishment is illegal. In the process of administrative punishment, guaranteeing the rights of the counterpart and following the statutory punishment procedure is a criterion that the administrative organ must abide by.

(2) The principles of fairness and openness must be followed.

The establishment and implementation of administrative penalties must be based on facts, which are comparable to the facts, nature, circumstances and social harm of illegal acts. Whether the fact of the illegal act should be punished; what is its nature and whether it belongs to the category of administrative punishment; what is the case, distinguish whether there is an act that should be given a criminal punishment if the circumstances are serious, or if the circumstances are slightly insufficient for the administrative punishment; what is the degree of social harm, is it serious Endangering society is not harmful to society.

(3) The principle of combining punishment with education must be followed.

Setting administrative punishment not only punishes the offenders and prevents them from breaking the law again, but also contains education in the punishment, so that the offenders are educated through the punishment, consciously abide by the legal order, and also educate others to maintain the law and improve Legal concept.

In order to protect the lawful rights and interests of the parties, the law stipulates the rights of those subjected to administrative punishment, including the exercise of and after the administrative punishment, mainly including: the right of statement and defense, which is the party’s enjoyment Rights. Applying for administrative reconsideration or filing an administrative litigation right is a right that the parties enjoy according to law after being subjected to administrative punishment. Claiming the right to administrative compensation is a measure of administrative relief for the parties after the administrative penalty has been determined to be wrong.

董凯，中共党员，毕业于西北政法学院，法学学士。具有十二年行政执法单位工作经历。擅长行政纠纷、买卖合同纠纷、建设工程合同纠纷、劳务纠纷等。联系电话：13571017838。

Dong Kai, a member of the Communist Party of China, graduated from the Northwest University of Political Science and Law, bachelor of law. .With 12 years of work experience in an administrative law enforcement unit. Good at administrative disputes, sales contract disputes, construction contract disputes, labor disputes and so on. Contact number: 13571017838.