| Guiding Opinions of the Ministry of Ecology and Environment on Further Regulating the Application of Discretionary Powers in Imposing Environmental Administrative Penalties | | 生态环境部关于进一步规范适用环境行政处罚自由裁量权的指导意见 |
| (No. 42 [2019] of the Ministry of Ecology and Environment) | | （环执法[2019]42号） |
| The departments (bureaus) of ecology and environment of all provinces, autonomous regions and municipalities directly under the Central Government; and the Ecology and Environment Bureau of the Xinjiang Production and Construction Corps: | | 各省、自治区、直辖市生态环境厅（局），新疆生产建设兵团生态环境局： |
| For purposes of thoroughly studying and implementing Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era and the spirit of the 19th CPC National Congress, further improving the capability and level of administration according to the law by departments of ecology and environment, guiding the departments of ecology and environment in further regulating the application and supervision of discretionary powers in imposing ecology and environment administrative penalties, and effectively preventing law enforcement risks, these Opinions are developed in accordance with the Decision of the CPC Central Committee on Several Major Issues Concerning Comprehensively Deepening the Reform, the Decision of the CPC Central Committee on Major Issues Concerning Comprehensively Promoting the Rule of Law, the Implementation Outline for the Building of a Government Ruled by Law (2015-2020), the Notice by the General Office of the State Council of Focusing on Enterprises' Concerns and Further Promoting the Implementation of Business Environment Optimization Policies, the Measures for Environmental Administrative Penalties and other provisions. | | 为深入学习贯彻习近平新时代中国特色社会主义思想和党的十九大精神，进一步提高生态环境部门依法行政的能力和水平，指导生态环境部门进一步规范生态环境行政处罚自由裁量权的适用和监督，有效防范执法风险，根据《中共中央关于全面深化改革若干重大问题的决定》《中共中央关于全面推进依法治国若干重大问题的决定》《法治政府建设实施纲要（2015-2020年）》《国务院办公厅关于聚焦企业关切进一步推动优化营商环境政策落实的通知》《环境行政处罚办法》等规定，制定本意见。 |
| I. Principles and rules for applying discretionary powers in imposing administrative penalties | | 一、适用行政处罚自由裁量权的原则和制度 |
| (1) Basic principles. | | （一）基本原则。 |
| (a) Principle of legality. Departments of ecology and environment shall exercise discretionary powers in imposing administrative penalties within the scope of discretionary conditions, types, scopes and ranges determined by laws, regulations and rules. | | 1.合法原则。生态环境部门应当在法律、法规、规章确定的裁量条件、种类、范围、幅度内行使行政处罚自由裁量权。 |
| (b) Principle of reasonability. The exercise of discretionary powers in imposing administrative penalties shall comply with legislation purposes, fully consider and comprehensively measure the relevant factors such as economic and social development of local regions, information on law enforcement objects, and harmful consequences, and the measures and means adopted shall be necessary and appropriate. | | 2.合理原则。行使行政处罚自由裁量权，应当符合立法目的，充分考虑、全面衡量地区经济社会发展状况、执法对象情况、危害后果等相关因素，所采取的措施和手段应当必要、适当。 |
| (c) Principle that penalties should be commensurate with the violations. The exercise of discretionary powers in imposing administrative penalties shall base on facts, and the penalty types and ranges shall be commensurate with the extents of illegal faults of the parties, and with the natures, circumstances, and the degrees of social harm of violations of environmental laws. | | 3.过罚相当原则。行使行政处罚自由裁量权，必须以事实为依据，处罚种类和幅度应当与当事人违法过错程度相适应，与环境违法行为的性质、情节以及社会危害程度相当。 |
| (d) Principle of openness, fairness and impartiality. Whoever exercises the discretionary power in imposing administrative penalties shall release to the public the discretionary standards, and inform the parties of the facts of and the reasons and basis for the discretion, and other contents; and shall equally treat administrative counterparts, equally and impartially impose penalties, and handle the circumstances with the same facts, nature, circumstances, and consequences in the same manner. | | 4.公开公平公正原则。行使行政处罚自由裁量权，应当向社会公开裁量标准，向当事人告知裁量所基于的事实、理由、依据等内容；应当平等对待行政管理相对人，公平、公正实施处罚，对事实、性质、情节、后果相同的情况应当给予相同的处理。 |
| (2) Improving and regulating the supporting system. | | （二）健全规范配套制度。 |
| (a) Investigation and punishment separation system. The functions of investigation, review, decision, and enforcement of ecological and environmental law enforcement shall be relatively separated, so that law enforcement powers are exercised by stages and law enforcement personnel supervise each other, and a mutually coordinated and mutually restrictive power operation mechanism shall be established. | | 1.查处分离制度。将生态环境执法的调查、审核、决定、执行等职能进行相对分离，使执法权力分段行使，执法人员相互监督，建立既相互协调、又相互制约的权力运行机制。 |
| (b) Law enforcement disqualification system. Where law enforcement personnel are of direct interest to matters they manage or the parties, which may affect their fair and impartial handling, they may not participate in the investigation and handling of relevant cases. | | 2.执法回避制度。执法人员与其所管理事项或者当事人有直接利害关系、可能影响公平公正处理的，不得参与相关案件的调查和处理。 |
| (c) Law enforcement publication system. Ex ante and ex post public disclosure shall be intensified, and the information on environmental protection laws and regulations and administrative law enforcement decisions, among others, shall be released to the general public voluntarily. The interim publication shall be regulated, and law enforcement personnel shall proactively show their identities in the process of law enforcement, and accept social supervision. | | 3.执法公示制度。强化事前、事后公开，向社会主动公开环境保护法律法规、行政执法决定等信息。规范事中公示，行政执法人员在执法过程要主动表明身份，接受社会监督。 |
| (d) Whole-process recording system for law enforcement. The case docketing, investigation, review, decision, enforcement procedures and enforcement time, location, objects, facts, and results, among others, shall be recorded in detail, and be archived and preserved in a comprehensive and systematical manner, so as to achieve the whole-process tracing and traceability administration. | | 4.执法全过程记录制度。对立案、调查、审查、决定、执行程序以及执法时间、地点、对象、事实、结果等做出详细记录，并全面系统归档保存，实现全过程留痕和可回溯管理。 |
| (e) The legal review system for major law enforcement decisions. For cases that involve major public interests, might have significant social impacts or trigger social risks, and are directly related to the administrative counterparts or third parties' major rights and interests, in which administrative law enforcement decisions are made through hearing procedures, and which are difficult and complicated to be handled for multiple legal relations are involved, special institutions and personnel shall be established to conduct strict legal review. | | 5.重大执法决定法制审核制度。对涉及重大公共利益，可能造成重大社会影响或引发社会风险，直接关系行政相对人或第三人重大权益，经过听证程序作出行政执法决定，以及案件情况疑难复杂、涉及多个法律关系的案件，设立专门机构和人员进行严格法制审核。 |
| (f) Case file review system. The departments of ecology and environment at higher levels may, in consideration of actual work circumstances, organize the review of administrative law enforcement case files of the departments of ecology and environment at lower levels, and take the quality of case files as an important basis for measuring the law enforcement level. | | 6.案卷评查制度。上级生态环境部门可以结合工作实际，组织对下级生态环境部门的行政执法案卷评查，将案卷质量高低作为衡量执法水平的重要依据。 |
| (g) Law enforcement statistics system. Comprehensive, timely and accurate statistics shall be conducted on the administrative enforcement decisions made by the institutions themselves; law enforcement statistics information shall be analyzed carefully; information analysis and processing shall be strengthened; and attention shall be paid to the application of analysis results. | | 7.执法统计制度。对本机构作出行政执法决定的情况进行全面、及时、准确的统计，认真分析执法统计信息，加强对信息的分析处理，注重分析成果的应用。 |
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