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| Notice of the National Development and Reform Commission on Issuing the Provisions on File Management of Administrative Penalties for Price-related Violations | | 国家发展和改革委员会关于印发《价格行政处罚案卷管理规定》的通知 |
(No. 719 [2013] of the National Development and Reform Commission) | |
（发改价监〔2013〕719号） |
The development and reform commissions and the price bureaus of all provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning and capital cities at the sub-provincial level; the Development and Reform Commission and the Price Bureau of Xinjiang Production and Construction Corps; and Market Supervision Administration of Shenzhen Municipality: | |
各省、自治区、直辖市及计划单列市、副省级省会城市、新疆生产建设兵团发展改革委、物价局、深圳市市场监督管理局： |
To further regulate the registering, filing and utilization of the files on administrative penalties for price-related violations, we have amended the Provisions on the File Management of Price Supervision and Inspection into the Provisions on File Management of Administrative Penalties for Price-related Violations, which are hereby issued to you for your compliance and implementation. | |
为进一步规范价格行政处罚案卷的立卷、归档和利用，我们对原《价格监督检查案卷管理规定》进行了修改，现将修改后的《价格行政处罚案卷管理规定》印发给你们，请认真贯彻执行。 |
Annex: Provisions on File Management of Administrative Penalties for Price-related Violations | |
附件：《价格行政处罚案卷管理规定》 |
National Development and Reform Commission | |
国家发展改革委 |
April 10, 2013 | |
2013年4月10日 |
Annex: | |
附件 |
Provisions on File Management of Administrative Penalties for Price-related Violations | |
价格行政处罚案卷管理规定 |
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| Chapter I General Provisions | | 第一章 总 则 |
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| Article 1 To regulate the file management of administrative penalties for price-related violations (hereinafter referred to as “administrative penalty files”), these Provisions are formulated pursuant to the Archives Law of the People's Republic of China, the Regulation on the Archival Work of the Organs, the Provisions on the Filing Scope of Documents and Materials and the Retention Period of Administrative Documents of the Organs, and other relevant laws, administrative regulations and rules and in light of the actual situation of the administrative law enforcement work of price administrative departments. | | 第一条 为规范价格行政处罚案卷（以下简称行政处罚案卷）的管理，根据《中华人民共和国档案法》、《机关档案工作条例》、《机关文件材料归档范围和文书档案保管期限规定》等法律、行政法规和规章，结合价格主管部门行政执法工作实际，制定本规定。 |
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| Article 2 These Provisions apply to the registering, filing and utiling of administrative penalty files by price administrative departments. | | 第二条 价格主管部门行政处罚案卷的立卷、归档和利用，适用本规定。 |
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| Article 3 Administrative penalty files are important component parts of files of price administrative departments, and price administrative departments shall improve the relevant work systems and arrange necessary staff members and facilities or equipment to conduct well the management of administrative penalty files. | | 第三条 行政处罚案卷是价格主管部门档案的重要组成部分，价格主管部门应当健全工作制度，配备必要的工作人员和设施、设备，做好行政处罚案卷的管理工作。 |
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| Article 4 The price supervision and inspection bodies of price administrative departments shall be responsible for the registering, filing and utilization of administrative penalty files, while the file management bodies of price administrative departments shall be responsible for guiding the management of files. | | 第四条 价格主管部门的价格监督检查机构负责行政处罚案卷的立卷、归档和利用；价格主管部门的档案管理机构负责对案卷的管理进行业务指导。 |
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| Article 5 Price administrative departments shall establish administrative penalty files after examining (investigating) cases on which administrative penalty decisions or closing decisions have been made. | | 第五条 价格主管部门依法检查（调查），作出行政处罚决定或者销案决定的案件，应当建立行政处罚案卷。 |
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| Chapter II Registering | | 第二章 立 卷 |
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| Article 6 The inspection (investigation) team of a case shall determine a person responsible for registering files who shall finish registering the files and transfer them to the file management personnel of the price supervision and inspection body within 30 days after an administrative penalty case is concluded (closed). | | 第六条 承办案件的检查（调查）组应当确定立卷责任人，立卷责任人应当在行政处罚案件结案（销案）后三十日内完成立卷并移交价格监督检查机构案卷管理人员。 |
Other bodies and staff members of the price administrative department shall cooperate with the work of the person responsible for registering files , and may not destroy, conceal or take forcible possession of administrative documents that should be included in the files. | |
价格主管部门的其他机构和工作人员应当对立卷责任人的立 |
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卷工作予以配合，不得将其掌握的应当入卷的文书材料销毁、隐匿或者据为己有。 |
| Article 7 Administrative penalty files shall be composed of roll cover, inner file item list, documents included in the files and file note. | |
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| | 第七条 行政处罚案卷由案卷封皮、卷内目录、入卷文书材料以及卷内备考表组成。 |
| Article 8 Cases of administrative penalties imposed by the general procedure shall have two kinds of files (the principal file and the accessory file). | |
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Documents with legal force and legal significance as made by the price administrative departments in the course of enforcing administrative penalties shall be included in the principal file together with their attachments; while internal requests for instructions, reports, replies and case discussion records as formed in enforcing administrative penalties by the price administrative departments shall be included in the accessory file. | | 第八条 适用一般程序实施行政处罚的案件应当一案两卷（正卷、副卷）。 |
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价格主管部门在实施行政处罚过程中制作的有法律效力和法 |
| Article 9 In the principal file, documents shall be arranged in the following order: | |
律意义的文书及其所附材料应当归入正卷；价格主管部门在实施行政处罚过程中形成的内部请示、报告、批示、案件讨论记录等材料应当归入副卷。 |
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| 1. Administrative penalty decisions; | | 第九条 正卷应当按照下列顺序排列入卷文书材料： |
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| 2. Inspection (investigation) notices; | | （一）行政处罚决定书； |
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| 3. Transcripts of question, on-site (inspection or investigation) transcripts, inspection (investigation) registration forms, and other evidence materials collected in the inspection or investigation process in order of the time when documents are made and evidence is taken; if there is relatively more evidence that has been collected, a list of evidence may be used, and all evidence that has been collected can be included in the files as attachments to the list of evidence. See the attached for the format of the list of evidence; | | （二）检查（调查）通知书； |
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| 4. The following documents shall be arranged in order of the time when they are made or issued: on-site transcripts (enforcement of administrative coercive measures), decisions on advance registration and preservation of evidence and decisions on ordering of suspension of the relevant businesses. Special-purpose documents for price fixing cases shall be arranged in order of the time when they are made and issued: requests for inquiry about bank accounts, seizure (impoundment) decisions, decisions on removing seizure (impoundment), decisions on suspending investigation, decisions on resuming investigation, and decisions on terminating investigation; | | （三）按照文书制作和证据提取的先后顺序排列询问笔录、现场笔录（检查、调查）、检查（调查）登记表以及检查、调查过程中收集的其他证据材料。如果提取的证据较多，可以使用证据目录，并将所有证据作为证据目录的附件入卷。证据目录的格式详见附表； |
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| 5. Written advance notices on administrative penalty; | | （四）按照文书制发时间排列：现场笔录（实施行政强制措施）、证据先行登记保存决定书、责令暂停相关营业决定书。价格垄断案件的专用文书按照制发时间排列：查询银行账户函、查封（扣押）决定书、解除查封（扣押）决定书、中止调查决定书、恢复调查决定书、终止调查决定书等； |
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| 6. Statement or defense transcripts; | | （五）行政处罚事先告知书； |
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| 7. Written notices on administrative penalty hearings; | | （六）陈述、申辩笔录； |
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| 8. Transcripts of hearing; | | （七）行政处罚听证通知书； |
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| 9. Notices on ordering of refund; | | （八）听证笔录； |
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| 10. Notices on postponing the payment of fines or paying fines by installments; | | （九）责令退款通知书； |
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| 11. Letters of urging the fulfillment of administrative penalty decisions; and | | （十）延期 （分期）缴纳罚没款决定书； |
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| 12. Application forms for enforcement by people's courts. | | （十一）履行行政处罚催告书； |
Service receipts, property lists and other accessory documents shall be included in the files as attachments to their principal documents. | |
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| | （十二）申请人民法院强制执行书。 |
| Article 10 In the accessory file, internal requests for instructions, reports, replies and case discussion records shall be arranged in the order of time. | |
送达回证、财物清单等辅助文书应当作为其主文书的附件，随主文书一并入卷。 |
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| Article 11 Cases of administrative penalties imposed by the summary procedure and cases that have been closed do not have separate principal and accessory files. All administrative documents shall be included into one file in the following sequence: | | 第十条 副卷应当按照时间顺序排列内部请示、报告、批示、案件讨论记录等材料。 |
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| 1. On-site administrative penalty decisions or decisions on closing cases; and | | |
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| 2. Other administrative documents, arranged in the order of time. | | （一）当场行政处罚决定书或者销案的处理决定； |
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| Article 12 Generally, the administrative documents included in the files only have one copy. Where any administrative document included in the files has two or more attachments, such attachments shall be arranged by the time when they are collected or formed. | | （二）按照时间先后顺序排列其他文书材料。 |
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Article 13 After being systematically arranged, the administrative documents included in the files shall be numbered page by page. The page numbers of the administrative documents shall be Arabic numerals which shall be indicated on the top right corner of the front side and the top left corner of the back side. Blank back sides shall not be numbered.
．．．．．． | | 第十二条 卷内文书材料一般只保留一份。卷内文书附有多个附件的，其附件按照收集或者形成的时间先后顺序排列。
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