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浅议行政处罚中的罚款/刘显桂

作者:法律资料网 时间:2024-07-09 19:09:19  浏览:8205   来源:法律资料网
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浅议行政处罚中的罚款

湖南省永兴县工商局 刘显桂


罚款是最常见的、最广泛使用的行政处罚,是指行政机关或法律、法规授权的组织以及行政机委托的其他组织责令违法者承担一定的财产给付义务,要求违法者在一定期限内交纳一定数量货币的行政处罚。罚款所得来源一般是被处罚人的合法收入,但在实际情况下一般不认定罚款所得货币来源的合法性,因此,罚款不排除包含非法收入的可能。
一、罚款与其他概念的区别
1、罚款与没收违法所得的区别。罚款与没收违法所得都是行政处罚,都属于财产罚,但罚款一般针对被处罚人的合法收入,非法收入一般不作为罚款的收入,非法收入当然没收或者退还受害者,显然没收违法所得是针对被处罚人的非法收入。
2、罚款与罚金的区别。罚款是对未构成犯罪的违法行为的一种行政处罚,处罚行为主体是行政机关,申请法院强制执行罚款,也不改变罚款是行政行为的性质;罚金是对构成犯罪违法行为的刑事处罚,处罚行为主体是法院。
3、罚款与加处罚款的区别。罚款是对行政相对人拒不履行法律规定作为或不作为义务而采取的一种行政处罚手段,加处罚款是对拒不履行行政机关决定设定财产缴纳新的义务而 强制执行的措施,是一种执行罚,不属于行政处罚的范畴。
二、行政处罚中罚款的定位问题
《行政处罚法》规定了最常见的六种行政处罚,其表述顺序为:(一)警告;(二)罚款;(三)没收违法所得,没收非法财物;(四)责令停产停业;(五)暂扣或者吊销许可证、暂扣或者吊销执照。《行政处罚法》这一排列顺序大致是按处罚的轻重或者说按照行政处罚行为对行政相对人权益影响程度轻重排列的。在这一排列中,罚款的定位有待商榷(暂扣许可证或执照,在实际行政处罚中较少使用,宜作为行政强制措施规定和停产停业的辅助使用)。从法理而言,罚款是相对违法者合法收入的处罚,对既得合法财产产生影响,没收违法所得是收缴违法者不应得的违法收入,违法所得当然没收或者退还受害者,这是对违法者较基本的处罚,因此,就性质而言,罚款处罚比没收违法所得处罚要重;从涉及行政处罚的法律规定来看,有关罚则中,一般表述为先没收违法所得,可再并处罚款,同时《行政处罚法》对没收违法所得行政处罚的设立没有特别限制,而对罚款权的设定有特别的说明,这一角度也反映罚款行政处罚要比没收违法所得行政处罚要重。笔者之所以提出关于罚款在行政处罚种类中排列定位的见解,是为了更好地理解和推定法律。
三、关于罚款类比问题
1、关于不能重复使用行政处罚类比。《行政处罚法》规定:“对当事人的同一违法行为不得给予两次以上的罚款的行政处罚。”这里所指的行政处罚是罚款,如果狭义的理解局限于罚款,也就意味可以给予两次以上除罚款以外的其他行政处罚,如给予两次行政拘留,这显然是违背《行政处罚法》精神的。笔者理解,“不得给予两次以上的罚款的行政处罚”应当推定包括罚款和罚款以上的行政处罚,不包括罚款以下的行政处罚,罚款和罚款以上行政处罚都不得重复使用,这样的理解更为准确。按前述所述关于处罚轻重排列顺序,笔者认为对当事人同一违法行为处罚没收违法所得后,如果发现有新的违法所得,可再次实施没收违法所得的行政处罚。
2、关于申请听证适用范围类比。《行政处罚法》规定:“行政机关作出责令停产停业、吊销许可证或执照、较大额罚款等行政处罚决定之前,应当告知当事人有要求举行听证的权利。”申请听证是法律给予当事人保护自身权益的途径,从立法本意而言,申请听证适用范围主要是指对当事人权益影响较大的可能行政行为。在这一条款中明文列举了听证范围,但用了一个“等”字,由于汉语文字的复杂性,“等”字可能是“等外等”,也可能是“等内等”。《行政处罚法》在这里出现了一个含糊表述,因而在实际执行中就造成了理解上的分歧。如2005年3月23日和4月27日《法制日报》报道江苏省苏州市工商局没收一企业违法所得68万元,因未举行听证被法院一审判决予以撤消。法院审判的依据是最高人民法院关于没收较大金额财产应当适用听证程序的答复。最高人民法院的答复应作为下级法院办案依据,但不能作为行政机关的执法依据,但实际上对行政机关行政执法会产生影响。最高人民法院这一答复的准确性值得推敲。该案中争论的焦点表面上是《行政处罚法》中关于听证适用范围表述中的“等”是“等外等”还是“等内等”,其实不然,这涉及的是一个类比解释的问题。笔者认为,法律意义上的“等”一般是“等外等”,“等外等”的类比应该包括与明文列举范围相当或者甚于列举范围的情形,《行政处罚法》听证范围适用推定应考虑较大数额罚款和较大数额没收违法所得在处罚性质上孰重孰轻。如前面所述,较大数额罚款应重于较大数额没收非法所得,因此,尽管最高人民法院“答复”有其合理的一面,但超越了法律而进行类比解释。
3、关于行政处罚执行中罚款类比。人们通常所说的“罚款”,是概指罚没款,即包括罚款和没收违法所得款,法律表述应该是明确的,但个别情况也有含糊的。《行政处罚法》第六章中表述的罚款是隐含没收违法所得的,如“不得自行收缴罚款”、“当场收缴罚款”、“当事人有权拒绝缴罚款”、“收缴罚款的机构”等表述中都隐含有没收违法所得的意思,却没有表述清楚。又如该法规定当事人逾期不履行行政处罚决定的,到期不缴罚款的,可以按罚款的百分之三加处罚,可将查封、扣押的财物拍卖或者将冻结的存款划拨抵缴罚款。这里指的“罚款”也应该隐含没收违法所得,否则,是不合情理的。
在实际法律中,有时法律条文字面表述不可能完全反映立法本意的全部,有时行政机关、行政相对人、审判机关也存在对法律理解的差异,因而在执行中必然出现争议。作为行政机关应全面把握立法本意,准确理解法律和慎用法律类比,在适用法律时如出现争议,应尽可能地站在行政相对人利益的角度理解执行为妙。如前面所述苏州市工商局败诉案,笔者本意认为苏州市工商局在该案中未举行听证不存在在程序上的错误,但由于可能对法律的不同理解,为避免不必要的困扰,可尽可能地给足当事人的权利,在实施没收违法所得行政处罚中,要参照罚款适用听证程序的数额,放宽告知当事人可以申请听证的权利。


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全国人民代表大会常务委员会公告(1988年12月)

全国人民代表大会常务委员会


全国人民代表大会常务委员会公告(1988年12月)

第七届全国人民代表大会代表应为2978人,到全国人大常委会第四次会议时实有代表2964人,还缺14名代表尚待有关选举单位补选。现已由山东省补选出第七届全国人民代表大会代表2人。全国人民代表大会常务委员会同意代表资格审查委员会关于补选代表的代表资格的审查报告,确认补选的第七届全国人民代表大会代表王树芳、曹宝生的代表资格有效。特此公布。
此外,第七届全国人大常委会第四次会议以来,有4名代表逝世:福建省陈德润、王世锐,内蒙古自治区乌兰夫(蒙古族),广东省伍禅。
第七届全国人民代表大会现共有代表2962人,还缺16名代表尚待有关选举单位补选。
全国人民代表大会常务委员会
1988年12月29日




BILLS OF EXCHANGE ORDINANCE ——附加英文版

Hong Kong


BILLS OF EXCHANGE ORDINANCE
 (CHAPTER 19)
 ARRANGEMENT OF SECTIONS
  
  ion
  I    PRELIMINARY PROVISIONS
  hort title
  nterpretation
  II    BILLS OF EXCHANGE
  and Interpretation
  efinition of bill of exchange
  nland and foreign bills
  ffect where different parties to bill are the same person
  ddress to drawee
  ertainty required as to payee
  hat bills are negotiable
  um payable
  Bill payable on demand
  Bill payable at future time
  Omission of date in bill payable after date
  Ante-dating and post-dating
  Computation of time of payment
  Referee in case of need
  Optional stipulations by drawer or indorser
  Definition and requisites of acceptance
  Time for acceptance
  General and qualified acceptance
  Inchoate instruments
  Delivery
  city and authority of parties
  Capacity of parties
  Signature essential to liability
  Forged or unauthorized signature
  Procuration signature
  Person signing as agent or in representative capacity
  Corporate signatures
  ideration for bill
  Value and holder for value
  Accommodation party
  Holder in due course
  Presumption of value and good faith
  
  tiation of bill
  Negotiation of bill
  Requisites of valid indorsement
  Conditional indorsement
  Indorsement in blank and special indorsement
  Restrictive indorsement
  Negotiation of overdue or dishonoured bill
  Negotiation of bill to party already liable thereon
  Rights and powers of holder
  ral duties of the holder
  When presentment for acceptance is necessary
  Time for presenting bill payable after sight
  Rules as to presentment for acceptance, and excuses for non-
  entment
  Non-acceptance
  Dishonour by non-acceptance and its consequences
  Duties as to qualified acceptances
  Rules as to presentment for payment
  Excuses for delay or non-presentment for payment
  Dishonour by non-payment
  Notice of dishonour and effect of non-notice
  Rules as to notice of dishonour
  Excuses for non-notice and delay
  Noting or protest of bill
  Duties of holder as regards drawee or acceptor
  ilities of parties
  Funds in hands of drawee
  Liability of acceptor
  Liability of drawer or indorser
  Stranger signing bill liable as indorser
  Measure of damages against parties to dishonoured bill
  Transferor by delivery and transferee
  harge of bill
  Payment in due course
  Banker paying demand draft whereon indorsement is forged
  Acceptor the holder at maturity
  Express waiver
  Cancellation
  Alteration of bill
  ptance and payment for honour
  Acceptance for honour supra protest
  Liability of acceptor for honour
  Presentment to acceptor for honour
  Payment for honour supra protest Lost instrument
  Holder's right to duplicate of lost bill
  Action on lost bill
  in a set
  Rules as to bill in set
  lict of laws
  Rules where laws conflict
  
  III   CHEQUES ON A BANKER
  Definition of cheque
  Presentment of cheque for payment
  Revocation of banker's authority Crossed cheques
  Definition of general and special crossings
  Crossing by drawer or after issue
  Crossing a material part of cheque
  Duties of banker as to crossed cheque
  Protection to banker and drawer where cheque is crossed
  Effect of crossing on holder
  Drafts on bankers payable to order on demand sufficient authority
for
  ent without proof of indorsement
  Protection of bankers paying unindorsed or irregularly indorsed
  ues, etc.
  Rights of bankers collecting cheques not indorsed by
  ers
  Unindorsed cheques as evidence of payment
  Protection of bankers collecting payment of cheques, etc.
  Application of provisions of this part to instruments not being
bills
  xchange
  Saving
  IV    PROMISSORY NOTES
  Definition of promissory note
  Delivery necessary
  Joint and several notes
  Note payable on demand
  Presentment for payment
  Liability of maker
  Application of Part II to notes
  V    SUPPLEMENTARY
  Good faith
  Signature
  Computation of time
  When noting equivalent to protest
  Protest when notary not accessible
  Crossing of dividend warrant
  Saving
  dule. Form of protest, without notary
  odify the law relating to bills of exchange, cheques and
promissory
  s. [4 May 1885]
 PART I PRELIMINARY PROVISIONS
  
  ed 51 of 1911; 63 of 1911 Schedule)
  hort title
  Ordinance may be cited as the Bills of Exchange Ordinance.
  nded 5 of 1924 s. 6)
  1882 c. 61 s. 1U. K.]
  nterpretation
  his Ordinance, unless the context otherwise requires--
  eptance" means an acceptance completed by delivery or
notification;
  ion" means action or suit and includes counterclaim and set-off;
  ker" includes a body of persons, whether incorporated or 
not, who
  y on the business of banking;
  krupt" includes any person whose estate is vested in a 
trustee or
  gnee under the law relating to bankruptcy; (Amended 50 of 1911;
62 of
  Schedule)
  rer" means the person in possession of a bill or note
  h is payable to bearer;
  l" means bill of exchange, and "note"
  s promissory note;
  ivery" means transfer of possession, actual or
  tructive, from one person to another;
  eral holiday" has the same meaning as in the Holidays Ordinance 
(Cap.
  ; (Added 5 of 1912 s. 8)
  der" means the payee or indorsee of a bill or note who 
is in
  ession of it, or the bearer thereof;
  orsement" means an indorsement completed by delivery;
  ue" means the first delivery of a bill or note, complete in form,
to a
  on who takes it as a holder;
  son" includes a body of persons, whether incorporated or not;
  ue" means valuable consideration.
  nded 43 of 1912 Schedule)
  1882 c. 61 s. 2 U. K.]
 PART II BILLS OF EXCHANGE
  
  nded 51 of 1911; 63 of 1911 Schedule)
  and Interpretation
  efinition of bill of exchange
  A bill of exchange is an unconditional order in writing, addressed 
by
  person to another, signed by the person giving it, 
requiring the
  on to whom it is addressed to pay on demand or at a 
fixed or
  rminable future time a sum certain in money to, or to the order
of, a
  ified person or to bearer.
  An instrument which does not comply with these conditions, or 
which
  rs any act to be done in addition to the payment of money, is 
not a
  of exchange.
  An order to pay out of a particular fund is not
  nditional within the meaning of this section; but an unqualified
order
  ay, coupled with--
  an indication of a particular fund out of which the drawee 
is to
  burse himself or a particular account to be debited with the 
amount;
  
  a statement of the transaction which gives rise to the 
bill, is
  nditional.
  A bill is not invalid by reason--
  that it is not dated;
  that it does not specify the value given or that any value has 
been
  n therefor;
  that it does not specify the place where it is drawn
  he place where it is payable.
  1882 c. 61 s. 3 U. K.]
  nland and foreign bills
  An inland bill is a bill which is or on the face of it purports
to be-
  
  both drawn and payable within the Colony; or
  drawn within the Colony, upon some person resident therein.
  Any other bill is a foreign bill.
  Unless the contrary appears on the face of the bill, the holder 
may
  t it as an inland bill.
  1882 c. 61 s. 4 U. K.]
  ffect where different parties to bill are the same person
  A bill may be drawn payable to, or to the order of, the drawer;
or it
  be drawn payable to, or to the order of, the drawee.
  Where, in a bill, drawer and drawee are the same person, or where 
the
  ee is a fictitious person or a person not having capacity to
contract,
  holder may treat the instrument, at his option, either as a 
bill of
  ange or as a promissory note. [cf. 1882 c. 61 s. 5 U. K.]
  ddress to drawee
  The drawee must be named or otherwise indicated in a 
bill with
  onable certainty.
  A bill may be addressed to two or more drawees,
  her they are partners or not, but an order addressed to two drawees
in
  alternative, or to two or more drawees in succession, is not a
bill of
  ange.
  1882 c. 61 s. 6 U. K.]
  
  ertainty required as to payee
  Where a bill is not payable to bearer, the payee must be 
named or
  rwise indicated therein with reasonable certainty.
  A bill may be made payable to two or more payees jointly, or it
may be
  payable in the alternative to one of two or one or some of 
several
  es. A bill may also be made payable to the bolder of an office
for the
  being.
  Where the payee is a fictitious or non-existing person, the bill 
may
  reated as payable to bearer.
  1882 c. 61 s. 7 U. K.]
  hat bills are negotiable
  Where a bill contains words prohibiting transfer, or 
indicating an
  ntion that it should not be transferable, it is valid as between 
the
  ies thereto, but is not negotiable.
  A negotiable bill may be payable either to order or to bearer.
  A bill is payable to bearer which is expressed to be so payable,
or on
  h the only or last indorsement is an indorsement in blank.
  A bill is payable to order which is expressed to be so payable, 
or
  h is expressed to be payable to a particular person, and 
does not
  ain words prohibiting transfer or indicating an intention 
that it
  ld not be transferable.
  Where a bill, either originally or by
  rsement, is expressed to be payable to the order of a 
specified
  on, and not to him or his order, it is nevertheless payable to
him or
  order at his option.
  1882 c. 61 s. 8 U. K.]
  um payable
  The sum payable by a bill is a sum certain within the meaning of 
this
  nance, although it is required to be paid--
  with interest;
  by stated instalments;
  by stated instalments, with a provision that, upon default in 
payment
  ny instalment, the whole shall become due;
  according to an indicated rate of exchange or according to a rate 
of
  ange to be ascertained as directed by the bill.
  Where the sum payable is expressed in words and also in figures, 
and
  e is a discrepancy between the two, the sum denoted by the words 
is
  amount payable.
  Where a bill is expressed to be payable with
  rest, unless the instrument otherwise provides, interest runs
from the
  of the bill, and, if the bill is undated, from the issue thereof.
  1882 c. 61 s. 9 U. K.]
  Bill payable on demand
  A bill is payable on demand--
  which is expressed to be payable on demand, or at sight, 
or on
  entation; or
  in which no time for payment is expressed.
  Where a bill is accepted or indorsed when it is overdue, it shall, 
as
  rds the acceptor who so accepts or any indorser who so indorses
it, be
  ed a bill payable on demand.
  1882 c. 61 s. 10 U. K.]
  
  Bill payable at future time
  A bill is payable at a determinable future time within the meaning 
of
  Ordinance which is expressed to be payable--
  at a fixed period after date or sight;
  on or at a fixed period after the occurrence of a specified 
event
  h is certain to happen, though the time of happening may be
uncertain.
  An instrument expressed to be payable on a contingency is not a 
bill,
  the happening of the event does not cure the defect.
  1882 c. 61 s. 11 U. K.]
  Omission of date in bill payable after date
  e a bill expressed to be payable at a fixed period after 
date is
  ed undated, or where the acceptance of a bill payable at a 
fixed
  od after sight is undated, any holder may insert therein the true
date
  ssue or acceptance, and the bill shall be payable 
accordingly:
  ided that--
  where the holder in good faith and by mistake inserts a wrong 
date;
  
  n every case where a wrong date is inserted, if the bill
  equently comes into the hands of a holder in due course, the 
bill
  l not be avoided thereby, but shall operate and be payable as if 
the
  so inserted had been the true date. [cf. 1882 c. 61 s. 12 U. K.]
  Ante-dating and post-dating
  Where a bill or an acceptance or any indorsement on a bill is 
dated,
  date shall, unless the contrary is proved, be deemed to be the 
true
  of the drawing, acceptance, or indorsement, as the case may be.
  A bill is not invalid by reason only that it is ante-dated or 
post-
  d, or that it bears date on a Sunday or any other general holiday.
  nded 5 of 1912 s. 8) [cf. 1882 c. 61 s. 13 U. K.]
  Computation of time of payment
  e a bill is not payable on demand, the day on which it falls due 
is
  rmined as follows--
  the bill is due and payable in all cases on the last day of the 
time
  ayment as fixed by the bill or, if that is a general holiday, on 
the
  eeding business day; (Replaced 67 of 1972 s. 2) [cf. 1971 c. 80
s. 3
  U. K.]
  where a bill is payable at a fixed period after date, after sight, 
or
  r the happening of a specified event, the time of 
payment is
  rmined by excluding the day from which the time is to begin to
run and
  ncluding the day of payment;
  where a bill is payable at a fixed
  od after sight, the time begins to run form the date of the
acceptance
  he bill is accepted, and from the date of noting or protest if 
the
  is noted or protested for non-acceptance or for non-delivery;
  the
  "month" in a bill means calendar month.
  1882 c. 61 s. 14 U. K.]
  Referee in case of need
  drawer of a bill and any indorser may insert therein the name 
of a
  on to whom the holder may resort in case of need, that is to say, 
in
  the bill is dishonoured by non-acceptance or non-payment. Such
person
  alled the referee in case of need. It is in the option of the 
holder
  esort to the referee in case of need or not, as he may think fit.
  1882 c. 61 s. 15 U. K.]
  
  Optional stipulations by drawer or indorser
  drawer of a bill and any indorser may insert therein an 
express
  ulation--
  negativing or limiting his own liability to the holder;
  waiving, as regards himself, some or all of the holder's duties. 
[cf.
  c. 61 s. 16 U. K.]
  Definition and requisites of acceptance
  The acceptance of a bill is the signification by the drawee of 
his
  nt to the order of the drawer.
  An acceptance is invalid unless it complies with the 
following
  itions, namely--
  it must be written on the bill and be signed by
  drawee. The mere signature of the drawee, without additional
words, is
  icient;
  it must not express that the drawee will perform his promise by 
any
  r means than the payment of money.
  1882 c. 61 s. 17 U. K.]
  Time for acceptance
  A bill may be accepted--
  before it has been signed by the drawer, or while 
otherwise
  mplete;
  when it is overdue, or after it has been dishonoured by a
  ious refusal to accept or by non-payment.
  When a bill payable after sight is dishonoured by non-acceptance, 
and
  drawee subsequently accepts it, the holder, in the absence 
of any
  erent agreement, is entitled to have the bill accepted as of the 
date
  irst presentment of the drawee for acceptance.
  nded 51 of 1911; 63 of 1911 Schedule)
  1882 c. 61 s. 18 U. K.]
  General and qualified acceptance
  An acceptance is either (a) general; or (b) qualified.
  A general acceptance assents without qualification to the order
of the
  er. A qualified acceptance in express terms varies the effect of 
the
  as drawn.
  In particular, an acceptance is qualified which is--
  conditional, that is to say, which makes payment by the 
acceptor
  ndent on the fulfilment of a condition therein stated,
  partial, that is to say, an acceptance to pay part only of the 
amount
  which the bill is drawn;
  local, that is to say, an acceptance to pay only at a 
particular
  ified place; an acceptance to pay at a particular place is a 
general
  ptance, unless it expressly states that the bill is to be paid 
there
  and not elsewhere;
  qualified as to time;
  the acceptance of some one or more of the drawees, but not of all.
  1882 c. 61 s. 19 U. K.]
  
  Inchoate instruments
  Where a simple signature on a blank paper is delivered by the 
signer
  rder that it may be converted into a bill, it operates as a 
prima
  e authority to fill it up as a complete bill for any amount, using
the
  ature for that of the drawer, or the acceptor, or an indorser;
and, in
  manner, when a bill is wanting in any material particular, the
person
  ossession of it has a prima facie authority to fill up the omission
in
  way he thinks fit. (Amended 31 of 1981 s. 65)
  In order that any such instrument, when completed, may be 
enforceable
  nst any person who became a party thereto prior to its completion, 
it
  be filled up within a reasonable time and strictly in accordance
with
  authority given. Reasonable time for this purpose is a 
question of
  : Provided that if any such instrument after completion is 
negotiated
  holder in due course, it shall be valid and effectual 
for all
  oses in his hands, and he may enforce it as if it had been filled 
up
  in a reasonable time and strictly in accordance with the 
authority
  n. [cf. 1882 c. 61 s. 20 U. K.]
  Delivery

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