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有温度的执法 | 中英文版《市场轻微违法违规经营行为免罚清单》
有温度的执法 | 中英文版《市场轻微违法违规经营行为免罚清单》
3月18日，上海市司法局、市市场监督管理局、市应急管理局召开新闻发布会，介绍近期三部门联合出台的《市场轻微违法违规经营行为免罚清单》（以下简称《免罚清单》）有关情况。
On March 18, Shanghai Bureau of Justice, Shanghai Market Supervision Administration, and Shanghai Administration of Work Safety held a press conference to introduce the List of Impunity for Minor Violations and Irregularities in the Market (hereinafter referred to as the "List of Impunity") which is recently issued jointly by the aforementioned three departments.
根据《免罚清单》规定，市场主体发生符合规定情形的34项轻微违法违规经营行为将免予行政处罚，涉及市场监管（工商、质量技监、食品安全）、消防等多个行政执法领域。其中，市市场监督管理局共28项，涵盖工商、质量、食品安全等领域；市应急管理局共6项，集中在消防领域。根据不予处罚的依据不同，又可分为两类：
According to the List of Impunity, 34 items of minor violations and irregularities committed by business operators will be exempted from administrative penalties, which involving market supervision (industry and commerce, supervision of quality and technology, food safety), fire protection and other areas of administrative law enforcement. Among them, Shanghai Market Supervision Administration issued 28 items, covering industry and commerce, quality, food safety and other fields; Shanghai Administration of Work Safety issued 6 items, concentrated in the field of fire protection. According to the different basis of impunity, these items can be divided into two categories:
第一类是根据行政处罚法第二十七条第二款的规定，即由于违法行为轻微并及时纠正，没有造成危害后果，而不予行政处罚的事项，共计有26项。如，违反《中华人民共和国广告法》第十二条，广告中涉及专利产品或者专利方法，未标明专利号和专利种类，但具备合法有效专利证明，而且及时纠正，没有造成危害后果的行为。又如，违反《中华人民共和国消防法》第二十八条，占用、堵塞、封闭疏散通道、安全出口不超过2处，能当场恢复原状，且没有造成危害后果的行为。
The first category is divided according to Article 27.2 of the Law of the People's Republic of China on Administrative Penalties, where a person commits a minor violation, and promptly rectifies it and the same has not caused harmful consequences, no administrative penalty shall be imposed. This category includes 26 items in total. For example, the violation of Article 12 of the Advertising Law of the People's Republic of China, where the advertisement involves patented products or patented processes without indicating the patent number and patent category, but the advertiser holds lawful and valid patent certificates, and the violation was promptly rectified and not harmful consequence occurred; and the violation of Article 28 of the Fire Protection Law of the People's Republic of China, where no more than two evacuation passageways or safety exits are occupied, blocked, or closed off, but can be immediately restored to the original state and has not caused harmful consequences.
第二类是根据专门领域的法律法规规章的有关规定，共8项。如，违反《公司登记管理条例》第二十九条，公司未依法办理住所变更登记，责令限期登记后及时登记的行为。
The second category is divided according to relevant provisions of laws, regulations and rules in specialized fields. This category includes 8 items. For example, the violation of Article 29 of the Administrative Regulations of the People's Republic of China on Company Registration, where a company does not alter its registered address in accordance with laws but alters it in a timely manner after being ordered to do so within a prescribed time limit.
对于食品安全、消防等与人民群众生命、健康、财产安全密切相关的行为，《免罚清单》充分体现审慎原则，对涉及食品安全领域的4项免罚事项明确要求仅首次作出该违法行为、及时改正，而且未造成后果，方可不予处罚；涉及消防领域的所有免罚事项均要求情节轻微，当场整改或者当场恢复原状，而且没有造成危害后果，其中5项免罚规定明确要求不适用于人员密集场所和生产、储存、经营易燃易爆危险品的场所。
As to food safety, fire protection and other matters closely related to the life, health and property security, the List of Impunity fully reflects the principle of prudence. The four impunity items relating to food safety explicitly require that only violations committed for the first time and rectified in a timely manner without consequences can be immune from penalty. All impunity items involving fire protection are limited to minor circumstances which can be immediately rectified or restored to the original state, without harmful consequences. Five of the impunity items are explicitly restricted from being applied in the circumstances involving assembly occupancies or places where flammable and combustible hazardous materials are produced, stored or traded.
行政执法的目的，绝非"为罚而罚"，而是要达到预防违法的实际效果。为此，《免罚清单》规定，对于不予行政处罚的，除责令改正外，执法部门还要及时开展教育工作，通过批评教育、指导约谈等措施，促进经营者依法合规开展经营活动。
The purpose of administrative law enforcement is not punishment but preventing violations. Thus, the List of Impunity stipulated that the administrative law enforcement departments shall adhere to the principle of combining punishment with education in handling the minor violations in business operation which are exempted from administrative penalty, so as to promote the business operators to conduct business activities in accordance with laws and regulations by criticizing, educating and guiding them.
下一步，《免罚清单》出台后，市市场监督管理局、市应急管理局将会抓紧落实，并在实践中归纳总结经验，市司法局将及时提供支持指导，三家共同推动，将来还可能根据情况适时推出2.0、3.0版清单。
Next, after the promulgation of the List of Impunity, Shanghai Market Supervision Administration, and Shanghai Administration of Work Safety will pay close attention to its implementation and conclude the experience in practice. Shanghai Bureau of Justice will support and guide in a timely manner, and the three departments may jointly develop the List of Impunity by formulating the version 2.0 and 3.0 of the List of Impunity in the future as appropriate.
市场轻微违法违规经营行为
免罚清单
List of Impunity for Minor Violations and Irregularities in the Market
为贯彻落实市委市政府《关于全面提升民营经济活力大力促进民营经济健康发展的若干意见》，建立市场轻微违法违规经营行为容错机制，进一步优化营商环境，促进民营经济健康发展，根据《中华人民共和国行政处罚法》等法律、法规、规章的相关规定，制定本清单。
In order to implement the Municipal Government's Opinions on Comprehensively Enhancing the Vitality of the Private Economy and Promoting the Healthy Development of the Private Economy, establish a fault-tolerant mechanism for minor violations and irregularities in the market, and further optimize the business environment, promote the healthy development of the private economy, this List is formulated in accordance with the relevant provisions of laws, regulations and rules such as the Law of the People's Republic of China on Administrative Penalties.
一、下列轻违法行为，及时纠正，没有造成危害后果的，不予行政处罚
The following minor violations shall not be subject to an administrative penalty if they are corrected in a timely manner without leading to any harmful consequence.
（一）
违反《药品广告审查发布标准》第七条第一款，发布药品广告未标明药品广告批准文号，但已取得批准文号的；
Violation of Article 7.1 of the Standards for Drug Advertisement Censorship and Publishing, where the approval number of the pharmaceutical advertisement is not indicated in the pharmaceutical advertisement but has been obtained.
（二）
违反《医疗器械广告审查发布标准》第六条第一款，发布医疗器械广告未标明医疗器械广告批准文号，但已取得批准文号的；
Violation of Article 6.1 of the Standards for Medical Device Advertisements Censorship and Publishing, where the approval number of the medical device advertisement is not indicated in the medical device advertisement but has been obtained.
（二）
违反《农药广告审查发布标准》第十一条，发布农药广告未将广告批准文号列为广告内容同时发布，但已取得批准文号的；
Violation of Article 11 of the Standards for Pesticide Advertisements Censorship and Publishing, where the approval number of the pesticide advertisement is not indicated in the pesticide advertisement but has been obtained;
（四）
违反《兽药广告审查发布标准》第十条，发布兽药广告未将广告批准文号列为广告内容同时发布，但已取得批准文号的；
Violation of Article 10 of the Standards for Veterinary Drug Advertisements Censorship and Publishing, where the approval number of the veterinary drug advertisement is not indicated in the pesticide advertisement but has been obtained.
（五）
违反《中华人民共和国广告法》第九条第（三）项，广告中使用"国家级"、"最高级"、"最佳"等用语，但广告是在广告主自有经营场所或者互联网自媒体发布，且属于首次被发现的；
Violation of Article 9.3 of the Advertising Law of the People's Republic of China, where words such as "state-level", "the highest-grade", "the best" or other similar words are used in the advertisement, but the advertisement is merely published at the advertiser's own business premise(s) or online We-media, and it is the first time to be found.
（六）
违反《中华人民共和国广告法》第十一条第二款，广告引证内容合法有据，但未在广告中表明出处的；
Violation of Article 11.2 of the Advertising Law of the People's Republic of China, the cited contents in the advertisement is lawful and well-grounded, but the source is not indicated in the advertisement.
（七）
违反《中华人民共和国广告法》第十二条，广告中涉及专利产品或者专利方法，未标明专利号和专利种类，但具备合法有效专利证明的；
Violation of Article 12 of the Advertising Law of the People's Republic of China, where the advertisement involves patented products or patented processes without indicating the patent number and patent category, but the advertiser has lawful and valid patent certificates.
（八）
违反《中华人民共和国广告法》第十四条，通过大众传播媒介发布的广告未标注"广告"字样，但能使消费者辨明为广告的；
Violation of Article 14 of the Advertising Law of the People's Republic of China, where the advertisement published via the mass media are not marked with the word "advertisement" but can enable the consumer to identify it as an advertisement.
（九）
违反《中华人民共和国广告法》第四十六条，发布医疗、药品、医疗器械、农药、兽药、保健食品广告，已过广告审批有效期但逾期未超过三个月，且属于首次被发现的；
Violation of Article 46 of the Advertising Law of the People's Republic of China, where the advertisements for healthcare, pharmaceutical, medical device, pesticide, veterinary drug or health food are published within three months after the expiration of the valid term of the advertisement approval, and it is the first time to be found.
（十）
违反《上海市消费者权益保护条例》第二十一条第三款，未设立服务标识，违法行为持续时间未超过一个月，且属于首次被发现的；
Violation of Article 21.3 of the Regulations of Shanghai on the Protection of Consumers' Rights and Interests, where the business operator does not display the service mark for a duration not exceeding one month, and it is the first time to be found.
（十一）
违反《上海市消费者权益保护条例》第二十一条第三款，设立服务标识不够显著的；
Violation of Article 21.3 of the Regulations of Shanghai on the Protection of Consumers' Rights and Interests, where the service mark is not prominent enough.
（十二）
违反《上海市消费者权益保护条例》第二十五条第一款，未按照规定出具购货凭证或者服务单据，且属于首次被发现的；
Violation of Article 25.1 of the Regulations of Shanghai on the Protection of Consumers' Rights and Interests, where the business operator doesn’t issue the proof of purchase or service receipt to consumers, and it is first time to be found.
（十三）
违反《上海市商品交易市场管理条例》第二十八条，场内经营者经营涉及人体健康、生命安全的商品以及重要的生产资料商品未建立购销台账或者索取供货方合格证明，违法行为持续时间未超过一个月，且未出现商品质量问题的；
Violation of Article 28 of the Administrative Regulations of Shanghai on Commodity Trading Markets, where the business operator trading commodities related to human health and life safety and the important production materials fails to establish the purchase and sales ledgers or obtain the qualification certificates from the suppliers, for which the duration of the violation does not exceed one month and no product quality problem appears.
（十四）
违反《上海市商品交易市场管理条例》第二十八条，场内经营者经营涉及人体健康、生命安全的商品以及重要的生产资料商品未建立购销台账或者索取供货方合格证明，经营所涉商品货值金额合计未超过一千元，且未出现商品质量问题的；
Violation of Article 28 of the Administrative Regulations of Shanghai on Commodity Trading Markets, where the business operator trading commodities related to human health and life safety and the important production materials fails to establish the purchase and sales ledgers or obtain the qualification certificates from the suppliers, and the total value of relevant commodities does not exceed RMB 1,000, and no product quality problem appears.
（十五）
违反《无证无照经营查处办法》第二条，经营者未依法取得营业执照从事经营活动，但立案调查前已提交申请营业执照材料并通过审核的；
Violation of Article 2 of the Measures for Investigating and Punishing Unlicensed Business Operations, where the business operator engages in the unlicensed business operation, but it has filed the application document for the Business License, which has been approved before initiating the investigation.
（十六）
违反《中华人民共和国食品安全法》第四十一条，生产的食品相关产品的标识缺少对相关法规及标准的符合性声明，或者声明内容不完整的；
Violation of Article 41 of the Food Safety Law of the People's Republic of China, where the food product labels do not include a statement of compliance of relevant regulations and standards, or, such statement is incomplete.
（十七）
违反《上海市食品安全条例》第三十一条第一款，食品生产经营者未按规定培训本单位相关从业人员，首次被发现，且未发生食品安全事故的；
Violation of Article 31.1 of the Food Safety Regulation of Shanghai, where the food producer or operator fails to train its relevant employees in accordance with regulations, which is found for the first time and no food safety accident has occurred.
（十八）
违反《上海市食品安全条例》第三十二条第二款，食品生产经营者未按规定执行食品生产经营场所卫生规范制度，首次被发现，且未发生食品安全事故的；
Violation of Article 32.2 of the Food Safety Regulation of Shanghai, where the food producer or operator fails to implement the hygiene criterion policies on the site for food production and marketing, which is found for the first time and no food safety accident has occurred.
（十九）
违反《上海市食品安全条例》第三十二条第二款，食品生产经营者从业人员未保持着装清洁，首次被发现，且未发生食品安全事故的；
Violation of Article 32.2 of the Food Safety Regulation of Shanghai, where the food producer’s or operator’s employee doesn’t keep the clothes clean, which is found for the first time and no food safety accident has occurred.
（二十）
违反《上海市集体用餐配送监督管理办法》第二十一条，集体用餐单位向无有效餐饮服务许可证、营业执照的生产经营单位订购膳食，首次被发现，且未发生食品安全事故的；
Violation of Article 21 of the Measures of Shanghai on the Supervision and Administration over the Delivery of Group Meal, where the entity purchases group meals from food producer and operator without a valid Catering Service License or Business License, which is found for the first time and no food safety accident has occurred.
（二十一）
违反《中华人民共和国消防法》第十六条第一款第（二）项的下列情形：
Violation of Article 16.1.2 of the Fire Protection Law of the People's Republic of China,
１．火灾自动报警系统探测器损坏或故障，每层不超过１个，能当场整改，且不影响系统功能的；
where the automatic fire alarm system detector is damaged or breaks down (no more than one damaged detector per floor), but can be rectified immediately and the function of the system is not interfered;
２．火灾自动报警系统探测器存在非正常屏蔽点位，且不影响系统功能的；
where the automatic fire alarm system detector has abnormal blocked spot, but the function of the system is not interfered;
３．自动喷水灭火系统喷头损坏，每层不超过１个，能当场整改，且不影响系统功能的；
where the sprayer of the automatic sprinkler system breaks down (no more than one damaged sprayer per floor), but can be rectified immediately and the function of the system is not interfered;
４．防排烟系统常闭式防排烟口故障，不超过１处；
where no more than one normally-closed smoke vent of a smoke prevention system breaks down;
５．应急照明和疏散指示标志故障，不超过２处，且不影响系统功能的；
where the emergency lights and evacuation indicators break down (no more than 2 breakdowns), but the function of the system is not interfered;
６．常闭式防火门处于开启状态或者闭门器损坏，不超过３处，且不影响系统功能的；
where the normally-closed fire doors are open, or the door closers break down (no more than 3 fire doors are open or door closers breakdowns), but the function of the system is not interfered;
７．室内消火栓箱内配件缺损，不超过１处，能当场整改，且不影响系统功能的；
where no more than one accessory of the indoor fire hydrant box is defective, but the function of the system is not interfered;
８．灭火器材损坏，每层不超过１个，且能当场整改的。
where the fire protection devices break down (no more than one breakdown per floor) and can be rectified immediately.
（二十二）
违反《中华人民共和国消防法》第二十八条，占用、堵塞、封闭疏散通道、安全出口不超过２处，且能当场恢复原状的；
Violation of Article 28 of the Fire Protection Law of the People's Republic of China, where no more than two evacuation passageways or safety exits are occupied, blocked, or closed off, but can be immediately restored to the original state.
（二十三）
违反《中华人民共和国消防法》第二十八条，遮挡消火栓不超过１处，且能当场恢复原状的；
Violation of Article 28 of the Fire Protection Law of the People's Republic of China, where no more than one fire hydrant is blocked, but can be immediately restored to the original state.
（二十四）
违反《中华人民共和国消防法》第二十八条，临时占用防火间距，且能当场恢复原状的；
Violation of Article 28 of the Fire Protection Law of the People's Republic of China, where the fire separation distance is temporarily occupied, but can be immediately restored to the original state.
（二十五）
违反《中华人民共和国消防法》第二十八条，占用、堵塞、封闭消防车通道，能当场恢复原状，且不影响应急状态使用的；
Violation of Article 28 of the Fire Protection Law of the People's Republic of China, where the passageway for fire engines is occupied, blocked or closed, but can be immediately restored to the original state and does not interfere the use for emergencies.
（二十六）
违反《中华人民共和国消防法》第二十八条，人员密集场所在门窗上设置影响逃生、灭火救援的栅栏、广告牌，且能当场恢复原状的；
Violation of Article 28 of the Fire Protection Law of the People's Republic of China, where the assembly occupancies are installed with fences or billboards on the doors or windows which will interfere the escape or fire protection and rescue but can be immediately restored to the original state.
第二十一至第二十五项不予行政处罚的情形，不适用于人员密集场所和生产、储存、经营易燃易爆危险品的场所。
Item 21 to Item 25 of the situations where no administrative penalty will be imposed shall not be applicable for assembly occupancies or places where flammable and combustible hazardous materials are produced, stored or traded.
二、符合下列情形的轻微违法行为，不予行政处罚
Minor violations with the following circumstances will not be subject to administrative penalty:
（二十七）
违反《上海市合同格式条款监督条例》第十一条第一款，提供方未将含有格式条款的合同文本报送备案，责令限期改正后及时改正的；
Violation of Article 11.1 of the Regulations of Shanghai on the Supervision of the Format Contract Provisions, where the provider of the contract containing format provisions doesn’t submit the contract for filing but rectifies in a timely manner after ordered to rectify within a time limit.
（二十八）
违反《上海市合同格式条款监督条例》第十一条第二款，提供方未将变更后的含有格式条款的合同文本报送备案，责令限期改正后及时改正的；
Violation of Article 11.2 of the Regulations of Shanghai on the Supervision of the Format Contract Provisions, where the provider of the contract containing format provisions doesn’t submit the modified contract for filing but rectifies in a timely manner after ordered to rectify within a prescribed time limit.
（二十九）
违反《中华人民共和国公司登记管理条例》第二十九条，公司未依法办理住所变更登记，责令限期登记后及时登记的；
Violation of Article 29 of the Administrative Regulations of the People's Republic of China on Company Registration, where a company doesn’t alter its registered address in accordance with laws, but registers in a timely manner after ordered to register within a prescribed time limit.
（三十）
违反《中华人民共和国公司登记管理条例》第三十二条，公司未依法办理经营范围变更登记，责令限期登记后及时登记的；
Violation of Article 29 of the Administrative Regulations of the People's Republic of China on Company Registration, where a company doesn’t alter its registered business scope in accordance with laws but alters it in a timely manner after ordered to do so within a prescribed time limit.
（三十一）
违反《认证机构管理办法》第十六条，认证机构增加、减少、遗漏程序要求，情节轻微且不影响认证结论的客观、真实或者认证有效性，责令限期改正后及时改正的；
Violation of Article 16 of the Administrative Measures for Certification Agencies, where the certification agency increases, decreases or omits the procedural requirements, but the circumstance is minor and don’t interfere the objectivity, authenticity or validity of the conclusion of the certification, and rectifies in a timely manner after ordered to do so within a prescribed time limit.
（三十二）
违反《中华人民共和国计量法》第九条第二款，属于非强制检定范围的计量器具未自行定期检定或者送其他计量检定机构定期检定，经发现后主动送检且检定合格的；
Violation of Article 9.2 of the Metrology Law of the People's Republic of China, where the entity doesn’t conduct a verification on a regular basis by itself or entrust other metrological verification agencies to conduct the verification on the measuring instruments which are not included in the scope of compulsory verification, but conducts the verification after the aforementioned behavior is found and the measuring instruments are verified as qualified.
（三十三）
违反《上海市单用途预付消费卡管理规定》第十条第二款，经营者未及时、准确、完整地传送商务领域单用途卡发行数量、预收资金以及预收资金余额等信息，责令限期改正后及时改正的；
Violation of Article 10.2 of the Administrative Provisions of Shanghai on Single-Purpose Prepaid Consumption Cards, where the business operator doesn’t report the information of the issuance amount of the single-purpose cards for commercial use, the amounts received in advance, and the balance of the advances in a timely, accurate and complete manner, but timely rectifies after ordered to do so within a prescribed time limit.
（三十四）
违反《上海市单用途预付消费卡管理规定》第十二条第二款，经营者未在每季度第一个月的25日前在协同监管服务平台上准确、完整地填报上一季度商务领域单用途卡预收资金支出情况等信息，责令限期改正后及时改正的。
Violation of Article 12.2 of the Administrative Provisions of Shanghai on Single-Purpose Prepaid Consumption Cards, where the business operator doesn’t fill in the accurate and complete information about the expenditures of the advances for the single-purpose cards for commercial use on the coordinated supervision and service platform by the 25th day of the first month of each quarter, but timely rectifies after ordered to do so within a prescribed time limit.
其他符合《中华人民共和国行政处罚法》等法律、法规、规章规定的不予行政处罚情形的市场轻微违法违规经营行为，不予行政处罚。对于适用不予行政处罚的市场轻微违法违规经营行为，行政执法部门应当坚持处罚与教育相结合的原则，通过批评教育、指导约谈等措施，促进经营者依法合规开展经营活动。
Other minor violations in business operation, falling within the administrative penalty exemption scope stipulated by the Law of the People's Republic of China on Administrative Penalties and other laws, regulations and rules, will not be imposed administrative penalties. The administrative law enforcement departments shall adhere to the principle of combining punishment with education in handling the minor violations in business operation which are exempted from administrative penalties, so as to promote the business operators to conduct business activities in accordance with laws and regulations by criticizing, educating and guiding them.
THE END
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