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Circular of the State Administration of Foreign Exchange on Distributing the Procedures of the State Administration of Foreign Exchange on Handling Cases of Acts Violating Foreign Exchange Rules
(Published on March 25, 2002 by the State Administration of Foreign Exchange; No. 33 [2002] of the SAFE)
The branches and foreign exchange administration departments of the State Administration of Foreign Exchange in all provinces, autonomous regions and municipalities directly under the Central Government, in Shenzhen, Dalian, Qingdao, Xiamen and Ningbo,
With a view to further standardizing the inspection of foreign exchanges, ensuring that the foreign exchange administrations exercise their functions lawfully, the State General Administration has revised the Procedures of the State Administration of Foreign Exchange on Inspecting and Handling Cases of Acts Violating Foreign Exchange Rules which has been published on April 8, 1997 according to the relevant provisions of the Law of the People's Republic of China on Administrative Punishment and the Regulation of the People's Republic of China on the Administration of Foreign Exchange, and is hereby distributed to you for implementation.
| | 国家外汇管理局关于下发《国家外汇管理局检查处理违反外汇管理行为办案程序》的通知
（2002年3月25日国家外汇管理局发布 汇发〔2002〕33号）
国家外汇管理局各省、自治区、直辖市分局、外汇管理部，深圳、大连、青岛、厦门、宁波市分局：
为进一步规范外汇检查工作，确保外汇局依法行使职权，根据《中华人民共和国行政处罚法》和《中华人民共和国外汇管理条例》的有关规定，总局对1997年4月8日发布的《国家外汇管理局检查处理违反外汇管理行为办案程序》进行了修改，现印发你分局，请遵照执行。
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Annex: Procedures of the State Administration of Foreign Exchange on Inspecting and Handling Cases of Acts Violating Foreign Exchange Rules
March 25, 2002
| | 附件：《国家外汇管理局检查处理违反外汇管理行为办案程序》
二ＯＯ二年三月二十五日
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Annex: Procedures of the State Administration of Foreign Exchange on Inspecting and Handling Cases of Acts Violating Foreign Exchange Rules
| | 附件： 国家外汇管理局检查处理违反外汇管理行为办案程序
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Chapter I General Provisions
| | 第一章 总则
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Article 1 The present Procedures have been formulated according to the relevant provisions of the Law of the People's Republic of China on Administrative Punishment and the Regulation of the People's Republic of China on the Administration of Foreign Exchange for the purpose of standardizing, formalizing and institutionalizing the inspection and handling of acts violating foreign exchange rules by the State Administration of Foreign Exchange and the branch organs thereof (hereafter referred to as foreign exchange administrations), ensuring the lawful exercising of functions by the foreign exchange administrations and protecting the lawful rights and interests of the parties concerned.
| | 第一条 为使国家外汇管理局及其分支机构（以下简称外汇局)检查处理违反外汇管理行为的工作规范化、程序化、制度化，确保外汇局依法行政，保护当事人合法权益，根据《中华人民共和国行政处罚法》和《中华人民共和国外汇管理条例》的有关规定，特制定本程序。
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Article 2 In the inspection and handling of acts violating foreign exchange rules, the authorities concerned shall follow the principles of impartiality, justice and openness, taking facts as the basis and law as the criteria, being practical, starting from the objective realities, and persisting in the combination of punishment and education.
| | 第二条 检查处理违反外汇管理行为，应遵循公平、公正、公开的原则，以事实为根据、以法律为准绳，实事求是，从客观实际出发，坚持惩罚与教育相结合。
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Article 3 It shall be based on the published effective laws, regulations, rules and other regulatory documents to give administrative punishments to the acts violating foreign exchange rules. Those that have not be published may not be taken as the ground for giving administrative punishments.
| | 第三条 对违反外汇管理行为给予行政处罚的依据必须是已公布的有效的法律、法规、规章和其它规范性文件，未经公布的，不得作为行政处罚的依据。
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Article 4 The foreign exchange administrations that give punishment to the acts violating foreign exchange rules shall obtain the power to give administrative punishments by lawful means.
| | 第四条 对违反外汇管理行为实施处罚的外汇局必须依法取得行政处罚权。
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Chapter II Jurisdiction
| | 第二章 管辖
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Article 5 The acts violating foreign exchange rules shall be subject to the inspection and handling of the foreign exchange administration of the place where they place.
| | 第五条 检查处理违反外汇管理行为，由行为发生地外汇局负责。
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Article 6 In case more than two foreign exchange administrations have jurisdiction over an act violating foreign exchange rules, the right of competency shall be settled through negotiations. Where it cannot be settled through negotiations, it shall be designated by the foreign exchange administration on the next higher level above both administrations.
| | 第六条 违反外汇管理行为涉及两个以上外汇局管辖的，应就管辖权协商解决。无法协商解决的，由其共同上一级外汇局指定管辖。
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Article 7 As for an act violating foreign exchange rules that have great bearing over the jurisdiction of all the foreign exchange administrations at different levels or the foreign exchange administration on a higher level believes that it should exercise direct jurisdiction over the violation, the foreign exchange administration on the higher level may directly inspect and handle the case or transfer it to the foreign exchange administration with jurisdiction after investigations.
| | 第七条 对各级外汇局管辖的有重大影响或上级局认为应直接管辖的违反外汇管理行为，上级外汇局可直接检查处理，也可在调查清楚后移交具有管辖权的外汇局处理。
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Chapter III Punishment and Application
| | 第三章 处罚的适用
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Article 8 Any one below the age of 14 who violates the rules of foreign exchange administration shall be exempted from punishment, but the guardian thereof shall be ordered to educate and discipline him. Any one above the age of 14 but below the age of 18 that violates the rules of foreign exchange administration shall be given a lesser punishment or be given a punishment that is below the minimum statutory prescriptions.
| | 第八条 不满十四周岁的人有违反外汇管理行为的，不予处罚，应责令其监护人加以管教。已满十四周岁不满十八周岁的人有违反外汇管理行为的，应从轻或者减轻处罚。
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Article 9 A lunatic who violates foreign exchange rules when he is incapable of discriminating or controlling his behaviors shall be exempted from punishment, but the guardian thereof shall be ordered to take more strict charge of him or give medical treatment to him. A person of intermittent insane who violates foreign exchange rules when he is sane shall be punished according to law.
| | 第九条 精神病人在不能辨认或者不能控制自己行为时有违反外汇管理行为的，不予处罚，应当责令其监护人严加看管和治疗。间歇性精神病人在精神正常时有违反外汇管理行为的，应当给予处罚。
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Article 10 In any of the following circumstances, the parties concerned shall be given a lesser punishment or be given a punishment that is below the minimum statutory prescriptions:
| | 第十条 当事人有下列情形之一的，应当依法从轻或者减轻处罚：
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1. Voluntarily clearing up or mitigating the dangerous aftermaths of the offences;
| | （一）主动消除或者减轻违法行为危害后果的；
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2. Having committed the offence under the duress of other people;
| | （二）受他人胁迫有违法行为的；
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3. Having meritorious acts in cooperating the investigations of the offences by the administrative organs;
| | （三）配合行政机关查处违法行为有立功表现的；
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4. Other circumstances that shall be given a lesser punishment or be given a punishment that is below the minimum statutory prescriptions.
| | （四）其它依法应当从轻或者减轻处罚的。
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Article 11 In case an act violating foreign exchange rules is venial and can be pardoned and has not resulted in serious aftermaths, the offender shall be exempted from punishment.
| | 第十一条 违反外汇管理行为情节轻微并及时纠正，没有造成危害后果的，不予处罚。
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Article 12 If any violation of foreign exchange rules is not disclosed within two years, the offender shall be exempted from administrative punishments unless there are otherwise provisions in law.
The time limit as provided in the preceding paragraph shall be counted from the day when the act violating foreign exchange rules happened. If the act violating foreign exchange rules is committed continuously or remains in a continuous state, it shall be counted from the day when the act finishes.
| | 第十二条 违反外汇管理行为在两年内未被发现的，不再给予行政处罚。法律另有规定的除外。
前款规定的期限，从违反外汇管理行为发生之日起计算；违反外汇管理行为有连续或者继续状态的，从行为终了之日起计算。
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Chapter IV Placing Cases on Files
| | 第四章 立案
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Article 13 The sources of acts violating foreign exchange rules to be placed on files include:
| | 第十三条 违反外汇管理行为立案来源包括：
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1. Reporting by other people;
| | (一)举报；
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2. Reporting by the offender himself after self investigation;
| | (二)自查自报；
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3. Given of Transferred by other foreign exchange administrations or other relevant departments;
| | (三)其它外汇局及其它有关部门交办或移送；
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4. Being found by the foreign exchange administration in inspections;
| | (四)外汇局检查发现；
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5. Other circumstances.
If the report is made by way of telephone calls, orally or by the offender himself after self investigations, it shall be recorded or put down in writing.
| | (五)其它。
对电话举报、口头举报、自查自报的应作好记录或笔录。
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Article 14 The foreign exchange administrations shall examine the materials concerning acts violating foreign exchange rules in a timely way. If it has jurisdiction over the act, has found facts about the violation, and believes that the offender shall be liable or the act is suspicious and needs to be investigated into, it shall place the case on file.
If it finds that the case is not under its jurisdiction after examining the materials concerning an act violating foreign exchange rules, it shall transfer the case to the competent foreign exchange administration.
If the case is under the jurisdiction of any other administrative organ, it shall be timely transferred to the other administrative organ for handling. If the act has constituted a crime, the case shall be delivered to the judicial department for the investigation and assumption of criminal liabilities and may not replace criminal penalties with administrative punishments.
| | 第十四条 外汇局对有关违反外汇管理行为的材料，应及时进行审查。对属于外汇局管辖的，并有违反外汇管理事实、需要追究相应责任或有较大嫌疑需进行调查的，应当立案。
经对涉及有关违反外汇管理行为的材料进行审查，认为不属自己管辖的，应及时移送有管辖权的外汇局。
对属于其它行政机关管辖的，应及时移交有关行政机关处理；构成犯罪的，应移送司法部门，依法追究刑事责任，不得以行政处罚代替刑事处罚。
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Article 15 When placing a case on file, a “Report for Placing Cases on Files” shall be filled in (see Format I). A specific person shall be designated to take charge of investigations after the relevant person-in-charge of the foreign exchange administration has granted approval. After a case is placed on file, the inspections thereof shall not be terminated without good reasons.
| | 第十五条 立案时应填写"立案报告"(见格式一)，由本局有关负责人批准后，指定专人负责检查。立案后如无正当理由，不得停止检查。
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Chapter V Inspections
| | 第五章 检查
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Article 16 Inspections include routine inspections, special inspections and inspections of violation cases.
| | 第十六条 检查包括日常检查、专项检查和案件检查。
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Article 17 In the process of inspections, comprehensive inspections and verifications shall be made to the acts violating foreign exchange rules, and relevant evidential materials shall be collected.
| | 第十七条 检查过程中应对违反外汇管理行为进行全面检查核实并收集有关证据材料。
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Article 18 When performing official duties, the inspectors shall show their “Certificate of Inspection of the State Administration of Foreign Exchange” or their letters of introduction of the foreign exchanges concerned.
For routine inspections and special inspections, a notice of inspection (see Format II) shall be issued, and the parties concerned shall be informed 5 days in advance. In case of special circumstances and it is necessary to make surprise inspections, it shall be permitted not to informed the entities to be inspected in advance, but a written request for instructions shall be made prior to the inspection and approval of the relevant leaders of the foreign exchange administrations shall be obtained so as to be put in archivist files for reference.
| | 第十八条 检查人员执行公务时，应当出示“国家外汇管理局检查证”或外汇局介绍信。
日常检查、专项检查应制发检查通知书(见格式二)，提前五日通知当事人。如有特殊情况，需采取突击检查的，可不事先通知被查单位，但应在检查前写出书面请示，经外汇局领导批准后存档备查。
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Article 19 There shall be no fewer than two inspectors present in the inquisition of parties concerned or witnesses or in relevant investigations.
| | 第十九条 在询问当事人、证人和调查有关情况时，检查人员不得少于两人。
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Article 20 The parties concerned shall be allowed to make statements and pleadings in the process of inquisitions.
| | 第二十条 询问当事人，应当允许当事人进行陈述和申辩。
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Article 21 Investigation notes shall be made in the process of inquisition of the parties concerned (see Format II). The investigation notes shall be subject to the verification of the parties concerned. If any of the parties concerned is illiterate, the notes shall be read to him. Should there be mistakes or omissions in the investigation notes, the parties concerned shall be allowed to make corrections or supplements and the signature or seal of the parties concerned shall be affixed to the place where correction or supplement is made. After it is verified that there remain no errors, the signatures or seals of the parties concerned shall be affixed to each page of the notes. The inspectors shall also put their signatures on each of the pages. If any of the parties concerned refuses to put his signature or seal on the notes, the inspectors shall remark it in the notes and then put their signatures. If it is necessary to produce written materials, such materials shall be prepared by the parties concerned. If the parties concerned have difficulty in writing, other people may write on their behalf, but the parties concerned shall put their signatures or seals on the written materials.
．．．．．． | | 第二十一条 询问当事人应当作好调查笔录(见格式三)。调查笔录应当交当事人核对；对没有阅读能力的，应当向其宣读。笔录中如有错误或遗漏，应当允许当事人进行更正或补充，并由当事人在更正或补充处签名或盖章。经核对无误后，由当事人逐页签名或盖章。检查人员也应在笔录上逐页签名。当事人拒绝签名或盖章的，检查人员应当在笔录上注明后签字。需要当事人写出书面材料的，应当由当事人书写，当事人书写有困难的，可以代写，但当事人应在书面材料上签名或盖章。
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