The background and brief drafting process of the "Disciplinary Regulations"
Public institutions are an important concentration of all types of talents in our country, an important area for enhancing our country’s comprehensive national strength, an important position for implementing the strategy of rejuvenating the country through science and education, and the main carrier of public welfare services in economic and social development and an important force in our country’s socialist modernization drive. The number of staff in public institutions is large and widely distributed. Strengthening the personnel management of public institutions and clarifying the behavioral norms and punishment systems for public institution staff will help build a team of high-quality, socialized professional and technical personnel, improve the quality of professional public services in public institutions, and promote the healthy development of social undertakings.
2006Year1month16476_65192008Year5The "Establishing and Improving System for Punishing and Preventing Corruption" issued by the Central Committee in March2008－20122008Year6On the Implementation of "Establishing and Improving a System for Punishing and Preventing Corruption" issued by the Central Commission for Discipline Inspection in March2008－20126874_7037
The main contents of the "Disciplinary Regulations"
"Penalty Provisions" in total48items,6600The remaining words are divided into seven chapters: general provisions, types and application of sanctions, violations of laws and disciplines and their applicable sanctions, authority and procedures for sanctions, lifting, review and appeal of sanctions, and supplementary provisions.
(1) Applicable objects and special provisions
At present, the reform of the personnel system of public institutions is being comprehensively and steadily advanced. Taking into account the characteristics and actual situation of public institutions, Article 2, Paragraph 1 of the "Regulations on Sanctions" stipulates in principle that if staff of public institutions violate laws and disciplines and should bear disciplinary responsibility, they shall be punished in accordance with the "Regulations on Sanctions". However, due to the relatively complex composition of staff in public institutions, Article 2, Paragraph 2 and Paragraph 3 of the "Disciplinary Regulations" have made special provisions for this
Article 106 of the Civil Servant Law stipulates: “Staff staff other than service personnel in public institutions with public affairs management functions authorized by laws and regulations shall be managed with reference to this law upon approval. "According to this provision, the staff of public institutions with public affairs management functions authorized by laws and regulations can be subdivided into two types: first, staff who have been approved to be managed with reference to the Civil Servant Law (referred to as "public management"); second, staff who are not managed with reference to the "Civil Service Law" (referred to as "non-public management"). In view of the fact that the first type of staff participating in public management has little difference in responsibilities and disciplinary requirements from civil servants in administrative agencies, so2007
According to the provisions of Articles 2 and 50 of the Administrative Supervision Law, the objects of supervision are divided into four categories: first, national administrative agencies and their civil servants; second, personnel appointed by national administrative agencies; third, personnel engaged in public affairs in organizations with public affairs management functions authorized by laws and regulations; fourth, persons engaged in public affairs in organizations entrusted by national administrative agencies to engage in public affairs management activities in accordance with the law. There are the following three categories of personnel in public institutions who are subject to supervision: first, staff of public institutions appointed by administrative agencies; second, staff of public institutions authorized by laws and regulations to have public affairs management functions (such supervision objects are divided into two types: those who participate in public management and those who do not participate in public management, and Article 2, Paragraph 2 of the "Disciplinary Regulations" has made special provisions for personnel who participate in public management); third, staff in public institutions entrusted by state administrative agencies to engage in public affairs management activities in accordance with the law. For these three types of supervision objects, considering that the Administrative Supervision Law and its implementing regulations clearly stipulate the procedures and authority for the investigation and handling of violations of laws and disciplines, there are no provisions on the principles, types, specific violations of laws and disciplines, etc. For this reason, Article 2, paragraph 3, of the "Disciplinary Regulations" stipulates: "For public institution staff appointed by administrative agencies, public institutions with public affairs management functions authorized by laws and regulations shall not refer to the Civil Servants of the People's Republic of China. These provisions shall apply to staff members managed by the Law and to the staff of public institutions entrusted by the state administrative agencies to engage in public affairs management activities in accordance with the law; however, the procedures for the supervisory authority to investigate and handle the violations of laws and disciplines of the above-mentioned personnel and the authority to make disciplinary decisions, and if the staff of the public institutions who are the subject of supervision are dissatisfied with the disciplinary decision and appeal to the supervisory authority, they shall be handled in accordance with the "Administrative Supervision Law of the People's Republic of China" and its implementation regulations.
(2) Principles of Punishment
Article 3 of the "Disciplinary Regulations" stipulates the principles of disciplinary action for staff of public institutions. These principles are: the principle of justice and fairness; the principle of combining education and punishment; the principle of proportionality of fault and blame; the principle of clear facts, conclusive evidence, accurate characterization, appropriate handling, legal procedures, and complete procedures. These basic principles run through the entire process of disciplinary action against staff in public institutions and have a general guiding role in disciplinary work. Adhering to these principles is the basic guarantee for relevant units, departments and agencies to correctly perform their duties, effectively carry out disciplinary work, and strictly enforce the discipline of public institutions. It is also the institutional guarantee for them to eliminate interference and exercise disciplinary powers in accordance with the law.
(3) Types and application of sanctions
Article 5 of the "Penalty Regulations" divides the types of punishment into four types: warning, demerit, reduction in post level or removal, and expulsion, which is inconsistent with the six types of punishment applicable to civil servants: warning, demerit, major demerit, demotion, removal, and expulsion. The main considerations are: First, it is compatible with the personnel management system of public institutions. Public institutions implement an employment system and a position management system. Except for personnel appointed by administrative agencies, other personnel sign employment contracts with the unit and are divided into three categories: management positions, professional and technical positions, and work skills positions. A management model that combines the employment system and the position management system is implemented, which is very different from the civil servant management system. Therefore, demotion and dismissal cannot be applied. The second is to adapt to the actual needs of personnel management in public institutions. There are many means of personnel management within public institutions. In addition to punishment, public institution personnel who violate laws and disciplines can also be dealt with through assessment, termination of contracts, or non-renewal of employment upon expiration. Therefore, the "Penalty Regulations", based on the characteristics of public institutions and with reference to the types of sanctions for civil servants, set four types of sanctions for staff of public institutions that implement the employment system: warning, demerit, reduction in job level, and expulsion. At the same time, considering that some of the leaders of public institution staff are personnel appointed by administrative agencies, the employment system is not implemented, and the punishment of lowering the job level cannot be applied. Therefore, four types of sanctions are set for the staff of public institutions appointed by administrative agencies: warning, demerit, removal, and expulsion. Paragraph 2 of Article 5 of the "Disciplinary Regulations" stipulates that "the sanction of removal shall apply to staff of public institutions appointed by administrative agencies." Although a person appointed by an administrative agency has no position after being dismissed, he or she is still a staff member of a public institution. The personnel department of the organization may arrange appropriate work based on work needs and his or her consistent performance, expertise, etc., or participate in job competitions.
As for the consequences of punishment, Articles 7 and 8 of the "Disciplinary Regulations" clearly stipulate. If a staff member of a public institution is punished with a warning or a demerit, he or she shall not be hired to a position with a higher grade than the currently employed position during the period of punishment; if the employee is punished with a lowering of the job grade, he or she shall be hired at a position that is lowered by one or more job grades, and during the period of punishment, he shall not be hired with a position that is higher than the position he was employed after being punished; if he is punished with dismissal, his personnel relationship with the public institution shall be terminated.
(4) Violations of laws and disciplines and their applicable sanctions
Public institution staff who violate laws and disciplines and cause losses to national interests, public interests or the legitimate rights and interests of others must bear disciplinary responsibility. Based on the actual situation and research on the punishment of public institution staff in recent years, Chapter 3 of the "Disciplinary Regulations" classifies the illegal and disciplinary behavior of public institution staff into six aspects: violations of political disciplines, violations of work disciplines and dereliction of duty, violations of integrity and professional disciplines, violations of financial disciplines, violations of professional ethics and violations of social ethics, and summarized64kinds of violations of laws and disciplines, and corresponding punishment types and levels are set for each type of behavior to make the punishment more specific and operational.
Among them, there are specific provisions on behaviors that violate professional ethics such as accepting overseas funding to engage in activities that harm national interests or endanger national security, as well as violations of organizational personnel disciplines in personnel management such as open recruitment in public institutions that have been strongly reported by the people, accepting "red envelopes", plagiarism, plagiarism, and misappropriation of other people's academic achievements, as well as the applicable penalties.
First, accept overseas funding to engage in activities that harm national interests or endanger national security and the applicable sanctions. In practice, individual overseas organizations, under the banner of foundations, research societies, and worker associations, and in the name of international cooperation, fund domestic institutions and personnel in relevant fields to engage in activities that harm national interests or endanger national security, such as stealing state secrets, disrupting social order, etc. According to Article 16 of the "Disciplinary Regulations", public institutions and their staff who accept overseas funding to engage in activities that harm national interests or endanger national security will be given a demerit; if the circumstances are serious, they will be demoted or dismissed; if the circumstances are serious, they will be dismissed. However, for those who do not know the truth and are coerced into participating, and who truly show repentance after being criticized and educated, the punishment may be reduced or exempted.
The second is violations of organizational personnel disciplines and their applicable sanctions. In recent years, violations of organizational personnel disciplines such as "carrot recruitment" in public institutions have occurred frequently, and social repercussions have been strong. Article 17 of the "Disciplinary Regulations" stipulates that for such behavior, those who use improper means to obtain positions for themselves or others, or who have other violations of organizational personnel disciplines in public recruitment and other personnel management work, will be given a warning or a demerit; if the circumstances are serious, they will be given the sanction of lowering the post grade or being dismissed; if the circumstances are serious, they will be given the sanction of expulsion.
The third is the behavior of accepting "red envelopes" in official activities or work and its applicable sanctions. The so-called "red envelope" refers to the act of accepting gifts, various securities, and payment vouchers in official activities or work. The behavior of doctors, teachers and other public institutions staff receiving "red envelopes" not only affects the professional reputation of doctors, teachers and other public institution staff, but also seriously infringes upon the interests of patients, parents and students. The impact is so bad that the people have reacted strongly and must be punished resolutely. Article 18 of the "Disciplinary Regulations" stipulates that for this type of behavior, anyone who accepts gifts, various securities, or payment vouchers in official activities or work will be given a warning or a demerit; if the circumstances are serious, he or she will be demoted or dismissed; if the circumstances are serious, he or she will be dismissed.
The fourth is academic corruption and other serious violations of professional ethics and the applicable sanctions. Different from civil servants in administrative agencies, a considerable number of staff in public institutions are engaged in social welfare undertakings such as education, scientific research, culture, medical and health care, and their activities often have special requirements in terms of professional ethics. Once these personnel commit serious violations of professional ethics, they will disrupt the normal order in education, scientific research, medical and health and other fields, and damage public interests and the legitimate rights and interests of others. Therefore, they need to be held accountable for disciplinary responsibility in accordance with the law. Article 20 of the "Penalty Regulations" clearly stipulates the serious violations of professional ethics by public institution staff and the applicable sanctions, including plagiarism, plagiarism, misappropriation of other people's academic achievements, using professional status to induce, threaten or mislead, harming the legitimate rights and interests of others, and Those who engage in any of these behaviors, such as falsification in the process of applying for positions, projects, honors, etc., and other behaviors that are strongly reflected by the people and highly harmful to society, will be given a warning or a demerit; if the circumstances are serious, they will be demoted or dismissed; if the circumstances are serious, they will be dismissed.
(5) Punishment of staff members of public institutions who have been sentenced to punishment
According to the provisions of Article 22, Paragraph 1 of the "Penalty Regulations": "If a staff member of a public institution is sentenced to a criminal penalty in accordance with the law, he or she shall be given a penalty of lowering the post level or being dismissed from his post. Among them, if he is sentenced to a penalty of fixed-term imprisonment or more in accordance with the law, he shall be given a penalty of expulsion." Currently, the reform of public institutions is being promoted. The direction of the reform is to focus on retaining public institutions that engage in public welfare services, and gradually cancel or transfer public institutions that bear administrative functions and those that engage in production and business activities. The "Penalty Regulations" are formulated to punish employees who violate laws and disciplines in public institutions. The overall position is to be more lenient than the punishment for civil servants, but stricter than the labor and employment management of enterprises. For employees of public institutions who are not subjectively malignant and have been sentenced to fixed-term imprisonment or criminal detention or other punishments below fixed-term imprisonment, they can be punished by lowering their post level or being dismissed from their posts in accordance with the above-mentioned regulations based on the principles of "learning from past mistakes and avoiding future mistakes, treating illnesses and saving lives" and combining education with punishment. Those who have been sentenced to fixed-term imprisonment or more in accordance with the law shall be given the sanction of dismissal.
In addition, for staff of public institutions appointed by administrative agencies, since their job appointments and removals are different from those of ordinary public institution staff, the requirements are more stringent, and the intensity of punishment should be consistent with civil servants. Therefore, Article 22, Paragraph 2 of the "Penalty Regulations" stipulates: "Public institution staff appointed by administrative agencies who are sentenced to criminal penalties in accordance with the law shall be dismissed."
(6) Authority and procedures for punishment
According to the provisions of Article 23 of the "Regulations on Punishments", the punishment of warning, demerit, reduction in job grade or dismissal shall be decided by the public institution or the competent department of the public institution in accordance with the cadre and personnel management authority. Among them, if the decision is made by a public institution, it should be reported to the competent department of the public institution for record. Among them, public institutions refer to schools, hospitals and other public institutions, and the departments in charge of public institutions refer to education administrative departments, medical administrative departments, etc. Dismissal, as the most severe form of punishment, requires careful consideration and control. Therefore, Article 23 of the "Disciplinary Regulations" also stipulates: "The penalty of expulsion shall be decided by the competent department of the public institution and reported to the comprehensive personnel management department of the public institution at the same level for filing." This reflects the strict control of expulsion.
According to the provisions of Article 24 of the "Disciplinary Regulations", the disciplinary procedures for the personnel of public institutions by the appointment and dismissal authorities include: preliminary investigation, filing of cases, investigation and evidence collection, forming a written investigation report, hearing the statements and defense of the staff of the public institutions under investigation, making decisions on imposing sanctions, exempting from sanctions or withdrawing the case according to the jurisdiction of the disciplinary decision-making authority, notification and announcement, filing, etc. The disciplinary decision shall take effect from the date it is made.
In addition, Chapter 4 of the "Disciplinary Regulations" also clearly stipulates the recusal system, case handling period, etc.
(7) Lifting of Punishment
Chapter 5 of the "Disciplinary Regulations" clearly stipulates the conditions for lifting sanctions, the approval procedures and the consequences of lifting sanctions. Different from the lifting of sanctions for civil servants in administrative agencies, Article 33 of the "Disciplinary Regulations" stipulates a system for early lifting of sanctions, that is, "if a public institution staff member performs significant meritorious service during the period of being punished, and is given an individual reward of merit or above in accordance with relevant regulations, the punishment may be lifted in advance upon approval." "This is because the nature of work in public institutions varies widely, and the personnel management of public institutions is more flexible. It stipulates that the punishment of public institution staff can be lifted in advance, which is conducive to encouraging the punished personnel to correct their mistakes and work harder. After the punishment is lifted, the employees of public institutions can The assessment, competitive recruitment and promotion salary of employees shall be carried out in accordance with relevant national regulations and will no longer be affected by the original punishment. However, those who are subject to the punishment of lowering their job grade or dismissal will not be deemed to have restored their previous job grade and salary. (Ren Xuemin Huang Shaopeng)
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