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1、中国人民银行执法检查程序规定(2022)Provisions of the Peoples Bank of China on Law Enforcement Inspection Procedures (2022)(中英文对照版)发布部门：中国人民银行发文字号：中国人民银行令(2022)第2号发布日期：实施日期：效力级别：部门规章法规类别：银行综合规定Issuing Authority : Peoples Bank of ChinaDocument Number : Order No. 2 2022 of the Peoples Bank of ChinaDate Issued ： 04-14
2、-2022Effective Date : 06-01 -2022Level of Authority : Departmental RulesArea of Law : General Provisions on BankingOrder of the Peoples Bank of China中国人民银行令(No. 2 2022)(2022)第 2 号)The Provisions of the Peoples Bank of China on Law Enforcement Inspection Procedures, as deliberated and adopted at the
3、2nd executive meeting of the Peoples Bank of China for 2022 on February 8, 2022, are hereby issued and shall come into force on June 1, 2022.中国人民银行执法检查程 序规定已经2022年2月 8日中国人民银行2022年 第2次行务会议审议通过， 现予发布，自2022年6月 1日起施行。Governor: Yi Gang行长易纲April 14, 20222022年4月14日组的组成人员不得少于两 人，原那么上从本单位检查人 员库中随机抽取。persons,
4、 who shall, in principle, be randomly selected from the banks inspectors.检查组的组成人员与被检查 人存在利害关系或者有其他 关系可能影响公正执法的， 应当回避。Any member of an inspection team who has direct interest relations or any other relations with a party, which may affect his or her impartiality in law enforcement, shall withdraw.第二十
5、四条根据现场 检查的需要，检查组可以组 织检查人员进行法律、业务 知识培训和纪律教育。Article 24 The inspection team may provide training on legal and business knowledge and education on discipline for the inspectors as needed for the on-site inspection.第二十五条检查组应向被向被Article 25 Before conducting the on-site inspection,当在实施现场检查前,检查人送达执法检查通知 书，
6、告知现场检查的依据、 内容、检查期限范围、检查 开展时间、要求、检查组成 员名单等事项；因特殊情况 需要立即实施现场检查的， 检查组应当在进入被检查人 现场时送达执法检查通知检查人送达执法检查通知 书，告知现场检查的依据、 内容、检查期限范围、检查 开展时间、要求、检查组成 员名单等事项；因特殊情况 需要立即实施现场检查的， 检查组应当在进入被检查人 现场时送达执法检查通知the inspection team shall serve a law enforcement inspection notice on the inspectee, informing the inspectee of
7、 the basis, contents, scope, period, and requirements of the inspection, a list of members of the inspection team, and other matters. If an on-site inspection needs to be conducted immediately under special circumstances, the inspection team shall serve the law enforcement inspection notice when ent
8、ering the inspectees site.第二十六条检查组在 实施现场检查前，可以书面 通知被检查人提供与现场检 查相关的信息、电子数据、 文件和资料等，被检查人应 当配合，并按照检查组指定书。Article 26 Before conducting the on-site inspection, the inspection team may notify the inspectee in writing to provide information, electronic data, documents and materials, among others, relating
9、to the on-site inspection, and the inspectee shall cooperate and provide the information in a truthful and complete manner within the time limit specified by the10inspection team.Article 27 Where PBC branch offices have any dispute over the jurisdiction of any case, they shall report level by level
10、to their common superior bank for the designation of jurisdiction, or their common superior bank may directly designate jurisdiction.第二十七条中国人民 银行分支机构对管辖权存在 争议的案件，应当逐级报请 共同上级行指定管辖，或者 由共同上级行直接指定管 辖。For a major or special case, the PBC may designate a PBC branch office to conduct an on-site inspection
11、or conduct an on-site inspection at its own discretion.对重大、特殊案件，中国人 民银行可以指定中国人民银 行分支机构开展现场检查， 或者自行开展现场检查。The PBC or its branch office that makes the decision to designate jurisdiction shall issue a notice on designating the jurisdiction.作出指定管辖决定的中国人 民银行或其分支机构应当出 具指定管辖通知书。Article 2 Implementation of
12、Inspection第二节检查的实施Article 28 When conducting an on-site inspection, the inspection team shall produce a Law Enforcement Certificate of the Peoples Bank of China to the inspectee and voluntarily accept supervision.第二十八条检查组实 施现场检查时，检查人员应 当向被检查人出示中国人 民银行执法证，自觉接受 监督。Article 29 When conducting an on-site
13、 inspection, the inspection team shall hold entry interviews with the inspectee, explaining the inspection purpose, contents,第二十九条检查组实 施现场检查的，应当与被检 查人进行进场会谈，说明检的方式、规定的时间，如 实、完整提供。查的目的、内容、工作安排 和要求；充分听取被检查人 的业务情况报告和其他有关情况报告。Prior to the on-site inspection, the inspection team shall inform the inspecte
14、e of the rights and obligations to cooperate in the inspection and the inspectee shall检查组实施现场检查前，应 当告知被检查人享有的权利 和配合检查的义务，并由被affix the signature and seal for confirmation.检查人签字、盖章确认。Article 30 Where the inspection team needs to consult the inspecteefs work rules, business vouchers, account books, fin
15、ancial statements, and other materials in onsite inspection, it shall enter a checklist of documents to be consulted in law enforcement inspection and assign special personnel to be responsible for receiving and returning the aforesaid documents.第三十条检查组在现 场检查中需要查阅被检查人 的工作制度、业务凭证、会 计账目、财务报表等资料 的，应当填写
16、执法检查调阅 资料清单，并由专人负责接 收和退还调阅资料。Article 31 The inspection team may verify the relevant information by means of sampling inspection.第三十一条检查组可 以采取抽样检查的方式核实 有关情况。Before conducting sampling inspection, the inspection team shall inform the inspectee in writing of the inspection items to be adopted in the fo
17、rm of sampling inspection, sampling method, the minimum number or proportion of samples to be drawn, and other information; and if the inspectee has any objection, it shall raise the objection to the inspection team in writing before the sampling inspection.检查组在实施抽样检查前， 应当书面告知被检查人拟采 取抽样检查方式的检查项 目、抽样
18、方式、拟抽取的最 低样本数量或者比例等信 息；被检查人有异议的，应 当在抽样检查实施前向检查 组书面提出。Article 32 The inspection team shall keep a第三十二条检查组应12arrangements, and requirements; and fully hear the inspectees business report and reports on other relevant prehensive, objective, and complete record of its inspection work, and produce law en
19、forcement inspection working papers.当全面、客观、完整地记录 检查工作的情况，并制作执 法检查工作底稿。Article 33 The inspection team may modify the following matters according to the actual needs of the inspection work and inform the inspectee in writing:第三十三条检查组可 以根据检查工作的实际需 要，变更以下事项，并书面 告知被检查人：(1) If the scope of the inspection
20、period stated in the law enforcement inspection notice can be retroactive or extended, the scope of the inspection period shall be adjusted.（一）执法检查通知书载明 检查期限范围可以追溯或者 顺延的，调整检查期限范 围；（二）执法检查通知书载明 可以对被检查人的分支机 构、营业网点开展检查的， 增加、变更被检查人的分支 机构、营业网点；(3) Increase or change of inspectors.（三）增加、变更检查人 员；(4) Modifi
21、cation of inspection time.（四）变更检查开展时间。Article 34 In the process of on-site inspection, the inspection team may investigate the information of other legal persons, unincorporated organizations, and natural persons other than the inspectees to further ascertain the relevant facts.第三十四条现场检查 过程中，为进一步查明相
22、关 事实，检查组可以向被检查 人以外的其他法人、非法人 组织和自然人调查情况。Where the relevant legal person, unincorporated organization, or natural person is not in the locality, the inspection team may, with the approval of the相关法人、非法人组织和自 然人不在本地的，检查组经 本单位行长或者副行长（主13(2) Increase or change of branches and business outlets of the inspe
23、ctee if it is indicated in the law enforcement inspection notice that the inspection of the branches and business outlets of the inspectee may be conducted.governor or deputy governor (director or deputy director) of the bank, request the PBC branch office at the place where it or he is located to a
24、ssist in the investigation.Section 3 Simple On-site Inspection ProceduresArticle 35 The PBC and its branch offices may conduct law enforcement inspection of the inspectee through simple on-site inspection procedures for the purpose of verifying clues to specific violations of laws and regulations an
25、d obtaining specific information.任或者副主任）批准，可以 请求其所在地中国人民银行 分支机构协助调查。第三节简易现场检查程序第三十五条中国人民 银行及其分支机构为核实较 为明确的特定违法违规线 索、了解特定情况，可以适 用简易现场检查程序对被检 查人开展执法检查。Where the PBC or its branch office 叩plies simple on-中国人民银行及其分支机构 site inspection procedures, it shall initiate a project,适用简易现场检查程序的， produce a law enf
26、orcement inspection notice, and 应当立项、制作执法检查通 implement it upon legal examination and approval of 矢口书， 经法制审核后， 报本 the governor or deputy governor (director or deputy 单位行长或者副行长(主任 director) of the bank.或者副主任)批准后实施。Article 36 The PBC or its branch office shall designate two or more inspectors to conduc
27、t law enforcement inspection by reference to the specific procedures and evidence collection standards as set forth in Article 25, Section 2 of Chapter III, and Chapter IV of these Provisions.Where simple on-site inspection procedures are applicable to law enforcement inspection, it is unnecessary t
28、o draft an inspection plan, hold entry interviews or exit interviews, among others, according第三十六条中国人民 银行及其分支机构应当指派 两名以上检查人员，参照本 规定第二十五条、第三章第 二节、第四章规定的具体程 序和证据收集规范开展执法 检查。第三十六条中国人民 银行及其分支机构应当指派 两名以上检查人员，参照本 规定第二十五条、第三章第 二节、第四章规定的具体程 序和证据收集规范开展执法 检查。适用简易现场检查程序进行 执法检查的，根据实际需 要，可以不再拟定检查方14to actual nee
29、ds, but the inspectee shall be informed in an appropriate form of its or his rights and obligations to cooperate in the inspection.案、进行进场会谈和退场会 谈等，但应当以适当形式告 知被检查人享有的权利和配 合检查的义务。Chapter IV Evidence第四章证据Article 37 The inspection team shall strictly follow statutory procedures, and according to the dif
30、ferent categories, stages, and links of violations of laws and regulations, reasonably take various means such as第三十七条检查组应 当严格遵守法定程序，根据 违法违规行为的不同类别、 阶段、环节，合理使用音视audio and video records and written records to collect 频记录和文字记录等多种方evidence of statutory forms in a comprehensive, objective, timely, and a
31、ccurate manner, and track the whole process of law enforcement and realize traceable management.式，全面、客观、及时、准 确地收集符合法定形式的证 据，实现执法全过程留痕和 可回溯管理。Article 38 During the on-site inspection, the inspection team may require the inspectee to confirm the relevant inspection facts and produce a written determin
32、ation of law enforcement inspection facts, to第三十八条检查组在 现场检查中可以要求被检查 人对相关检查事实进行确 认，制作执法检查事实认定which the inspectee shall affix the signature or seal for confirmation.书，由被检查人签字、 确认。盖章The written determination of law enforcement inspection facts shall indicate such contents as the name of the inspectee,
33、inspection time, contents of inspection, and facts determined in the inspection.执法检查事实认定书应当载 明被检查人的名称或者姓 名、检查开展时间、检查内 容、确认的事实等内容。Where the inspectee raises no objection to the written determination of law enforcement inspection facts, the inspectee shall be deemed to have recognized the被检查人对执法检查事实认
34、定书无异议的，视为被检查 人认可执法检查事实认定书15contents indicated in the written determination of law 载明的内容。 enforcement inspection facts.Article 39 The inspection team shall try to obtain the originals of relevant documentary evidence, physical evidence, audio and video recordings, and other第三十九条检查组在 现场检查中收集有关书证、 物证、视
35、听资料等证据的，evidence collected during the on-site inspection; and if 应当尽可能取得原件；无法the originals cannot be obtained, the copies, photocopies, excerpts, or other duplicates thereof may be made.取得原件的，可以制作复印 件、影印件、节录本等复制 件。A duplicate consistent with the original may be taken as evidence for ascertaining rel
36、evant facts if its lawful sources can be proved.能够证明合法来源，与原件 一致的复制件可以作为认定 相关事实的证据使用。第四十条检查组可以Article 40 The inspection team may directly extract electronic data from computer databases and other information-based systems of the inspectee as evidence or may generate new electronic data by such method
37、s as sampling, gathering, decomposition, conversion, calculation, statistics, and comparison.直接提取被检查人电子计算 机数据库及其他信息化系统 中的电子数据作为证据，也 可以采用抽样、汇总、分 解、转换、计算、统计、比 对等方式形成新的电子数据。Where new electronic data are formed by the inspection team, the electronic data formation method or process shall be recorded by
38、such methods as evidence obtainment explanation and audio and video recordings.检查组形成新的电子数据 的，应当通过取证说明、音 视频记录等方式，记录电子 数据的形成方式或者过程。Article 41 Where the inspection team inquires the inspectee or its staff member or any other person who is aware of the relevant circumstance about the第四十一条检查组向 被检查人或者其工作人
39、员、 其他知悉相关情况的人员询16法检查询问笔录，由被询问 人进行核对并签字确认；执 法检查询问笔录有错误或者 有遗漏的，应当允许被询问 人提出更正意见或者补充意 见。第四十二条对可能灭 失或者以后难以取得的证 据，检查组经本单位行长或 者副行长（主任或者副主 任）批准，可以根据具体情 况依法采取先行登记保存、 聘请公证人员进行公证、申 请有权机关冻结或者查封等 保全措施。采取保全措施的，检查组应 当通知被检查人。先行登记 保存证据期间，被检查人或 者其他有关人员不得毁损、 销毁或者转移证据。第四十三条中国人民 银行及其分支机构通过函 询，或者在线上检查中通过 信息化系统获取的信息、电 子数据
40、、文件和资料等可以 作为认定被检查人是否存在 违法违规行为的证据使用。relevant information, the inspection team shall make 问有关情况的，应当制作执inquiry transcripts of the law enforcement inspection, which shall be verified and signed for confirmation by the inquired person. If there is any error or omission in the law enforcement inspection i
41、nquiry transcripts, the inquired person shall be allowed to offer an opinion on correcting or supplementing the transcripts.Article 42 With regard to the evidence which is likely to be destroyed, lost, or difficult to be obtained in the future, the inspection team may, with the approval of the gover
42、nor or deputy governor (director or deputy director) of the bank, take such preservation measures as advance registration and preservation, retaining notaries to conduct notarization, and applying to the competent authority for freezing or sealing them up in light of the specific circumstances.Where
43、 preservation measures are taken, the inspection team shall notify the inspectee. During the period of advance evidence registration and preservation, the inspectee or any other relevant person shall not damage, destroy, or transfer any evidence.Article 43 The information, electronic data, documents
44、 and materials, among others, obtained by the PBC or its branch office through inquiry by letter or online inspection may be taken as evidence to determine whether an inspectee has committed any violation of law or regulation.17第五章检查结果的处理第五章检查结果的处理Chapter V Handling of Inspection Results第四十四条现场检查 结束
45、时，检查组应当与被检 查人进行退场会谈，通报现 场检查中认定的事实，并制 作执法检查退场会谈纪要。 被检查人存在异议的，可以第四十四条现场检查 结束时，检查组应当与被检 查人进行退场会谈，通报现 场检查中认定的事实，并制 作执法检查退场会谈纪要。 被检查人存在异议的，可以Article 44 At the end of the on-site inspection, the inspection team shall hold an exit interview with the inspectee, report the facts ascertained in the on-site in
46、spection, and make minutes on the exit interview in law enforcement inspection. The inspectee that has any objection may raise the objection during the在会谈中提出，或者自收到 执法检查退场会谈纪要之日 起五个工作日内向检查组书 面提出。在会谈中提出，或者自收到 执法检查退场会谈纪要之日 起五个工作日内向检查组书 面提出。interview, or file the objection with the inspection team in wr
47、iting within five working days from the date of receipt of the minutes on the exit interview in law enforcement inspection.确因特殊原因难以在现场检 查结束时举行退场会谈，或 者通过非现场检查方式、适 用简易现场检查程序拟认定 被检查人存在违法违规行为 的，应当及时书面告知被检 查人拟认定的事实、理由和 依据。被检查人存在异议 的，可以自收到书面告知之 日起五个工作日内向作出该 书面告知的中国人民银行或 其分支机构书面提出。Where it is indeed diffic
48、ult to hold an exit interview at the end of the on-site inspection due to special reasons or it is to be determined that the inspectee has committed any violation of law or regulation by means of off-site inspection or the application of simple onsite inspection procedures, the inspectee shall be promptly informed of the facts, grounds, and basis for the determ