摘要

《中华人民共和国行政处罚法》第九条中的“兜底条款”虽为行政处罚种类的设定预留了开放性空间，但也诱发了执法实践中隐形处罚的泛化以及名为管理、实为处罚的识别困境。而形式主义与实质主义识别标准的理论分歧，加之司法裁判中的不一致，加剧了这一法律适用的不确定性。因此，规范“兜底条款”的适用，首要在于厘定设定权的边界，恪守法律保留原则底线，明确地方性法规补充设定权的适用限度。进而构建以“惩戒性”为核心的实质识别标准，通过考察行政行为是否包含对过去违法行为的否定性评价以及是否施加了恢复原状之外的额外负担，由此精准区分行政处罚与行政命令、行政收费及行政强制措施。最终，通过确立涵盖事前立法评估、事中专家论证与公众参与、事后备案审查的全过程规制路径，以实现行政处罚形式法定与实质法治的统一。

Abstract

Although the "catch-all clause" in Article 9 of the Administrative Penalties Law of the People's Republic of China provides flexibility for defining types of administrative penalties, it has also led to the proliferation of implicit penalties in enforcement practice and created difficulties in distinguishing between regulatory measures that are de facto penalties. Theoretical disagreements over formalistic versus substantive criteria for identification, combined with inconsistent judicial rulings, have further intensified uncertainty in legal application. Therefore, regulating the use of the catch-all clause requires first clarifying the boundaries of legislative authority, strictly adhering to the principle of legal reservation, and clearly defining the limits of supplementary authority granted to local regulations. Next, a substantive identification standard centered on "punitive intent" should be established—by examining whether an administrative act includes a negative evaluation of past violations and whether it imposes additional burdens beyond restoring the status quo—to precisely distinguish administrative penalties from administrative orders, administrative charges, and administrative compulsory measures. Ultimately, by establishing a comprehensive regulatory framework encompassing pre-legislative assessment, expert consultation and public participation during implementation, and post-implementation filing review, we can achieve unity between the formal legality of administrative penalties and substantive rule of law.

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