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“先照后证”背景下无证照经营行为如何查处
案情
2015年1月27日，A工商局接到群众投诉，反映某KTV（指配有卡拉OK和电视设备的包间）没有办理相关手续且存在严重噪声污染，要求工商机关调查处理。接到投诉后，执法人员对某KTV的经营场所进行现场检查，发现M公司涉嫌擅自从事KTV服务。执法人员当场向M公司下达了预先警示通知书，告知其于7日内改正违法行为，并将整改情况上报。此后，A工商局多次接到对某KTV的投诉。2015年3月9日，A工商局联合公安机关对某KTV再次进行现场检查，发现M公司仍未取得相关经营资质，正式对其违法行为立案调查。
经查证，M公司2014年1月13日办理开业登记，核准经营范围为“酒店管理筹建（筹建期不得从事经营）”。2014年2月14日，M公司办理变更登记，经营范围变更为“酒店管理筹建、KTV筹建（筹建期不得从事经营）”。2014年7月23日，M公司向A工商局申请将经营范围变更为“酒店经营和KTV服务”，并提交了消防部门核发的公众聚集场所投入使用、营业前消防安全检查合格证以及公安部门核发的特种行业许可证。根据国务院于2014年7月22日发布的《关于取消和调整一批行政审批项目等事项的决定》（国发〔2014〕27号）的规定，由文化主管部门负责核发的娱乐经营许可证改为后置审批。A工商局登记人员根据M公司的申请，依法将其经营范围变更为“酒店经营、KTV服务（依法须经批准的项目，经相关部门批准后方可开展经营活动）”。此后，由于M公司一直未取得文化部门审批，A工商局责令其于2015年1月21日办理变更登记，取消了其经营范围中的“KTV服务”项目。从2015年1月22日开始，M公司一直从事KTV经营。
办案机关认为，M公司没有取得县级以上人民政府文化主管部门核发的娱乐经营许可证，超出营业执照核准的经营范围从事KTV经营，违反了《无照经营查处取缔办法》第二条的规定，构成《无照经营查处取缔办法》第四条第一款第（五）项规定的无照经营行为。
鉴于M公司无照从事KTV经营规模大，噪声污染严重，社会影响较大，且在工商部门预警教育后仍不改正，拒绝提供证据，办案机关依据《无照经营查处取缔办法》第十四条的规定，参照《湖北省工商行政管理机关实施行政处罚自由裁量权暂行规定》第十一条第（一）项、第（二）项、第（五）项的规定，责令M公司停止违法行为，并处罚款20万元。
争议焦点
对于本案的定性、处罚依据，办案机构内部有3种不同意见。
第一种意见认为，本案应定性为未经登记擅自改变登记事项。根据《公司法》第二百一十一条第二款的规定，公司登记事项发生变更时，未依照本法规定办理有关变更登记的，由公司登记机关责令限期登记；逾期不登记的，处以1万元以上10万元以下的罚款。在本案中，M公司已经工商部门登记注册为公司，现阶段经营范围只核定了酒店经营，其从事KTV服务未依法经工商部门核准登记，属于擅自改变登记事项。
第二种意见认为，本案应定性为擅自从事KTV娱乐活动经营。根据《娱乐场所管理条例》第四十条的规定，擅自从事娱乐场所经营活动的，由工商行政管理部门、文化主管部门依法予以取缔；公安部门在查处治安、刑事案件时，发现擅自从事娱乐场所经营活动的，应当依法予以取缔。KTV服务属于许可经营，本案中的M公司在未取得娱乐经营许可证的情况下擅自从事KTV服务，应当适用《娱乐场所管理条例》进行查处。
第三种意见认为，本案应定性为无证照从事KTV服务。M公司超出核准登记的经营范围，擅自从事应当取得许可证方可从事的经营活动，违反了《无照经营查处取缔办法》第二条的规定，构成《无照经营查处取缔办法》第四条第一款第（五）项规定的违法经营行为，应依据《无照经营查处取缔办法》第十四条查处。
笔者同意第三种意见。在本案中，针对某KTV噪声扰民的行为，文化部门与环保部门在前期采取多种措施收效甚微后，商议提请A工商局牵头查处。一般来讲，无证无照经营行为的查处以“谁审批谁监管”为原则，在大部分行业有行业监管法律、法规的法制大环境下，《无照经营查处取缔办法》应作为查漏补缺的兜底条款。在本案中，工商机关根据《娱乐场所管理条例》第四十条赋予的权责，以《无照经营查处取缔办法》作为兜底规定，依法查处了违法行为。
办案体会
本案不同于以往的一般无照经营案件，它发生在商事登记制度改革的大背景下。在办案过程中，执法人员严格依照法定程序行使职权，兼顾实体合法与程序合法。
1.严格遵守办案程序
在本案中，办案人员严格遵循登记流程和办案程序，多次提醒当事人依法经营。2014年7月23日，M公司向A工商局申请将经营范围变更为“酒店经营和KTV服务”，A工商局依法予以变更，书面告知其应在取得娱乐经营许可证后方可经营。鉴于M公司迟迟没有办理娱乐经营许可证，且文化部门已发函告知M公司不符合办证条件并抄告A工商局，2015年1月15日，A工商局牵头召开了由A工商局、文化旅游局、M公司组成的联席会，明确要求M公司办理变更，取消KTV服务。2015年1月21日，M公司办理了变更登记，将经营范围中的“KTV服务”取消。2015年1月27日，A工商局向M公司下达预先警示通知书。2015年3月9日，A工商局联合公安部门再次进行现场检查。2015年3月10日，正式立案调查。2015年4月10日，办案人员向M公司送达告知书，M公司当场表示不要求听证。2015年4月17日办案人员向M公司送达处罚决定书。
2.精心准备取证预案
在现场检查前，办案人员理清取证要点、难点，多次踩点并走访附近住户，摸清该KTV场所结构、经营规律。检查中，工商执法人员与公安民警各司其职、协同配合，工商执法人员负责现场取证，公安民警负责黄赌毒检查与现场秩序维护。A工商局执法人员内部分工明确，2人制作笔录、2人电子资料取证、2人纸质资料取证、1人持DV记录执法检查过程。
3.充分取证过罚相当
办案人员一方面深入附近住户调查获取第一手信息，另一方面广泛收集涉及某KTV噪声扰民的投诉材料，包括人民网“县委书记留言板”网民留言处理单、人民来信处理单、信访处理单、12315投诉单、110接警信息清单等。在告知书送达阶段，面对客观翔实的证据材料，前期拒不配合调查的M公司当场表示不要求听证。
Under “according to the first post-card” busine practices investigated how background or the document Case
January 27, 2015, A Industrial and Commercial Bureau received complaints from the maes, reflecting a KTV(refer to Kara OK room with television equipment and packages)for the relevant procedures and there is no serious noise pollution, industrial and commercial authorities requested investigation.After receiving complaints, the law enforcement officers on the premises of a KTV site inspection found KTV M companies suspected of engaging in service.Law enforcement officers on the spot to M company iued a warning notice in advance to inform their correct violations within 7 days, and the rectification reported.Since then, A Trade and Industry Bureau received a number of complaints against a KTV.March 9, 2015, A AIC joint public security organs carry out spot checks on a KTV again, we found M company has not obtained the relevant busine qualification, a formal investigation of its violations.After verification, M company 13 January 2014 apply for the opening of registration, busine scope approved “hotel management preparation(preparatory period shall not engage in busine).” February 14, 2014, M company register the change, the busine scope changed to “hotel management preparation, KTV preparation(preparatory period shall not engage in busine).” July 23, 2014, M company to apply for Trade and Industry Bureau A change busine scope as “hoteliers and KTV service”, and submitted a public gathering places fire department iued and put into use, the busine before the fire safety inspection certificate and public security departments Special Trade License iued.According to the “Decision on the cancellation and adjustment of administrative examination and approval projects, a number of matters of the” State Council on July 22, 2014 release(Guo Fa [2014] No.27)shall be iued by the authorities responsible for cultural entertainment license change for the post-approval.A Trade and Industry Bureau registration officer under M's application, according to the law will change its busine scope as “hotel busine, KTV Services(legally subject to the approval of the project could only start after the approval of the relevant departments of the busine activities).” Since then, the company has not made M culture department approval, A Industrial and Commercial Bureau ordered it on January 21, 2015 registration changes, canceled its busine scope in “KTV service” project.Starting January 22, 2015, M company has been engaged in KTV operators.Handling organ believes, M company did not obtain people's governments above the county level administrative department of culture and entertainment busine license iued beyond the busine license busine scope approved KTV operators in violation of the “Measures for Investigating unlicensed” provisions of Article II, constitute “unlicensed Measures for Investigating” Article IV, paragraph 1(e)provision of unlicensed busine activities.Given M Company unlicensed operation of a large scale in the KTV, noise pollution, greater social impact, and the busine sector is still not corrected after warning education, refuse to give evidence, according to authorities handling “unlicensed Measures for Investigating” Article XIV the provisions refer to “the implementation of administrative penalty discretion Hubei industrial and commercial administration Interim Provisions” Article XI(a),(b), the provisions of paragraph(e), and ordered the company to stop illegal M and a fine of 200,000 yuan.Focus of controversy
For the characterization of this case, the punishment on the basis of case-handling mechanism There are three different views inside.The first opinion that the case should be characterized as changing the registered items without registration.According to the second paragraph of Article 211 of the “Company Law”, when the company registered items change, did not apply in accordance with the provisions of this Law concerning the change of registration, the company registration authority shall order the registration deadline;fails to register, a fine 10,000 yuan more than 100,000 yuan.In this case, M companies have registered for the company's busine sector, the busine scope approved at this stage only the hotel busine, which is not legally registered in the KTV service approved by the busine sector, are allowed to change the registration items.The second opinion that the present case should be characterized as engaging in KTV entertainment busine.According to Article 40 of “Entertainment Management Regulations”, engaging in busine activities and entertainment, industrial and commercial administrative department, administrative department of culture shall be banned;public security departments in the investigation of law and order, criminal cases and found that engaging in leisure activities busine activities and should be banned.KTV services are licensed busine, in this case the M's in the entertainment busine without obtaining a permit engaging in KTV service, should apply “Entertainment Management Regulations” in the investigation.A third view, or the document in this case should be characterized as KTV service.M company beyond the approved and registered busine scope, engaging in should obtain a permit before engaging in busine activities, in violation of the “Measures for Investigating unlicensed” provisions of Article II, constitute “unlicensed Measures for Investigating” Article illegal busine activities specified in the first paragraph(e), shall be based on “Measures for Investigating unlicensed” Article XIV of the investigation.I agree with a third opinion.In this case, for a KTV noise nuisance behavior, the cultural sector and environmental protection departments to take various measures have little effect in the early stage, the deliberations drew A AIC led investigation.In general, unlicensed busine activities under investigation and punishment of “Who Who regulatory approval” principle, in most industry sectors regulatory laws and regulations www.daodoc.com legal environment, “unlicensed Measures for Investigating” should serve as a leak filled the fallback provision.In this case, according to the powers and responsibilities of industry and commerce authorities “Entertainment Management Regulations” Article 40 given to “investigate ban unlicensed busine approach” as fallback provisions, investigate and punish the illegal activities.Experience in handling cases
Unlike the previous case unlicensed general case, it occurs in the context of the Commercial Registration System Reform.In the proce of handling cases, strict law enforcement officers to exercise powers in accordance with legal procedures, both legal entities and legal procedures.1.strict compliance with handling procedures
In this case, investigators strictly follow the registration proce and handling procedures, repeatedly reminded the parties to operate legally.July 23, 2014, M company to apply for Trade and Industry Bureau A change busine www.daodoc.company has yet to apply for the entertainment busine license, and the culture department has sent a letter to inform the M's do not meet the accreditation criteria and Chaogu A Trade and Industry Bureau, January 15, 2015, A AIC held the lead by A Trade and Industry Bureau, Culture and Tourism Bureau, M companies will co-clearly requires M company for change, cancel KTV service.January 21, 2015, M company handled the change of registration, the busine scope of “KTV service” to cancel.January 27, 2015, A to M's Trade and Industry Bureau iued a warning notice in advance.March 9, 2015, A joint public security departments for industry and commerce bureau spot check again.March 10, 2015, a formal criminal investigation.April 10, 2015, investigators told the M's service book, M spot, said the company does not request a hearing.April 17, 2015 to M's investigators served the penalty decision.2.evidence carefully prepared plan
Before the site inspection, investigators sort out the evidence points, difficulty, check out the location several times and visited nearby residents, KTV place to find out the structure, management rule.Inspection, law enforcement officers and police officers carry out their duties, coordination, law enforcement officers in charge of the scene evidence, police officers responsible for maintaining order at the scene inspection and pornography.AIC A clear division of internal law enforcement officers, two people making a record, 2 electronic data forensics, forensics 2 paper materials, a person holding DV recording law enforcement inspection proce.3.adequate evidence had considerable penalty
Investigators on the one hand near the depth household survey to obtain first-hand information, on the other hand extensive collection relates to a KTV noise nuisance complaints materials, including People's Daily, “the county party secretary Meage Board” Internet meage proceing unit, people deal with single letter, petition proceing unit , 12,315 complaints a single, 110 alarm information lists.In this book delivery stage, in the face of objective evidence informative material, pre-M refused to cooperate with the investigation of the spot, said the company does not request a hearing.
